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Proposal for a Regulation of the European Parliament and of the Council
establishing a European Neighbourhood Instrument
COMPARATIVE TABLE
2011/0405 (COD)
For Commission/Council/EP internal use only
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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
Proposal for a REGULATION OF
THE EUROPEAN PARLIAMENT
AND OF THE COUNCIL
establishing a European
Neighbourhood Instrument
Preamble
THE EUROPEAN PARLIAMENT
AND THE COUNCIL OF THE
EUROPEAN UNION,
Having regard to the Treaty on the
Functioning of the European Union,
and in particular Article 209 (1) and
212 (2) thereof,
Having regard to the proposal from
the Commission,
After transmission of the draft
legislative act to the national
Parliaments,
Having regard to the opinion of the
European Economic and Social
Committee ,
Having regard to the opinion of the
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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
Committee of the Regions ,
Acting in accordance with the
ordinary legislative procedure,
Whereas:
Recitals
(-1) This Regulation should lay down,
for the entire duration of the instrument
which it establishes, a financial
envelope constituting the prime
reference, within the meaning of point
[..] of the Interinstitutional Agreement
of XX/201Z between the European
Parliament, the Council and the
Commission on cooperation in
budgetary matters and on sound
financial management, for the
budgetary authority during the annual
budgetary procedure.

(1) This Regulation constitutes one
of the instruments providing direct
support for the European Union’s
external policies. It will replace the
Regulation of the European
Parliament and of the Council No
1638/2006 of 24 October 2006
laying down general provisions
establishing a European
Neighbourhood and Partnership
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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
Instrument which expires on 31
December 2013.
(2) Article 8 of the Treaty on
European Union provides for the
development of a special
relationship with neighbouring
countries, with the aim of
establishing an area of prosperity
and good neighbourliness, founded
on the values of the Union and
characterised by close and peaceful
relations based on cooperation.
(3) The Union seeks to promote,
(3) The Union seeks to promote,
(3) The Union seeks to promote,
develop and consolidate the values
develop and consolidate the values
develop and consolidate the values of
of liberty, democracy, respect for
of liberty, democracy, respect for
liberty, democracy, respect for human
human rights and fundamental
Union's action on the
rights and fundamental freedoms, and
freedoms, principles of equality and
international scene should be
the principles of equality and the rule
the rule of law on which it is
guided by the principles which
of law on which it is founded through
founded through dialogue and
have inspired its own creation,
dialogue and cooperation with third
cooperation with third countries.
development and enlargement, and
countries in the framework of the
which it seeks to advance in the
observance and development of
wider world, namely democracy,
international law.
the rule of law, the universality
and indivisibility of 
human rights
and fundamental freedoms, respect
for human dignity, 
principles the
principle 
of equality and the rule of
law on which it is founded through
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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
dialogue and cooperation with third
countries and solidarity and respect
for the principles of the United
Nations Charter and international
law
.
(3a) The Union's external action
under the instrument established
by this Regulation should have an
impact reflected in concrete
changes in the partner countries.
That impact should whenever
possible be monitored through an
adequate mechanism and assessed
on the basis of pre-defined country
specific, clear, transparent and
measurable indicators.

(4) Since it was launched, the
(4) Since it was launched, the
European Neighbourhood Policy
European Neighbourhood Policy
has significantly strengthened
has significantly strengthened
relations with partner countries and
relations with partner countries and
brought tangible benefits to both
brought tangible benefits to both
the Union and its partners.
the Union and its partners,
including the launch of regional
initiatives and support to
democratisation in the region.
However, a number of major
developments in the
Neighbourhood have shown the

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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
need for a revised policy, based on
enhanced support to partners
committed to democratic reforms
in line with the "more for more"
principle, greater flexibility,
mutual accountability, partnership
with societies and a more tailor-
made approach towards the
individual partner countries
.
(4a) The revised European
Neighbourhood Policy was set out
in 2011 following a comprehensive
strategic review of the Policy. In
order to achieve the objectives of
the Policy, it is necessary to
establish strong and clear links
between the Policy framework and
the support to be provided under
the instrument established by this
Regulation.

(5) Under the European
(5) Under the European
Neighbourhood Policy, the Union
Neighbourhood Policy, the Union
offers Neighbourhood countries a
offers Neighbourhood countries a
privileged relationship, building
privileged relationship, building
upon a mutual commitment to and
upon a mutual commitment to and
promotion of the values of
promotion of the values of
democracy and human rights, the
democracy and human rights, the
rule of law, good governance and
rule of law, good governance and
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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
the principles of market economy
the principles of market economy,
and sustainable development.
and sustainable and inclusive
development.
(5a) In order to enhance the
implementation of the "more for
more" principle, an adequate part
of the overall allocation under this
Regulation should be set aside as
incentives to provide enhanced
support to partner countries
committed to and demonstrating
progress in building or
consolidating deep and sustainable
democracy and implementation of
agreed reform objectives.

(6) Two main political initiatives
(6) Two main political initiatives
(6) Two main The ENI supports the
have shaped the regional
have shaped the regional
implementation of political initiatives
cooperation in the European
cooperation in the European
that have shaped the regional
Union’s Neighbourhood: the
Union’s Neighbourhood: the
cooperation in contributed to shape
Eastern Partnership between the
Eastern Partnership between the
the European Union’s Neighbourhood
Union and its Eastern neighbours,
Union and its Eastern neighbours,
Policy: the Eastern Partnership
and the Union for the
and the Union for the
between the Union and its Eastern
Mediterranean between the Union
Mediterranean between the Union
neighbours, the Partnership for
and its Southern Mediterranean
and its Southern Mediterranean
Democracy and Shared Prosperity
neighbours. These initiatives are
neighbours in the Southern
and the Union for the Mediterranean
meaningful political frameworks
Neighbourhood. These initiatives
between in the Union and its Southern
for deepening relations with and
should both be treated in the same
Mediterranean neighbours
among partner countries, based on
way, because they are meaningful
NeighbourhoodThese initiatives are
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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
principles of shared ownership and
political frameworks for deepening
meaningful political frameworks for
responsibility.
relations with and among partner
deepening relations with and among
countries, based on principles of
partner countries, based on principles
mutual accountability, shared
of shared ownership and
ownership and responsibility.
responsibility.
(7) A number of major
deleted
developments have taken place
since the European Neighbourhood
Policy was launched and the
European Neighbourhood and
Partnership Instrument was set up.
These include a deepening of the
relationship with the partners, the
launch of regional initiatives and
democratic transition processes in
the region. This triggered a new
European Neighbourhood Policy
vision set out in 2011 as a result of
a comprehensive Strategic Review
of the Policy. It outlines key
objectives for Union cooperation
with Neighbourhood countries and
provides for greater support to
partners committed to building
democratic societies and
undertaking reforms, in line with
the ‘more for more’ and ‘mutual
accountability’ principles.
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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
(7a) In order to achieve the
objectives of the European
Neighbourhood Policy, it is
necessary to ensure a fair balance
between the Eastern and Southern
dimensions of the Policy, while
securing an adequate degree of
flexibility.

(7b) While European
Neighbourhood and Partnership
Instrument  contributed to the
strengthening of the Union's
relations with partner countries, it
only showed limited consistency
with ENP policy objectives, had a
mixed record in effectiveness, and
failed to involve regional and local
authorities and civil society actors
in all stages of the assistance cycle.

(7c) Democracy and human rights
have been placed at the forefront
of the Union's relations with the
partner countries and to that end
new structures, such as the
European Endowment for
Democracy (EED), are being
established. The EED should be
complementary, have added value

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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
and be coherent with the
instrument established under this
Regulation and duplication should
be avoided. It should increase the
capacity to react rapidly and
consistently to developments in the
field of democracy and the rule of
law.

(7d) The objective of partnership
with societies should also be
reflected in this instrument and
translated into an involvement of
civil society organisations as well
as regional and local authorities in
all stages of the assistance cycle;
in addition, this instrument should
support the strengthening of the
capacity of civil society
organisations to scrutinise public
policies and be full actors in
democratisation processes.

(8) The ENI supports also the
implementation of regional
cooperation e.g. in the framework of
the Northern Dimension or the
Black Sea Synergy, as well as the
external aspects of macro-regional

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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
strategies.
(9) This Regulation acknowledges
the specific status of the Russian
Federation as both a Union
neighbour and a strategic partner in
the region.

(10) …
(8) Support under this Instrument
(8) Support under this Instrument
(8 11) Support under both this
and the European Regional
and the European Regional
Instrument and the European
Development Fund should be
Development Fund should be
Regional Development Fund should
provided for the Cross-Border
provided for the Cross-Border
be provided for the Cross-Border
Cooperation programmes along the
Cooperation programmes along the
Cooperation programmes along the
external borders of the European
external borders of the European
external borders of the European
Union between partner countries
Union between partner countries
Union between partner countries/or
and Member States to promote
and Member States to promote
the Russian Federation on the one
integrated and sustainable regional
integrated and sustainable regional
hand and Member States on the
development between neighbouring
development and cooperation
other hand along the external
border regions and harmonious
between neighbouring border
borders of the European Union to
territorial integration across the
regions and harmonious territorial
promote integrated and sustainable
Union and with neighbouring
integration across the Union and
regional development between
countries.
with neighbouring countries.
neighbouring border regions and
harmonious territorial integration
across the Union and with
neighbouring countries. To secure
efficient implementation of Cross-
Border Cooperation it is important
to harmonise procedures with the

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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
European Territorial Cooperation,
where applicable.

(8a) This instrument also supports
the implementation of regional
cooperation i.a. in the framework
of the Northern Dimension policy
or Black Sea synergy and external
aspects of EU's macro-regional
strategies.

(9) Furthermore, it is important to
(9) Furthermore, it is important to
(9) Furthermore, it is important to
foster and facilitate cooperation for
foster and facilitate cooperation for
foster and facilitate cooperation for
the common benefit of Union and
the common benefit of Union and
the common benefit of Union and its
its partners, notably through
its partners, and other participating
partners, notably through pooling of
pooling of contributions from
countries, notably through the best
contributions from internal and
internal and external instruments of
and most effective coordination of
external instruments of the Union
the Union budget, in particular for
resources provided and the pooling
budget, in particular for Cross-Border
Cross-Border Cooperation,
of contributions from internal and
Cooperation, infrastructure projects
infrastructure projects of Union
external instruments of the Union
of Union interest that will pass
interest that will pass through
budget, in particular for the benefit
through Neighbourhood countries and
Neighbourhood countries and other
of Cross-Border Cooperation
other areas of cooperation.
areas of cooperation.
regional co-operation projects,
common 
infrastructure projects of
Union interest that which will pass
through Neighbourhood
neighbouring countries, in
particular those concerning energy
production and transport, 
and in
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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
other areas of cooperation
(9a) Coherence should be
maintained between support under
the instrument established by this
Regulation and the external
dimension of the Union's internal
policies.

(10) Border regions that belong to
(10 12) Border regions that belong to
countries of the European
countries of the European Economic
Economic Area (EEA) and the
Area (EEA) and the regions of the
regions of the Russian Federation
Russian Federation that are currently
that are currently taking part in
taking part in Cross-Border
Cross-Border Cooperation
Cooperation programmes should be
programmes should be able to
able to continue to do so. It is also
continue to do so. It is also
important that the relevant regions in
important that the relevant regions
countries covered by the Instrument
in countries covered by the
for Pre-accession Assistance are able
Instrument for Pre-accession
to can also participate in CBC Cross-
Assistance are able to participate in
Border Cooperation. Participation of
CBC. Participation of the European
the European Economic Area
Economic Area countries in the
countries in the CBC Cross-Border
CBC programmes should continue
Cooperation programmes should
to be based on their own resources.
continue to be based on their own
resources.
(11) It is expected that the EU
(11) It is expected that the EU
(11 13) It is expected that the EU
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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
Member States and Partner
Member States, Partner and other
Member Statesand Partner countries
countries taking part in Cross
participating Partner countries
and the Russian Federation taking
Border Co-operation will provide
taking part in Cross Border Co-
part in Cross Border Co-operation
national co-financing. This will
operation and in regional
will provide national co-financing.
strengthen country ownership,
cooperation will provide national
This will strengthen country
increase the financial resources at
co-financing. This will strengthen
ownership, increase the financial
the disposal of the programmes and
country ownership, increase the
resources at the disposal of the
facilitate the participation of local
financial resources at the disposal
programmes and facilitate the
actors.
of the programmes and facilitate the
participation of local actors.
participation of local actors.
(12) Cross-Border Co-operation
(12) Cross-Border Co-operation will
will contribute as appropriate to the
contribute as appropriate to the
implementation of existing and
implementation of existing and future
future macro-regional strategies.
macro-regional strategies
(12a) For the purpose of
harmonising the terminology used
in this Regulation with that of the
European Territorial Co-
operation, the implementation
documents for the Cross-Border
Cooperation programmes should
be called joint operational
programmes.

(14) It is important to foster and
facilitate cooperation for the
common benefit of the Union and its
partners, notably through pooling of
contributions from internal and

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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
external instruments of the Union
budget, in particular for Cross-
Border Cooperation, regional
cooperation, infrastructure projects
of Union interest that involve
Neighbourhood countries and in
other areas of cooperation.

(13) Support to be provided to
(13) Support to be provided to
(13 15) Support to be provided to
neighbouring developing countries
neighbouring developing countries
neighbouring developing countries
within the framework established
within the framework established
within the framework established by
by the European Neighbourhood
by the European Neighbourhood
the European Neighbourhood Policy
Policy should be coherent with the
Policy should be coherent with the
should be coherent with the
objectives and principles of the
objectives and principles of the
objectives and principles of the
Union’s external policies and in
Union’s external policies, in
Union’s external policies and in
particular its development policy,
particular its with the Common
particular its development and the
including the ‘Joint Statement on a
Foreign and Security Policy, with
Union’s Common Foreign and
European Development Policy: the
strategies relevant to the
Security Policy. Coherence with the
European Consensus’, adopted by
Neighbourhood and with the
external dimensions of Union’s
the Council and the representatives
Union's development policy,
internal policies and instruments
of the governments of the Member
including the ‘Joint Statement on a
should also be ensured. policy,
States meeting within the Council,
European Development Policy: the
including the ‘Joint Statement on a
the European Parliament and the
European Consensus’, adopted by
European Development Policy: the
Commission, on 22 December
the Council and the representatives
European Consensus’, adopted by the
2005.
of the governments of the Member
Council and the representatives of the
States meeting within the Council,
governments of the Member States
the European Parliament and the
meeting within the Council, the
Commission, on 22 December
European Parliament and the
2005.
Commission, on 22 December 2005.
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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
(13a) The Union should seek the
most efficient use of available
resources in order to optimise the
impact of its external action. This
should be achieved through a
comprehensive approach for each
country based on
complementarity, the creation of
synergies and the mutual
reinforcement of the programmes
devised under this Regulation
and the other external
instruments of the Union.

(13b) In order to ensure the
visibility of the Union’s
assistance towards the citizens of
the partner countries and those of
the Union, there should where
appropriate be proper, targeted
communication by adequate
means. Appropriate minimum
requirements should be defined
in this regard by the Commission
in close cooperation with
beneficiaries, and respect of those
requirements should be
monitored.

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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
(14) The Joint EU – Africa Strategy
deleted
is of relevance for relations with the
Mediterranean neighbours from
North Africa.
(14a) The European
Neighbourhood Policy should
enhance synergies with
multilateral projects initiated
through the Union for the
Mediterranean.

(15) The Union and its Member
(15) The Union and its Member
States should improve the
States should improve the
coherence and the complementarity
coherenceand the effectiveness
of their respective policies on
and complementarity of their
cooperation with neighbouring
respective policies on cooperation
countries. To ensure that the
with neighbouring countries. To
Union's cooperation and that of the
ensure that the Union's cooperation
Member States complement and
and that of the Member States
reinforce each other, it is
complement and reinforce each
appropriate to provide for joint
other, it is appropriate to provide
programming which should be
for joint programming coordinated
implemented whenever possible
by the Union, under the auspices
and relevant.
of the HR/VP, and through the
EU delegations, while cooperation
and coordination with other
international donors, international
financial institutions 
which should
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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
also be ensured implemented
whenever possible and relevant.
(16) Union support under this
(16 18) Union support under this
Regulation should in principle be
Regulation should in principle be
aligned to corresponding national,
aligned to corresponding national,
regional or local strategies and
regional or local strategies and
measures of partner countries.
measures of partner countries and, in
the case of multi-country and Cross-
Border Cooperation programmes,
where relevant, also to those of the
Russian Federation.

(17) In Neighbourhood countries
(17 19) In Neighbourhood countries
where alignment to Union rules and
where alignment to Union rules and
standards is one of the key policy
standards is one of the key policy
objectives, the Union is best placed
objectives, the Union is best placed to
to deliver this support. Certain
deliver this support. Certain specific
specific support can only be
support can only be provided at
provided at Union level.
Union level. EU Member States’
transition experience can also
contribute to the success of reforms
in neighbouring countries and to
promoting universal values in the
region.

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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
(18) Furthermore, since the
(18) Furthermore, since the
(18 20) Furthermore, since the
objectives of this Regulation,
objectives of this Regulation,
objectives of this Regulation, namely
namely to promote enhanced
namely to promote enhanced
to promote enhanced political
political cooperation and
political cooperation and based on
cooperation and progressive
progressive economic integration
deep democracy, progressive
economic integration between the
between the European Union and
economic integration between the
European Union and neighbouring
neighbouring countries, cannot be
European Union and neighbouring
countries, cannot be sufficiently
sufficiently achieved by the
countries, and strengthened
achieved by the Member States and
Member States and can, by reason
partnership with societies, cannot
can, by reason of the scale of the
of the scale of the action, be better
be sufficiently achieved by the
action, be better achieved at Union
achieved at Union level, the Union
Member States and can, by reason
level, the Union may adopt measures,
may adopt measures, in accordance
of the scale of the action, be better
in accordance with the principle of
with the principle of subsidiarity as
achieved at Union level, the Union
subsidiarity as set out in Article 5 of
set out in Article 5 of the Treaty. In
may adopt measures, in accordance
the Treaty on European UnionIn
accordance with the principle of
with the principle of subsidiarity as
accordance with the principle of
proportionality, as set out in that
set out in Article 5 of the Treaty. In
proportionality, as set out in that
Article, this Regulation does not go
accordance with the principle of
Article, this Regulation does not go
beyond what is necessary in order
proportionality, as set out in that
beyond what is necessary in order to
to achieve those objectives.
Article, this Regulation does not go
achieve those objectives.
beyond what is necessary in order
to achieve those objectives.
(19) European Union external
(19) European Union external
(19 21) European Union external
support has increasing financing
support has increasing financing
support has increasing financing
needs but the economic and
needs but the economic and
needs but the economic and
budgetary situation of the Union
budgetary situation of the Union
budgetary situation of the Union
limits the resources available for
limits the resources available for
limits the resources available for such
such support. The Commission
such support. The Commission
support. The Commission must
must therefore seek the most
must therefore seek the most
therefore seek the most efficient use
efficient use of available resources
efficient use of available resources
of available resources by using
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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
by using financial instruments with
and ensure best value for money
financial instruments with leverage
leverage effect. Such effect could
by using financial instruments with
effect. Such effect could be increased
be increased by enabling the use
leverage effect, but without
by enabling the use and re-use of
and re-use of funds invested and
compromising the just and fair use
funds invested and generated by
generated by financial instruments.
of the Union's resources. Such
financial instruments.1
effect could may be increased by
enabling the use and re-use of funds
invested and generated by financial
instruments. Cooperation with
public financial institutions in
accessing Union funds shall aim to
ensure Union visibility and
support to Union policies and
standards, maximising the
blending of grants and loans in
favour of Union policy objectives
and ensuring that the use of Union
funds always complies with the
best practices and rules as
stipulated in the Financial
Regulation and the Common
Implementing Regulation.

(20) Fighting climate change is one
of the great challenges which the
Union faces and urgent
international action is needed. In
accordance with the intent stated in
the Commission June 2011 MFF
1
Due to the ongoing negotiations on the revision of the Financial Regulation, Recital 21 is excluded from the partial general approach.
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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
Communication of increasing the
climate related proportion of the
Union budget to at least 20%, this
Regulation should contribute to that
goal.
(20a) A stable framework of
cooperation with neighbouring
countries in the area of energy and
resources, consistent with the
Union's internal market rules,
contributes to enhancing the
Union's security in that area
.
(20b) ENP is a unique platform
and opportunity for strengthening
cooperation in the area of higher
education, youth and student
exchange between the Union and
its neighbours and building
networks enhancing the capacity
of NGOs in the field of youth in
Europe and the European
Neighbourhood Policy countries,
which should all of them be
continued in the new Instrument
under this Regulation.

(21) Gender equality and anti-
(21) Gender equality and anti-
(21 23) Gender equality, the rights of
discrimination should be a cross-
discrimination fight against all
persons belonging to minorities and
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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
cutting objective in all actions
forms of discrimination and
anti-discrimination should be a are
undertaken under this Regulation.
inequalities should be a cross-
cross-cutting objectives in all actions
cutting objective in all actions
undertaken under this Regulation.
undertaken under this Regulation
(22) The Union is committed to
(22) The Union is committed to
(22 24) The Union is committed to
promote in relations with its
promote in relations with its
promote in relations with its partners
partners worldwide decent work as
partners worldwide decent work, as
worldwide decent work as well as
well as ratification and effective
well as ratification and effective
ratification and effective
implementation of the
implementation of the
implementation of the internationally
internationally recognised labour
internationally recognised labour
recognised labour standards and
standards and multilateral
standards from abusive working
multilateral environment agreements,
environment agreements, in
conditions including those
in relations with its partners
relations with its partners
eradicating illegal child labour,
worldwide.
worldwide.
and as well as multilateral
environment agreements, in
relations with its partners
worldwideThe Union should also
promote through this instrument a
sustainable industry policy,
corporate social responsibility,
environmentally responsible
business and policies that support
SMEs, tackle labour market issues
and develop social policies.

(23) The financial interests of the
(23 25) The financial interests of the
European Union should be
European Union should be protected
protected through proportionate
through proportionate measures
measures throughout the
throughout the expenditure cycle,
expenditure cycle, including the
including the prevention, detection
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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
prevention, detection and
and investigation of irregularities, the
investigation of irregularities, the
recovery of funds lost, wrongly paid
recovery of funds lost, wrongly
or incorrectly used and, where
paid or incorrectly used and, where
appropriate, penalties. These
appropriate, penalties. These
measures will should be carried out
measures will be carried out in
in accordance with the applicable
accordance with the applicable
agreements concluded with
agreements concluded with
international organisations and third
international organisations and third
countries.
countries.
(24) For the purpose of
deleted
harmonising the terminology with
the European Territorial Co-
operation, the implementation
documents for the Cross-Border
Cooperation programmes should be
called joint operational
programmes.
(25) In order for this Regulation to
deleted
(25) In order for this Regulation to be
be able to reflect swiftly the results
able to reflect swiftly the results of
of political decisions made by the
political decisions made by the
Council, the power to adopt acts in
Council, the power to adopt acts in
accordance with Article 290 of the
accordance with Article 290 of the
Treaty on the Functioning of the
Treaty on the Functioning of the
European Union should be
European Union should be delegated
delegated to the Commission for
to the Commission for updating the
updating the list of beneficiary
list of beneficiary countries in the
countries in the Annex to this
Annex to this Regulation.
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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
Regulation.
(26) While Regulation (EU) No
(26) While Regulation (EU) No
(26) While Regulation (EU) No …/…
…/… of the European Parliament
…/… of the European Parliament
of the European Parliament and of the
and of the Council of ….
and of the Council of ….
Council of ….  (hereinafter "the
(hereinafter "the Common
(hereinafter referred to as "the
Common Implementing Regulation")
Implementing Regulation")
Common Implementing
establishes common rules and
establishes common rules and
Regulation") establishes common
procedures for the implementation of
procedures for the implementation
rules and procedures for the
the Union's instruments for external
of the Union's instruments for
implementation of the Union's
action, delegated powers to adopt acts
external action, delegated powers to
instruments for external action,
in accordance with Article 290 of the
adopt acts in accordance with
delegated powers to adopt acts in
Treaty of the Functioning of the
Article 290 of the Treaty of the
accordance with Article 290 of the
European Union should be conferred
Functioning of the European Union
Treaty of the Functioning of the
to the Commission for adopting the
should be conferred to the
European Union should be
specific implementing measures
Commission for adopting the
conferred to the Commission for
required for the Cross-Border
specific implementing measures
updating the list of beneficiary
Cooperation mechanisms established
required for the Cross-Border
countries set out in the Annex to
in Title III of this Regulation. It is of
Cooperation mechanisms
this Regulation, for adopting the
particular importance that the
established in Title III of this
specific implementing measures
Commission should carry out
Regulation. It is of particular
required for the Cross-Border
appropriate consultations during its
importance that the Commission
Cooperation mechanisms
preparatory work, including at expert
should carry out appropriate
established in Title III of this
level. The Commission, when
consultations during its preparatory
Regulation, and for adopting
preparing and drawing-up delegated
work, including at expert level. The
strategic programming documents
acts, should further ensure a
Commission, when preparing and
defining objectives, priorities,
simultaneous, timely and appropriate
drawing-up delegated acts, should
expected results and financial
transmission of relevant documents to
further ensure a simultaneous,
allocations in broad terms. It is of
the European Parliament and Council.
timely and appropriate transmission
particular importance that the
of relevant documents to the
Commission should carry out
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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
European Parliament and Council.
appropriate consultations during its
preparatory work, including at
expert level. The Commission,
when preparing and drawing-up
delegated acts, should further
ensure a simultaneous, timely and
appropriate transmission of relevant
documents to the European
Parliament and to the Council.
(27) In order to ensure uniform
(27) In order to ensure uniform
conditions for the implementation
conditions for the implementation
of this Regulation, implementing
of this Regulation, implementing
powers should be conferred on the
powers should be conferred on the
Commission.
Commission. Those powers should
be exercised in accordance with
Regulation (EU) No 182/2011 of
the European Parliament and of
the Council of 16 February 2011
laying down the rules and general
principles concerning the
mechanisms of control by Member

States of the Commission’s
exercise of implementing powers2,
and with the Common
Implementing Regulation.

(28)
The implementing powers
deleted
(28) The implementing powers
OJ L 55, 28.2.2011, p. 13.
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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
relating to Article 7(1), (2), and (3)
relating to Article 7(1 2), (2 3), and (3
and to Article 9(1) should be
4)and to Article 9(1) and to Article
exercised in accordance with
12(1) should be exercised in
Regulation (EU) No 182/2011 of
accordance Regulation (EU) No
the European Parliament and of the
182/2011 of the European Parliament
Council of 16 February 2011 laying
and of the Council of 16 February
down the rules and general
2011 laying down the rules and
principles concerning mechanisms
general principles concerning
for control by Member States of the
mechanisms for control by Member
Commission's exercise of
States of the Commission's exercise
implementing powers . Taking into
of implementing powers . Taking into
account the nature of those
account the nature of those
implementing acts, in particular
implementing acts, in particular their
their policy orientation nature or
policy orientation nature or their
their financial implications, the
financial implications, the
examination procedure should in
examination procedure should in
principle be used for their adoption,
principle be used for their adoption,
except for measures of a small
except for measures of a small
financial scale.
financial scale.
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Council position
Commission proposal
AFET position
(Partial General Approach)
Comments
COM(2011) 839 final
AMs voted 9 July
(29)
The organisation and
functioning of the European
External Action Service are
described in Council Decision
2010/427/EU.
(30)
Given the objectives and
scope of the assistance provided
under this Regulation, the European
Economic and Social Committee
and the Committee of the Regions
have been consulted before its
adoption.

HAVE ADOPTED THIS
REGULATION:
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Commission proposal
Council position
AFET position
Comments
COM(2011) 839 final
(Partial General Approach)
AMs voted 9 July
Title I. OBJECTIVES AND PRINCIPLES
Article 1
Overall objective and scope

1. The Union aims to establish an
1. The Union aims to establish This
1. The Union aims to establish an
area of prosperity and good
Regulation establishes a European
area of shared prosperity and good
neighbourliness involving the
Neighbourhood Instrument with a
neighbourliness involving the
European Union and the countries
view to supporting the achievement
European Union and the countries
and territories listed in the Annex to
of the Union’s aim of establishing
and territories listed in the Annex to
this Regulation (hereinafter ‘the
an area of democracy, respect for
this Regulation (hereinafter ‘the
partner countries’) by developing a
human rights and the rule of law,
partner countries’) by developing a
special relationship.
prosperity, peacestability and good
special relationship founded on
neighbourliness involving the
cooperation, mutual accountability
European Union and the countries
and shared commitment to universal
and territories listed in the Annex to
values of democracy, rule of law
this Regulation (hereinafter ‘the
and respect of human rights.
partner countries’) by developing a
special relationship consistent with
Articles 2, 3 (5), 6, 8 and 21 of the
Treaty on European Union
.
2. Union support under this
2. Union support under this
2. Union support under this
Regulation shall be used for the
Regulation shall be used for the
Regulation shall be used for the
benefit of partner countries and can
benefit of partner countries and the
benefit of partner countries and the
also be used for the common
regions involved in the Cross-
regions involved in the Cross-
benefit of EU and partner countries.
Border Cooperation. It can also be
Border Cooperation. It can also be
used for the common benefit of EU
used for the common benefit of EU
the Union and partner countries.
the Union and partner countries.
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Commission proposal
Council position
AFET position
Comments
COM(2011) 839 final
(Partial General Approach)
AMs voted 9 July
3. Union funding may also be used
3. Union funding may also be used
3. Union funding may also be used
for the purpose of enabling the
for the purpose of enabling the
for the purpose of enabling the
Russian Federation to participate in
Russian Federation to participate in
Russian Federation to participate in
Cross-Border Cooperation and in
Cross-Border Cooperation and in
Cross-Border Cooperation and in
relevant multi-country programmes,
relevant multi-country programmes
regional cooperation with EU
to reflect the specific status of the
to reflect the specific status of the
participation and in relevant multi-
Russian Federation as both a Union
Russian Federation as both a Union
country programmes, to reflect the
neighbour and a strategic partner in
neighbour and a strategic partner in
specific status of the Russian
the region.
the region for the common benefit
Federation as both a Union
of border regions including
neighbour and a strategic partner in
Russian regions, partner countries
the region including in cooperation
and the Union.
on education.
4. Union funding under this
Regulation for the countries and
territories listed in the Annex is
limited to their respective territory
as defined in accordance with
international law.

Article 2
Specific objectives of Union’s
support

1. Support under this Regulation
1. Support under this Regulation
1. Support under this Regulation
shall promote enhanced political
shall promote enhanced political
shall promote focus on promoting
cooperation and progressive
cooperation based on deep
enhanced political cooperation and
economic integration between the
democracy, and progressive
progressive economic integration
Union and the partner countries
economic integration and shall
between the Union and the partner
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Commission proposal
Council position
AFET position
Comments
COM(2011) 839 final
(Partial General Approach)
AMs voted 9 July
and, in particular, the
strengthen partnership with
countries and, in particular, the
implementation of partnership and
societies between the Union and the
implementation of partnership and
cooperation agreements, association
partner countries and, in particular,
cooperation agreements, association
agreements or other existing and
the implementation of partnership
agreements or other existing and
future agreements, and jointly
and cooperation agreements,
future agreements, and jointly agreed
agreed action plans.
association agreementsdeep and
action plans or equivalent
comprehensive free trade
documents.
agreements (DCFTAs) or other
existing and future agreements, and
jointly agreed action plans or
equivalent documents
.
2. Union support should target in
2. Union support should target aim
2. Union support should shall target
particular:
in particular at:
in particular:
(a) promoting human rights and
(a) promoting human rights and
(a) promoting human rights and
fundamental freedoms, the rule of
their indivisibility, minority rights
fundamental freedoms, the rule of
law, principles of equality,
and fundamental freedoms, the rule
law, principles of equality,
establishing deep and sustainable
of law, principles of equality, and
establishing deep and sustainable
democracy, promoting good
fight against discrimination in all
democracy, promoting good
governance and developing a
its forms; supporting the transition
governance and developing a
thriving civil society including
to and establishment of establishing
thriving civil society including social
social partners;
deep and sustainable democracy;
partners;
(b) achieving progressive
promoting good governance,
(b) achieving progressive integration
integration into the Union internal
transparency and fight against
into the Union internal market and
market and enhanced sector and
corruptionstrengthening of
enhanced sector and cross-sectoral
cross-sectoral co-operation
capacities of local and regional
co-operation including through
including through legislative
authorities; and developing a
legislative approximation and
approximation and regulatory
thriving civil society including
regulatory convergence towards
convergence towards Union and
social partners;
Union and other relevant
other relevant international
(b) achieving progressive
international standards and improved
standards, related institution
integration into the Union internal
market access including through
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Commission proposal
Council position
AFET position
Comments
COM(2011) 839 final
(Partial General Approach)
AMs voted 9 July
building and investments, notably
market and increasing mutual
deep and comprehensive free trade
in interconnections;
market access (also through Deep
areasrelated institution building and
(c) creating conditions for well
and Comprehensive Free Trade
investments, notably in
managed mobility of people and
Areas ) and enhanced sector and
interconnections;
promotion of people-to-people
cross-sectoral co-operation
(c) creating conditions for well
contacts;
including through legislative
managed mobility of people and
(d) sustainable and inclusive
approximation and regulatory
promotion of people-to-people
development in all aspects, poverty
convergence towards Union and
contacts;
reduction, including through
other relevant international
(d) smartsustainable and inclusive
private-sector development;
standards, related institution
development in all aspects,poverty
promotion of internal economic,
building and investments, notably in
reduction, including through private-
social and territorial cohesion, rural
interconnections;
sector development; promotion of
development, climate action and
(ba) strengthening domestic
capacity building in science, higher
disaster resilience;
accountability and establishing an
education, technology and
(e) promoting confidence building
institutionalised consultation and
innovation and of a Common
and other measures contributing to
monitoring mechanism with civil
Knowledge and Innovation Space;
security and the prevention and
society organisations,
promotion of internal economic,
settlement of conflicts;
environmental and social partners
social and territorial cohesion,rural
(f) enhancing sub-regional, regional
and other non-state actors;
developmentenvironmental
and Neighbourhood wide
(c) creating conditions for well
protection, climate action and
collaboration as well as Cross-
managed mobility of people and,
disaster resilience;
Border Cooperation.
especially migration flows,
(e) promoting confidence building
facilitating visa delivery with a
and other measures contributing to
possibility of eventual visa
security and the prevention and
liberalisation, promotion of people-
settlement of conflicts;
to-people contacts in particular in
(f) enhancing sub-regional, regional
cultural, educational, professional
and Neighbourhood wide
and sporting activities;
collaboration as well as Cross-Border
(d) supporting sustainable and
Cooperation.
inclusive socio-economic
development in all aspects, poverty
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Council position
AFET position
Comments
COM(2011) 839 final
(Partial General Approach)
AMs voted 9 July
reduction, including through,
fostering 
private-sector
developmentreducing poverty,
and social exclusion, promoting
promotion of internal economic,
social and territorial cohesion, rural
development, public health, climate
action and environmental
protection as well as 
and disaster
resiliencesupporting job and
wealth creation as well as
innovation inter alia through
support to SMEs, to R&D projects
and the promotion of renewable
forms of energy;
(e)  promoting  confidence  building,
good  neighbourly  relations
and
other  measures  contributing  to
security, including energy security,
as  well  as peace  building, 
and the
prevention 
and 
settlement 
of
conflicts and frozen conflicts;
(f) enhancing sub-regional, regional
and Neighbourhood wide
collaboration as well as Cross-
Border Cooperation.
3.The achievement of these
3. The achievement of these
3.The achievement of these priority
objectives shall be measured using
specific objectives shall be
objectives shall be measured using
notably the relevant EU periodic
measured using notably the relevant
notably the relevant EU Union
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Commission proposal
Council position
AFET position
Comments
COM(2011) 839 final
(Partial General Approach)
AMs voted 9 July
reports on the implementation of
EU periodic reports on the
periodic reports on the
the policy, and for paragraphs 2(a),
implementation of the policy, and
implementation of the policy, and for
(d) and (e), the relevant indicators
for paragraphs 2(a), (d) and (e),
paragraphs 2(a), (d) and (e), the
established by international
predefinedcleartransparent and
relevant indicators established by
organisations and other relevant
measurable indicatorswhile
international organisations and other
bodies; for paragraphs 2(b), (c) and
avoiding the creation of any
relevant bodies; for paragraphs 2(b),
(d) the uptake of the EU regulatory
unnecessary additional
(c) and (d) the extent of the uptake
framework by the partner countries
administrative burdens. The list of
of the EU Union regulatory
as relevant; for paragraphs 2(c) and
those the relevant indicators shall
framework by the partner countries
(f), the number of relevant
be established by international
as relevant; for paragraphs 2(c) and
agreements and cooperation actions. organisations and other relevant
(f), the number of relevant
The indicators will include, among
bodies; for paragraphs 2(b), (c) and
agreements and cooperation actions.
others, adequately monitored
(d) the uptake of the EU regulatory
The indicators will include, among
democratic elections, level of
framework by the partner countries
others, adequately monitored
corruption, trade flows, indicators
as relevant; for paragraphs 2(c) and
democratic electionscooperation on
enabling measuring internal
(f), the number of relevant
justice, freedom and security issues,
economic disparities, including
agreements and cooperation actions.
level of corruption, trade flows,
employment levels.
The indicators will include, among
gender equality and indicators
others, adequately monitored
enabling measuring internal
democratic elections, level of
economic disparities, including
corruption, trade flows, indicators
employment levels.
enabling measuring internal
economic disparities, including
employment levels the Commission
and communicated to the
European Council and the
European Parliament within one
year after entering into force of the
Regulation
.
4. Union support may also be used
4. In duly justified cases, Union
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Council position
AFET position
Comments
COM(2011) 839 final
(Partial General Approach)
AMs voted 9 July
in other areas when this is
support may also be used in other
consistent with the overall
relevant areas when this is
objectives of the European
consistent with the overall
Neighbourhood Policy.
objectives of the European
Neighbourhood Policy.
4a. The European Neighbourhood
Instrument shall also serve as an
instrument for the establishment or
enhancement of sufficient
institutional and administrative
capacity in order to ensure the
correct utilisation of Union funds.

Article 3
Policy framework

1. The partnership and cooperation
1.The partnership and cooperation
1. The partnership and cooperation
agreements, the association
agreements, the association
agreements, the association
agreements and other existing or
agreements, deep and
agreements and other existing or
future agreements that establish a
comprehensive free trade
future agreements that establish a
relationship with partner countries,
agreements (DCFTAs) and other
relationship with partner countries,
corresponding Communications,
existing or future agreements that
corresponding Communications,
Council conclusions and European
establish a relationship with partner
and Council conclusions and
Parliament Resolutions as well as
countries, corresponding
European Parliament Resolutions as
relevant conclusions of ministerial
Communications and Country
well as relevant summit declarations
meetings with the partner countries
Reports, Council conclusions and
or conclusions of ministerial
shall constitute the overall policy
European Parliament Resolutions as
meetings with the partner countries
framework for programming and
well as relevant documents such as
of the European Neighbourhood
implementing Union support under
summit declarations or conclusions
Policy including in the context of
this Regulation.
of ministerial or interparliamentary
the Eastern Partnership and the
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Commission proposal
Council position
AFET position
Comments
COM(2011) 839 final
(Partial General Approach)
AMs voted 9 July
meetings with the partner countries
Union for the Mediterranean, shall,
as well as relevant regional
while respecting the principle of
cooperation policy documents shall
ownership, constitute the overall
constitute the overall policy
policy framework for programming
framework for programming and
and implementing Union support
implementing Union support under
under this Regulation.
this Regulation.
2. Jointly agreed action plans or
2. Jointly agreed aAction plans or
2. Jointly agreed action plans or other
other equivalent documents
other equivalent jointly agreed
equivalent documents such as the
between the partner countries and
documents between the partner
association agendas between the
the Union shall provide the key
countries and the Union in bilateral
partner countries and the Union,
point of reference for setting the
or multilateral formats shall
including as relevant within the
priorities for Union support.
provide the key point of reference
Eastern Partnership and the
for setting the priorities for Union
Southern dimension of the
support.
European Neighbourhood Policy,
shall provide the key point of
reference for setting the priorities for
Union support and for the
assessment of progress outlined in
Art 2(3).

3. Where no agreements, as
3. Where no agreements, as
mentioned in paragraph 1, between
mentioned in paragraph 1, between
the Union and partner countries
the Union and partner countries
exist, Union support may be
exist, Union support may be
provided when it proves useful to
provided when it proves useful to
pursue Union policy objectives, and
pursue Union policy objectives, and
shall be programmed on the basis of
shall be programmed on the basis of
such objectives taking into account
such objectives taking into account
the needs of the country concerned.
the needs, commitment to reforms
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Commission proposal
Council position
AFET position
Comments
COM(2011) 839 final
(Partial General Approach)
AMs voted 9 July
and performance of the country
concerned.
3a. Cooperation with Russian
Federation is based on its status as
the Union neighbour and strategic
partnership. The Northern
Dimension policy documents and
other relevant documents provide
the political framework for
regional and Cross-border
cooperation with Russia. Black Sea
Synergy is based on the Joint
Statement of the Ministers of
Foreign Affairs of the countries of
the European Union and of the
wider Black Sea area.

Article 4
Differentiation, partnership and
co-financing

1. Union support provided under
1. Union support provided under
1. Union support provided under
this Regulation to each partner
this Regulation to each partner
Article 6(1) (a) of this Regulation to
country shall be differentiated in
country under point (a) of Article
each partner country shall be
form and amounts according to the
6(1) of this Regulation shall be
differentiated in form and amounts
partner country’s commitment to
incentive-based and differentiated
according to the and reflect partner
reforms and its progress in
in form and amounts according to
country’s commitment to reforms
implementing these reforms. Such
the commitment to democratic
and its progress in implementing
differentiation shall reflect the level
reforms, the needs and the
these reforms. Such differentiation
of ambition of the country’s
absorption capacities of the partner
shall reflect the level of ambition of
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Commission proposal
Council position
AFET position
Comments
COM(2011) 839 final
(Partial General Approach)
AMs voted 9 July
partnership with the Union, its
country’s commitment to reforms
the country’s partnership with the
progress in building deep and
and its progress in implementing
Union, its progress in building deep
sustainable democracy, its progress
these reforms concerned and the
and sustainable democracy, its
in implementing agreed reform
potential impact of the Union
progress in implementing agreed
objectives, the country’s needs and
support. Such differentiation shall
reform objectives, the country’s
capacities, and the potential impact
be in line with the principle of
needs and capacities,:
of Union support.
mutual accountability and shall
needs, using indicators such as
reflect the level of ambition of the
population and level of
country’s to develop its partnership
development;
with the Union, its progress in
- commitment to and progress in
building deep and sustainable
implementing agreed political,
democracy, its progress in
economic and social reform
implementing and to achieve
objectives;
commonly agreed reform
- commitment to and progress in
objectives, the country’s needs and
building deep and sustainable
capacities, and the potential impact
democracy;
of Union support.
- partnership with the EU, including
its level of ambition;

This support will be reflected in the
- absorption capacity and the
multi-annual programming
potential impact of Union EU
documents specified in Article 7.
support.
This support will be reflected in the
multi-annual programming
documents specified in Article 7.

1a. Support in form and amounts
2. Following the adoption of the
according to ´more for more´
programming documents specified
principle will be made available to
in Article 7 and without prejudice to
the partner country committed to
the other elements outlined in
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Commission proposal
Council position
AFET position
Comments
COM(2011) 839 final
(Partial General Approach)
AMs voted 9 July
and demonstrating progress in:
Article 4(1), including partners'
- undertaking significant reforms
needs, the share of available
aimed at building or consolidating
resources offered to partner
democracy;
countries will be adapted according
- undertaking significant political,
to their progress in building deep
economic and social reforms and
and sustainable democracy and in
implementing agreed reform
implementing agreed reform
objectives.
objectives. Support may be
reconsidered, also taking into
account Article 15, in the event of
serious or persistent regression in
these areas. This incentive-driven
approach will not apply to support
to civil society, people-to-people
contacts, including cooperation
among local authorities, support for
the improvement of human rights,
or crisis-related support measures.

(1b) The annual progress reports
3. Implementation of the incentive-
on each partner country published
driven approach under this
by the Commission shall assess the
Regulation will be the subject of
progress referred to in paragraph
regular exchanges of views among
1a outlining trends compared to
the EEAS, the Commission and the
the previous years  On the basis of
Member States in the Committee
this assessment, Commission shall
referred to in Article 13 and in the
recommend possible revision or
Council.
continuation of the support.
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Commission proposal
Council position
AFET position
Comments
COM(2011) 839 final
(Partial General Approach)
AMs voted 9 July
2. Union support under this
2. Union support under this
Regulation shall, in principle, be
Regulation shall, in principle, be
established in partnership with the
established in partnership with the
beneficiaries. The partnership shall
beneficiaries. The partnership shall, in
involve as appropriate, national,
a transparent and verifiable way and
regional and local authorities, other
through an institutionalised
stakeholders, civil society, social
mechanism, involve the following as
partners and other non-state actors
appropriate, national, regional and
in preparing, implementing and
local authorities, other stakeholders,
monitoring Union support.
civil society, social partners and other
non-state actors in preparing,
implementing, and monitoring and
evaluating 
Union support:
(i) national, regional and local
authorities;
(ii) civil society organisations;
(iii) social partners;
(iv) other non-state actors.

In the framework of this
partnership, a genuine, timely and
thorough consultation, dialogue
and information flow with these
actors shall be ensured. The
Commission, and in particular the
Union's delegations in partner
countries, shall ensure that
appropriate steps are taken to
enhance the capacities of civil
society organisations and other
stakeholders to play a meaningful

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Commission proposal
Council position
AFET position
Comments
COM(2011) 839 final
(Partial General Approach)
AMs voted 9 July
part in that process and to
guarantee an effective domestic
accountability  and local
ownership.

3. Union support under this
3. Union support under this
5. Union support under this
Regulation shall in principle be co-
Regulation shall in principle be co-
Regulation shall in principle be co-
financed by the partner countries
financed by the partner and other
financed by the partner and other
through public funds, contributions
participating countries through
participating countries through
from the beneficiaries or other
public funds, contributions from the
public funds, contributions from the
sources. The same principle shall be
beneficiaries or other sources. The
beneficiaries or other sources. The
applicable to the cooperation with
same principle shall be applicable to
same principle shall be applicable to
the Russian Federation, particularly
the cooperation with the Russian
the cooperation with the Russian
with regard to programmes referred
Federation, particularly with regard to
Federation, particularly with regard
to in Article 6(1) (c). Co-financing
programmes referred to in Article
to programmes referred to in Article
requirements may be waived in
6(1) (c) points (b) and (c) of Article
6(1) (b) and (c). Co-financing
duly justified cases and when this is
6(1). Co-financing requirements shall
requirements may be waived in duly
necessary to support the
may be waived in duly justified
justified cases and when this is
development of civil society and
cases and when this is necessary to
necessary to support the development
non-state actors, without prejudice
support the development of civil
of civil society and non-state actors,
to compliance with the other
society and non-state actors,
without prejudice to compliance with
conditions set out in the Financial
especially small-scale civil society
the other conditions set out in the
Regulation.
organisations, without prejudice to
Financial Regulation.
compliance with the other conditions
set out in the Financial Regulation.
Article 5
Coherence and Donor
Coordination

1. In implementing this Regulation,
1. In implementing this Regulation,
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Commission proposal
Council position
AFET position
Comments
COM(2011) 839 final
(Partial General Approach)
AMs voted 9 July
coherence shall be ensured with
coherence shall be ensured with other
other areas of the Union external
all areas of the Union external action
action as well as other relevant
as well as other relevant Union
Union policies. To this end,
policies. To this end, measures
measures financed under this
financed under this Regulation,
Regulation, including those
including those managed by the
managed by the European
European Investment Bank (EIB),
Investment Bank (EIB), shall be
shall be based on the cooperation
based on the cooperation policy
policy documents described in
documents described in Article 3(1)
Article 3(1) and (2) as well as on the
and (2) as well as on the Union’s
Union’s specific interests, policy
specific interests, policy priorities
priorities and strategies. Such
and strategies. Such measures shall
measures shall respect the
respect the commitments under
commitments under multilateral
multilateral agreements and
agreements and international
international conventions to which
conventions to which the Union and
the Union and partner countries are
partner countries are parties.
parties.
2. The Commission, the Member
2. The Commission, the Member
2. The Commission, the European
States and the European Investment
States and the European Investment
External Action Service, the
Bank (EIB) shall ensure coherence
Bank (EIB) shall ensure coherence
Member States and the European
between support provided under
between support provided under
Investment Bank (EIB) shall ensure
this Regulation and other support
this Regulation and other support
coherence between support provided
provided by the Union, the Member
provided by the Union, the Member
under this Regulation and other
States and the European Investment
Statesand the European Investment
support provided by the Union, the
Bank.
Bank the EIB and the EBRD.
Member States and the European
Investment Bank.
3. The Union and the Member
3. The Union and the Member States
States shall coordinate their
shall coordinate their respective
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Commission proposal
Council position
AFET position
Comments
COM(2011) 839 final
(Partial General Approach)
AMs voted 9 July
respective support programmes
support programmes with the aim of
with the aim of increasing
increasing effectiveness and
effectiveness and efficiency in the
efficiency in the delivery of support
delivery of support and policy
and policy dialogue and preventing
dialogue in line with the established
overlapping of funding in line with
principles for strengthening
the established principles for
operational coordination in the field
strengthening operational
of external support, and for
coordination in the field of external
harmonising policies and
support, and for harmonising
procedures. Coordination shall
policies and procedures.
involve regular consultations and
Coordination shall involve regular
frequent exchanges of relevant
consultations and frequent
information during the different
exchanges of relevant information
phases of the support cycle, in
during the different phases of the
particular at field level, and may
support cycle, in particular at field
lead to joint programming,
level, and may lead to joint
delegated co-operation and/or
programming, delegated co-
transfer arrangements.
operation and/or transfer
arrangements. Joint programming
shall become a rule for the
provision of assistance to all
partner countries covered by this
Regulation. The reports on the
implementation of the instrument
established by this Regulation shall
contain a section on joint
programming. Where no joint
programming has been
implemented, the reports shall set
out the reasons for this and specify
the alternative arrangements

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Commission proposal
Council position
AFET position
Comments
COM(2011) 839 final
(Partial General Approach)
AMs voted 9 July
introduced to ensure a high level
of coordination
.
4. The Union shall, in liaison with
4. The Union shall, in liaison with
4. The Union shall, in liaison with
the Member States, take the
the Member States, take the
the Member States, take the
necessary steps to ensure proper
necessary steps, including
necessary steps, including
coordination and cooperation with
consultations at an early stage of
consultations at an early stage of
multilateral and regional
the programming process, to
the programming process, to ensure
organisations and entities, including
ensure complementarity, proper
complementarity, proper
European financial institutions,
coordination and cooperation with
coordination and cooperation with
international financial institutions,
multilateral and regional
multilateral and regional
United Nations agencies, funds and
organisations and entities, including
organisations and entities, including
programmes, private and political
European financial institutions,
European financial institutions,
foundations and non-European
international financial institutions,
international financial institutions,
Union donors.
United Nations agencies, funds and
United Nations agencies, funds and
programmes, private and political
programmes, private and political
foundations and non-European
foundations and non-European Union
Union donors.
donors.
4a. The documents referred to in
Article 7(1) and (2) shall include
detailed and up-to-date donor
matrices and shall describe the
steps to be taken to enhance donor
coordination, in particular between
the Union and Member States.

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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
Title II. INDICATIVE PROGRAMMING AND ALLOCATION OF FUNDS
Article 6
Type of programmes

1. Union support under this
1. Union support under this
1. Union support under this
Regulation shall be programmed
Regulation shall be programmed
Regulation shall be programmed
through:
through:
through:
(a) bilateral programmes covering
(a) bilateral programmes covering
(a) bilateral programmes covering
support to one partner country;
support to one partner country;
support to one partner country;
(b) multi-country programmes
(b) multi-country programmes which
(b) multi-country programmes which
which address challenges common
address challenges common to all or
address challenges common to all or
to all or a number of partner
a number of partner countries, and
a number of partner countries, based
countries, and regional and sub-
based on priorities of the European
on priorities of the Eastern
regional cooperation between two
Neighbourhood Policy, or regional
Partnership and Southern
or more partner countries, and
and sub-regional cooperation
Dimension of the European
which may include cooperation
between two or more partner
Neighbourhood Policy and taking
with the Russian Federation;
countries, and which may include
into account the work carried out in
(c) Cross-Border Cooperation
cooperation with the Russian
the context of the Union for the
programmes addressing
Federation;
Mediterranean, and regional and
cooperation between one or more
(c) Cross-Border Cooperation
sub-regional cooperationprimarily
Member States on the one hand
programmes addressing cooperation
between two or more partner
and one or more partner countries
between one or more Member States
countries, and which may include.
and/or the Russian Federation on
on the one hand and one or more
This cooperation with may involve
the other hand taking place along
partner countries and/or the Russian
the Russian Federation in
their shared part of the external
Federation on the other hand taking
accordance with Article 1(3);
border of the EU.
place along their shared part of the
(c) Cross-Border Cooperation
external border of the EU.
programmes addressing cooperation
between one or more Member States
on the one hand and one or more
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
partner countries and/or the Russian
Federation on the other hand taking
place along their shared part of the
external border of the EU Union.
2. Union support under this
2. Union support under this
Regulation shall be implemented
Regulation shall be implemented in
in accordance with the Common
accordance with the Common
Implementing Regulation.
Implementing Regulation and for the
programmes referred to in the
Article 6 (1) (c) also in accordance
with the ENI Cross-Border
Cooperation Implementing Rules
3.
Article 7
Programming and indicative
allocation of funds for country
and multi country indicative
programmes

-1. The documents referred to in this
Article shall constitute strategic
programming documents within the
meaning of Article 2 of the
Common Implementing Regulation
and shall be adopted by means of

3
Agreement on this paragraph is provisional and Member States reserve their right to come back to the text once the Commission has tabled its proposal for the ENI Cross-
Border Cooperation Implementing Rules.
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
delegated acts in accordance with
the procedure laid down in Articles
13 and 14 of this Regulation.

1. Financial allocations for country
programmes shall be determined on
the basis of criteria set out in Article
4(1).

1. For countries where the
1. For countries where the documents
2. For countries where the
documents referred to in Article
referred to in Article 3(2) exist, a
documents referred to in Article 3(2)
3(2) exist, a comprehensive multi-
comprehensive multi-annual Single
exist, a comprehensive multi-annual
annual Single Support Framework
Support Framework shall be adopted
Single Support Framework shall be
shall be adopted in accordance
by means of a delegated act in
adopted in accordance with the
with the examination procedure
accordance with the examination
examination procedure referred to in
referred to in Article 15(3) of the
procedure referred to in Article 15(3)
Article 15(3) of the Common
Common Implementing
of the Common Implementing
Implementing Regulation. The
Regulation. The Single Support
Regulation Article 13. The Single
Single Support Framework shall
Framework shall review the
Support Framework shall review the
review the progress made in relation
progress made in relation to the
progress made in relation to the
to the policy framework and shall list
policy framework and shall list
policy framework and shall list
priorities for Union support, mainly
priorities for Union support,
priorities for Union support, mainly
selected from those included in the
mainly selected from those
selected from those included:
documents referred to in Article 3(2)
included in the documents referred
(i) assess the achievement of
and in partner countries’ strategies or
to in Article 3(2) and in partner
previously agreed objectives as well
plans, and for which the Union’s
countries’ strategies or plans, and
as the state of play as regards the
regular assessment has shown the
for which the Union’s regular
relations between the Union and the
need for support. It shall also set out
assessment has shown the need for
partner country, including that
their indicative level of funding.
support. It shall also set out their
country's level of ambition for its
Financial allocations for each
indicative level of funding. The
partnership with the Union;
Single Support Framework will be
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
duration of the Single Support
given in the form of a range with a
(ii) set out the objectives and
Framework shall correspond to the
variance of not more than 20%. The
priorities of the assistance, mainly
duration of the relevant document
duration of the Single Support
selected from those included in the
referred to in Article 3(2).
Framework shall correspond to the
documents referred to in Article 3(2)
duration of the relevant document
and in partner countries’ strategies or
referred to in Article 3(2).
plans where this is consistent with
the overall policy framework
, and
for which the Union’s regular
assessment has shown the need for
support;
(iii) indicate expected results; and
(iv) It shall also set out their the
indicative level of funding broken
down by priority
.
The duration of the Single Support
Framework shall correspond to the
duration of the relevant document
referred to in Article 3(2).
2. For countries where the
2. For countries where the documents
3. For countries where the
documents referred to in Article
referred to in Article 3(2) do not
documents referred to in Article 3(2)
3(2) do not exist, a comprehensive
exist, a comprehensive programming
do not exist, a comprehensive
programming document including
document including a Strategy and a
programming document including a
a Strategy and a Multi-annual
Multi-annual indicative programme
Sstrategy and a Mmulti-annual
indicative programme shall be
shall be adopted by means of a
indicative programme shall be
adopted in accordance with the
delegated act in accordance with the
adopted in accordance with the
examination procedure referred to
examination procedure referred to in
examination procedure referred to in
in Article 15(3) of the Common
Article 15(3) of the Common
Article 15(3) of the Common
Implementing Regulation. It shall
Implementing Regulation Article 13.
Implementing Regulation. It shall
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
define a Union response strategy
It shall:
define a Union response strategy on
on the basis of an analysis of
the basis of an analysis of the
situation of the country concerned,
(i) define a Union response strategy
situation of the country concerned,
and of its relations with the Union,
on the basis of an analysis of the
and of its relations with the Union,
the partner countries’ strategies or
situation of the country concerned,
the partner countries’ country's
plans, the priorities for Union
and of its relations with the Union,
strategies or plans, the priorities for
support and the indicative level of
and of the partner countries’
Union support and the indicative
funding broken down by priority.
strategies or plans where this is
level of funding broken down by
It shall have an appropriate multi-
consistent with the overall policy
priority. It Accompanying financial
annual duration.
framework;
allocations will be given in the form
of a range with a variance of not

(ii) set out the objectives and the
more than 20%. The programming
priorities for Union support and of
document shall have an appropriate
the assistance;
multi-annual duration.
(iii) indicate expected results; and
(iv) set out the indicative level of
funding broken down by priority.
It shall have an appropriate multi-
annual duration.
3. For multi-country programmes,
3. For multi-country programmes, a
4. For multi-country programmes, a
a comprehensive programming
comprehensive programming
comprehensive programming
document including a Strategy and
document including a Strategy and a
document including a Sstrategy and a
a Multi-annual indicative
Multi-annual indicative programme
Mmulti-annual indicative
programme shall be adopted in
shall be adopted by means of a
programme shall be adopted in
accordance with the examination
delegated act in accordance with the
accordance with the examination
procedure referred to in Article
examination procedure referred to in
procedure referred to in Article 15(3)
15(3) of the Common
Article 15(3) of the Common
of the Common Implementing
Implementing Regulation. It shall
Implementing Regulation Article 13.
Regulation. It shall define the
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
define the priorities for Union
It shall:
priorities for Union support towards
support towards the region or the
the region or the sub-region and the
sub-region and the indicative level
(i) define the objectives and priorities
indicative level of funding broken
of funding broken down by
for Union support towards the region
down by priority. It shall have an
priority. It shall have an
or the sub-region, reflecting where
appropriate multi-annual duration.
appropriate multi-annual duration.
applicable the priorities decided
Financial allocations for multi-
upon within the framework of the
country programmes shall be
Eastern Partnership or the Union
determined on the basis of
for the Mediterranean;
transparent and objective criteria.
(iiindicate expected results; and
(iii) set out the indicative level of
funding broken down by priority.
It shall have an appropriate multi-
annual duration.
4. The Single Support Framework
4. The Single Support Framework
5. The Single Support Framework
documents referred to in paragraph documents referred to in paragraph 1
documents referred to in paragraph
1 shall be reviewed when
shall be reviewed when necessary
12 of this Article shall be reviewed
necessary and may be revised in
and may be revised by means of a
when necessary, including in the
accordance with the examination
delegated act in accordance with the
light of the relevant EU periodic
procedure referred to in Article
examination procedure referred to in
reports and taking account of the
15(3) of the Common
Article 15(3) of the Common
work of the joint bodies established
Implementing Regulation. The
Implementing Regulation Article 13.
under the agreements with partner
programming documents referred
The programming documents
countries, and may be revised in
to in paragraphs 2 and 3 shall be
referred to in paragraphs 2 and 3
accordance with the examination
reviewed at their mid-term or
shall be reviewed at their mid-term
procedure referred to in Article 15(3)
whenever necessary and may be
or whenever necessary and may be
of the Common Implementing
revised in accordance with the
revised in accordance with the same
Regulation. The programming
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
same procedure.
procedure.
documents referred to in paragraphs
and 3 4 of this Article shall be
reviewed at their mid-term or
whenever necessary and may be
revised in accordance with the same
procedure.
5. Financial allocations for country
5. Financial allocations for country
5. Financial allocations for country
and multi-country programmes
and multi-country programmes shall
and multi-country programmes shall
shall be determined using
be determined using transparent and
be determined using transparent and
transparent and objective criteria
objective criteria, clearly established
objective criteria reflecting the
reflecting the differentiation
and assessed, and reflecting the
differentiation principle referred to in
principle referred to in Article
differentiation principle referred to in
Article 4(1).
4(1).
Article 4(1).
6. To facilitate the implementation
of the incentive-driven approach
referred to in Article 4(2), in the
range of 10% of the ENI budget will
be allocated to multi-country
umbrella programmes that will
supplement the country financial
allocations referred to in Articles
7(2) and 7(3). The relevant
Commission decisions establishing
these umbrella programmes will
specify the countries that may
receive allocations, with the actual
allocations to be decided

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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
subsequently on the basis of
progress towards deep and
sustainable democracy and
implementation of agreed reform
objectives.

6. When it is necessary to
7. When it is necessary to
implement more effectively
implement more effectively measures
measures for the common benefit
for the common benefit of the Union
of the Union and partner countries,
and partner countries, in areas such
in areas such as transnational co-
as transnational co-operation
operation and inter-connections,
cooperation and inter-connections,
funding under this Regulation can
funding under this Regulation can be
be pooled together with funding
pooled together with funding covered
covered by other relevant Union
by other relevant Union Regulations
Regulations establishing financial
establishing financial instruments. In
instruments. In this case, the
this case, the Commission shall
Commission shall decide which
decide which single set of rules
single set of rules should apply to
should shall apply to
implementation.
implementation.
7. Member States and other donors
7. Member States and other donors
8. Member States and other donors
that have committed to jointly
that have committed to jointly
that have committed to jointly
programme their support with the
programme their support with the EU
programme their support with the EU
EU shall be involved in the
shall be involved in the programming
shall be involved in the programming
programming process. The
process. The programming
process. Those Member States and
programming documents may also
documents may also cover their
other donors that have committed to
cover their contribution as
contribution as appropriate. The
jointly programme their support
appropriate.
European Parliament and the
with the EU shall be particularly
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
Council shall be duly informed at
closely involved. The programming
all stages of the programming
documents may also cover their
process, especially when Union
contribution as appropriate.
budgetary spending is involved.
8. When Member States and other
8. When Member States and other
9. When Where Member States and
donors have committed to jointly
donors have committed to jointly
other donors have committed to
programme their support, a joint
programme their support, a joint
jointly programme their support, a
multi-annual programming
multi-annual programming document
joint multi-annual programming
document may replace the Single
may replace the Single Support
document may replace the Single
Support Framework referred to in
Framework referred to in paragraph
Support Framework referred to in
paragraph (1) and the
(1) and the programming documents
paragraph (12) and the programming
programming documents referred
referred to in paragraphs (2) and (3),
documents referred to in paragraphs
to in paragraphs (2) and (3), on
on condition that it meets the
(23) and (34), on condition that it
condition that it meets the
requirements set out in these
meets the requirements set out in
requirements set out in these
provisions. The parts of that
these provisions.
provisions.
document covering the Union
budget shall be deemed to constitute
strategic programming documents
and shall be adopted by means of a
delegated act in accordance with
Article 13.

9. In the event of crises or threats
9. In the event of crises or threats to
10. In the event of crises or threats
to democracy, the rule of law,
democracy, the rule of law, human
to democracy, the rule of law, human
human rights and fundamental
rights and fundamental freedoms, or
rights and fundamental freedoms, or
freedoms, or of natural or man-
of natural or man-made disasters, an
of natural or man-made disasters, an
made disasters, an ad hoc review
ad hoc review of the strategic
ad hoc review of the programming
of the programming documents
programming documents may be
documents may be conducted. Such
may be conducted. Such
conducted. Such emergency review
emergency review shall ensure that
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
emergency review shall ensure
shall ensure that coherence between
coherence between Union policies,
that coherence between Union
Union support provided under this
Union support provided under this
support provided under this
Regulation and support provided
Regulation and support provided
Regulation and support provided
under other Union financial
under other Union financial
under other Union financial
instruments is maintained. An
instruments is maintained. An
instruments is maintained. An
emergency review may lead to the
emergency review may lead to the
emergency review may lead to the
adoption of revised strategic
adoption of revised programming
adoption of revised programming
programming documents in
documents. Where this is the case,
documents. Where this is the case,
accordance with the procedure
the Commission shall send the
the Commission shall send the
referred to in Article 14(a). Where
revised programming documents to
revised programming documents
this is the case, the Commission shall
the European Parliament and to the
to the European Parliament and to
send the revised programming
Council for information no later
the Council for information within
documents to the European
than within one month of their
one month of their adoption.
Parliament and to the Council for
adoption.
information within one month of
their adoption.
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
Title III. CROSS-BORDER COOPERATION
Article 8
Geographical eligibility

1. The Cross-Border Cooperation
1. The Cross-Border Cooperation
1. The Cross-Border Cooperation
programmes referred to in Article
programmes referred to in Article
programmes referred to in Article
6(1)(c) can be established:
6(1)(c) can be established:
6(1)(c) can be established:
(a) for land borders, covering the
(a) for land borders, covering the
(a) for land borders, covering the
territorial units corresponding to
territorial units corresponding to
territorial units corresponding to
NUTS level 3 or equivalent along
NUTS level 3 or equivalent along
Nomenclature of territorial units
the land borders between Member
the land borders between Member
for statistics (NUTSlevel 3 or
States and partner countries,
States and partner countries, and/or
equivalent along the land borders
and/or the Russian Federation;
the Russian Federation, without
between Member States and partner
(b) for maritime borders, covering
prejudice to potential adjustments
countries, and/or the Russian
the territorial units corresponding
needed to ensure the coherence
Federation without prejudice to
to NUTS level 3 or equivalent
and continuity of cooperation
potential adjustments and in line
along maritime borders between
action;
with the provisions of Article 9(4)
Member States and partner
(b) for maritime borders, covering
needed to ensure the coherence
countries and/or the Russian
the territorial units corresponding to
and continuity of cooperation
Federation, separated by a
NUTS level 3 or equivalent along
action;
maximum of 150 km, without
maritime borders between Member
(b) for maritime borders, covering
prejudice to potential adjustments
States and partner countries and/or
the territorial units corresponding to
needed to ensure the coherence
the Russian Federation, separated
NUTS level 3 or equivalent along
and continuity of cooperation
by a maximum of 150 km, without
maritime borders between Member
action;
prejudice to potential adjustments
States and partner countries and/or
(c) around a sea basin, covering
needed to ensure the coherence and
the Russian Federation, separated
the coastal territorial units
continuity of cooperation action;
by a maximum of 150 km, without
corresponding to NUTS level 2 or
(c) around a sea basin, covering the
prejudice to potential adjustments
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
equivalent facing a sea basin
coastal territorial units
needed to ensure the coherence and
common to Member States and
corresponding to NUTS level 2 or
continuity of cooperation action;
partner countries and/or the
equivalent facing a sea basin
(c) around a sea basin, covering the
Russian Federation.
common to Member States and
coastal territorial units
partner countries and/or the Russian
corresponding to NUTS level 2 or
Federation.
equivalent facing a sea basin
common to Member States and
partner countries and/or the Russian
Federation.
2. In order to ensure the
2. In order to ensure the
2. In order to ensure the
continuation of existing
continuation of existing cooperation
continuation of existing cooperation
cooperation schemes and in other
schemes and in other justified cases,
schemes and in other justified cases,
justified cases, territorial units
territorial units adjoining those
territorial units adjoining to those
adjoining to those referred to in
referred to in paragraph 1 may be
referred to in paragraph 1 may be
paragraph 1 may be allowed to
allowed to participate in Cross-
allowed to participate in Cross-
participate in Cross-Border
Border Cooperation, on condition
Border Cooperation. The
Cooperation.
that such participation contributes
conditions under which adjoining
to the objectives laid down in the
regions may participate in
programming documents.
cooperation will be laid down in
the Joint Operational
Programmes.

3. In duly justified cases, major
3. In duly justified cases, major
social, economic or cultural
social, economic or cultural centres
centres that are not adjoining to
in the Member States, Partner
eligible territorial units may be
countries or the Russian
included on condition that such
Federation that are not adjoining to
participation contributes to the
eligible territorial units may be
objectives laid down in the
included on condition that such
programming document.
participation contributes to the
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
objectives laid down in the
programming document. The
conditions under which such
centres may participate in
cooperation will be laid down in
the Joint Operational
Programmes.

4. When programmes are
4. When programmes are
established pursuant to paragraph
established pursuant to paragraph
1(b), the European Commission
1(b), the European Commission
may, in agreement with the
may, in agreement with the partners
partners, propose that the
participants, propose that the
geographical eligibility be
geographical eligibility be extended
extended to the whole NUTS level
to the whole NUTS level 2
2 territorial unit in whose area the
territorial unit in whose area the
NUTS level 3 territorial unit is
NUTS level 3 territorial unit is
located.
located.
5. Cross-Border Cooperation shall
aim to be coherent with the
objectives of existing and future
macro-regional strategies.

Article 9
Programming and allocation of
funds for Cross-Border
Cooperation

1. A programming document shall
1. A programming document shall
1. A programming document shall
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
be prepared for the purpose of
be prepared for the purpose of
be prepared for the purpose of
defining the:
defining the:
defining the:
(a) strategic objectives to be
(a) strategic objectives to be
(a) strategic objectives to be
pursued by Cross-Border
pursued by Cross-Border
pursued by Cross-Border
Cooperation;
Cooperation;
Cooperation, and the priorities and
(b) list of the joint operational
(b) list of the joint operational
expected results of that
programmes to be established;
programmes to be established;
cooperation;
(c) indicative breakdown of
(c) indicative breakdown of
resources between land and
resources between land and
(b) list of the joint operational
maritime border programmes
maritime border programmes
programmes to be established;
referred to in Article 8 (1) (a) and
referred to in Article 8 (1) (a) and
(b) and sea basin programmes
(c) indicative breakdown of
(b) and sea basin programmes
referred to in Article 8(1)(c);
resources between land and
referred to in Article 8(1)(c);
(d) indicative multi-annual
maritime border programmes
(d) indicative multi-annual
allocations to each joint
referred to in Article 8 (1) (a) and
allocations to each joint operational
operational programme;
(b) and sea basin programmes
programme;
(e) territorial units eligible to
referred to in Article 8(1)(c);
(e) territorial units eligible to
participate in each joint
(d) indicative multi-annual
participate in each joint operational
operational programme, and the
allocations to each joint operational
programme, and the regions and
regions and centres indicated in
programme;
centres indicated in Article 8(2),
Article 8(2), 8(3) and 8(4);
8(3) and 8(4);
(f) indicative allocation to support,
(e) territorial units eligible to
(f) indicative allocation to support,
as appropriate, horizontal capacity
participate in each joint operational
as appropriate, horizontal capacity
building actions, networking and
programme, and the regions and
building actions, networking and
exchange of experiences among
centres indicated in Article 8(2),
exchange of experiences among
programmes;
8(3) and 8(4);
programmes;
(g) contributions to the
(f) indicative allocation to support,
(g) contributions to the
transnational programmes
as appropriate, horizontal capacity
transnational programmes
established under Regulation (EU)
building actions, networking and
established under Regulation (EU)
No […] of the European
exchange of experiences among
No […] of the European Parliament
Parliament and the Council of
and the Council of [….] on specific
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
[….] on specific provisions for the
programmes;
provisions for the support from the
support from the European
European Regional Development
(g) contributions to the
Regional Development Fund to
Fund to the European Territorial
transnational programmes
the European Territorial Co-
Co-operation goal , to in which
established under Regulation (EU)
operation goal , to which partner
partner countries and/or the Russian
No […] of the European Parliament
countries and/or the Russian
Federation participate.
and the Council of [….] on specific
Federation participate.
provisions for the support from the
The programming document shall
European Regional Development
The programming document shall
cover a period of seven years and
Fund to the European Territorial
cover a period of seven years and
shall be adopted by the Commission
Co-operation goal4, to which
shall be adopted by the
in accordance with the examination
partner countries and/or the Russian
Commission in accordance with
procedure referred to in Article
Federation participate.
the examination procedure
15(3) of the Common Implementing
referred to in Article 15(3) of the
Regulation. It shall be reviewed at
Common Implementing
The That document shall constitute
mid-term or whenever necessary
Regulation. It shall be reviewed at
a strategic programming document
and may be revised in accordance
mid-term or whenever necessary
within the meaning of Article 2 of
with the same procedure referred to
and may be revised in accordance
the Common Implementation
in that Article.
with the same procedure referred
Regulation. It shall cover a period
to in that Article.
of seven years and shall be adopted
by the Commission by means of a
delegated act in accordance with the
examination procedure referred to
in Article 15(3) of the Common
Implementing Regulation Article 13
of this Regulation. It shall be
reviewed at mid-term or whenever
necessary and may be revised in
4
OJ L
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
accordance with the same procedure
referred to in that Article.
2. The joint operational
programmes shall be co-financed
by the European Regional
Development Fund. The overall
amount of the contribution from
the European Regional
Development Fund shall be
determined pursuant to Article
4(4) of Regulation (EU) No [… of
the European Parliament and the
Council of [….]on specific
provisions for the support from the
European Regional Development
Fund to the European Territorial
Co-operation goal ]. The
provisions of this Regulation shall
apply to the use of this
contribution.
3. The Instrument for Pre-
Accession may co-finance joint
operational programmes to which
countries eligible under such
Instrument participate. The
provisions of this Regulation shall
apply to the use of this co-
financing.
4. The indicative allocations of
4. The indicative allocations of
4. The indicative allocations of
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
funds to the joint operational
funds to the joint operational
funds to the joint operational
programmes shall be based
programmes shall be based
programmes shall be based
primarily on the population of the
primarily on the population of the
primarily on the population of the
eligible areas. When determining
eligible areas. When determining
eligible areas territorial units as
the indicative allocations,
the indicative allocations,
defined in Article 8 (1) (a), (b) and
adjustments may be made to
adjustments may be made to reflect
(c). When determining the
reflect the need for a balance
the need for a balance between the
indicative allocations, adjustments
between the contributions from the
contributions from the European
may be made to reflect the need for
European Regional Development
Regional Development Fund and
a balance between the contributions
Fund and the contributions
the contributions provided under the
from the European Regional
provided under the budget of this
budget of this Instrument as well as
Development Fund and the
Instrument as well as other factors
other factors affecting the intensity
contributions provided under the
affecting the intensity of
of cooperation, such as the specific
budget of this Instrument as well as
cooperation, such as the specific
characteristics of border areas and,
other factors affecting the intensity
characteristics of border areas and
their capacity to manage and absorb
of cooperation, such as the specific
their capacity to manage and
Union support and the nature of
characteristics of border areas and
absorb Union support.
the projects envisaged.
their capacity to manage and absorb
Union support.
Article 10
Joint operational programmes

1. Cross-Border Cooperation shall
be implemented through multi-
annual joint operational
programmes covering cooperation
for a border or a group of borders
and comprising multi-annual
measures that pursue a consistent
set of priorities and that may be
implemented with Union support.
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
Joint operational programmes
shall be based on the programming
document referred to in Article 9.
They shall include a summary
description of the management
and control systems covering the
elements referred to in Articles
11(2) and 12 (2).
2. Joint operational programmes
for land and maritime borders
shall be established for each
border at the appropriate territorial
level and shall include eligible
territorial units belonging to one or
more Member States and one or
more partner countries and/or the
Russian Federation.
3. Joint operational programmes
3. Joint operational programmes for
for sea basins shall be multilateral,
around sea basins shall be
established at the appropriate
multilateral, established at the
territorial level and include
appropriate territorial level and
eligible territorial units facing a
include eligible territorial units
common sea basin belonging to
facing a common sea basin
several participating countries,
belonging to several participating
including at least one Member
countries, including at least one
State and one partner country
Member State and one partner
and/or the Russian Federation.
country and/or the Russian
They may include bilateral
Federation. They may include
activities supporting cooperation
bilateral activities supporting
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
between one Member State and
cooperation between one Member
one partner country and/or the
State and one partner country and/or
Russian Federation.
the Russian Federation.
4. Within one year of approval of
4. Within one year of approval of
4. Within one year of approval of
the programming document
the programming document referred
the programming document referred
referred to in Article 9, the
to in Article 9, the participating
to in Article 9, and after the
participating countries shall jointly
countries shall jointly submit
adoption of the Cross-Border
submit proposals for joint
proposals for joint operational
Cooperation Implementing rules,
operational programmes to the
programmes to the Commission.
the participating countries shall
Commission. The Commission
The Commission shall adopt each
jointly submit proposals for joint
shall adopt each joint operational
joint operational programme after
operational programmes to the
programme after assessing its
assessing its consistency with this
Commission. The Commission shall
consistency with this regulation,
regulation, the programming
adopt each joint operational
the programming document and
document and the implementing
programme after assessing its
the implementing rules.
rules within three months after its
consistency with this regulation, the
submission by the participating
programming document and the
countries.
implementing rules. The
Commission shall present the joint
Cross-Border Cooperation
programmes to the European
Parliament and the Member States
for information within one month
of the adoption of the programmes.

5. Regions in countries other than
partner countries, the Russian
Federation or Member States,
which are adjoining to eligible
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
regions as defined in Article 8(1)
(a) and (b) or face a common sea
basin where a joint operational
programme is being established
may be covered by a joint
operational programme and
benefit from Union support under
the conditions set out in the
programming document referred
to in Article 9.
6. The Commission and the
6. The Commission and the
participating countries shall take
participating countries shall take the
the appropriate measures to ensure
appropriate measures to ensure that
that sea basin programmes
sea basin Cross-Border
established under this Regulation
Cooperation programmes
and transnational co-operation
established under this Regulation
programmes established under the
and transnational co-operation
Regulation (EU) No [….] and that
programmes established under the
have a partially overlapping
Regulation (EU) No [….] and that
geographical coverage will be
have a partially overlapping
fully complementary and mutually
geographical coverage will be fully
re-enforcing.
complementary and mutually re-
enforcing.
6a. Joint operational programmes
shall be revised mid-term through
the Multiannual Financial
Framework in order to take into
account factors occurring in the
implementation process, such as:

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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
– changes in cooperation priorities,
and socio-economic developments,

– the results of implementing the
measures concerned and matters
arising from the monitoring and
implementation process,

– the need to adjust the amounts of
available funds and to reallocate
the resources.

7. Joint operational programmes
may be revised at the initiative of
the participating countries or the
Commission for reasons such as:
- changes in cooperation priorities,
socio-economic developments,
- results of implementing the
measures concerned and those
produced by the monitoring and
evaluation process,
- the need to adjust the amounts of
available funds and reallocate
resources.
8. Following adoption of the joint
8. Following By the end of the
operational programmes, the
calendar year following the year of
Commission shall conclude a
adoption of the joint operational
financing agreement with the
programmes at the latest, the
partner countries and/or the
Commission shall conclude a
Russian Federation. The financing
financing agreement with the
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
agreement shall include the legal
partner countries and/or the Russian
provisions necessary to implement
Federation. The financing
the joint operational programme
agreement shall include the legal
and may also be signed by the
provisions necessary to implement
other participating countries and
the joint operational programme
by the Managing Authority
and may also be co-signed by the
referred to in Article 12(2)(c).
other participating countries and by
the Managing Authority referred to
Where necessary, a memorandum
in Article 12(2)(c) or by the
of understanding shall be
country hosting the Managing
concluded between the
Authority.
participating countries and the
Managing Authority to set out the
Where necessary, an agreement
countries' specific financial
(e.g. in the form of a memorandum
responsibilities.
of understandingshall be
concluded between the participating
countries and the Managing
Authority to set out the countries'
specific financial responsibilities
and programme specific
implementation modalities, tasks
and responsibilities of its
management and administration
.

9. A joint operational programme
9. A joint operational programme
involving more than one partner
involving more than one partner
country is established if at least
country or at least one partner
one partner country signs the
country and the Russian
financing agreement. Other partner
Federation is established if at least
countries covered by an
one partner country or the Russian
established programme can join
Federation signs the financing
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
the programme at any time by
agreement. Other partner countries
signing the financing agreement.
or the Russian Federation covered
by an established programme can
join the programme at any time by
signing the financing agreement.
10. If a participating country
10. If a participating country
undertakes to jointly co-finance a
undertakes to jointly co-finance a
programme, the joint operational
programme, the joint operational
programme shall clarify the
programme shall clarify the
arrangements for providing, using
arrangements and necessary
and monitoring the co-financing.
safeguards for auditing, providing,
The related financing agreement
using and monitoring the co-
shall be signed by all participating
financing. The related financing
countries.
agreement shall be signed by all
participating countries and
programme’s Managing Authority
or by the country hosting the
Managing Authority.

11. Joint operational programmes
may also provide for a financial
contribution from and to
instruments with which grants
could be combined, subject to the
rules of these instruments,
provided that this contributes to
achieving the programmes’
priorities.
12. Following the principle of
12. Following the principle of
12. Following the principle of
partnership, participating countries
partnership, participating countries
partnership, participating countries
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
shall jointly select actions for
and regions shall jointly select
and their regions shall jointly select
Union support that are consistent
actions for Union support that are
actions for Union support that are
with the priorities and measures of
consistent with the priorities and
consistent with the priorities and
the joint operational programme.
measures of the joint operational
measures of the joint operational
programme.
programme.
13. In specific and duly justified
13. In specific and duly justified
cases, where:
cases, where:
(a) a joint operational programme
(a) a joint operational programme
cannot be submitted owing to
cannot be submitted owing to
problems arising in relations
problems arising in relations
between participating countries or
between participating countries or
between the European Union and a
between the European Union and a
partner country,
partner country or the Russian
or
Federation,
(b) by 30 June 2017, at the latest,
or
the participating countries have
(b) by 30 June 2017, at the latest,
not yet submitted to the
the participating countries have not
Commission a joint operational
yet submitted to the Commission a
programme,
joint operational programme,
or
or
(c) none of the partner countries
(c) none of the partner countries
covered by the programme have
covered by the non-EU
signed the relevant financing
participants to the programme have
agreement by the end of the year
signed the relevant financing
following the adoption of the
agreement by the end of the year
programme,
following the adoption of the
the Commission, following
programme,
consultations with the Member
the Commission, following
State(s) concerned, shall take the
consultations with the Member
necessary steps to allow the
State(s) concerned, shall take the
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
Member State(s) concerned to use
necessary steps to allow the
the contribution from the
Member State(s) concerned to use
European Regional Development
the contribution from the European
Fund to the joint operational
Regional Development Fund to the
programme pursuant to Article
joint operational programme
4(7) and (8) of Regulation (EU)
pursuant to Article 4(7) and (8) of
No [...] .
Regulation (EU) No [...] .
14. Budget commitments for CBC
actions or programmes extending
over more than one financial year
may be broken down over several
years into annual instalments.
Article 11
Management of joint
operational programmes

1. Joint operational programmes
1. Joint operational programmes
shall, in principle, be implemented
shall, in principle, preferably be
in shared management with
implemented in shared management
Member States. Participating
with Member States. However,
countries may also propose
Pparticipating countries may also
implementation in indirect
propose implementation in indirect
management, by an entity listed in
management, by an entity listed in
the Financial Regulation and in
the Financial Regulation and in
accordance with the Implementing
accordance with the Implementing
Rules referred to in Article 12(2).
Rules referred to in Article 12(2).
2. The Commission shall satisfy
2. The Commission shall satisfy
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
itself on the basis of available
itself on the basis of available
information that the Member State
information that the Member State
in case of shared management, or
in case of shared management, or
the partner country or the
the partner country or the Russian
international organisation in case
Federation or the international
of indirect management, have set
organisation in case of indirect
up and operate management and
management, have set up and
control systems that comply with
operate management and control
the Financial Regulation, this
systems that comply with the
Regulation, and its implementing
Financial Regulation, this
rules referred to in Article 12(2).
Regulation, and its implementing
rules referred to in Article 12(2).
Member States, partner countries
and international organisations
Member States, partner countries,
concerned shall ensure the
the Russian Federation and
effective functioning of their
international organisations
management and control system,
concerned shall ensure the effective
the legality and regularity of the
functioning of their management
underlying transactions and the
and control system, the legality and
respect of the principle of sound
regularity of the underlying
financial management. They shall
transactions and the respect of the
be responsible for the management
principle of sound financial
and control of the programmes.
management. They shall be
responsible for the management and
The Commission may require the
control of the programmes.
Member State or the partner
country or the international
The Commission may require the
organisation concerned to examine
Member State or the partner country
a complaint submitted to the
or the Russian Federation or the
Commission concerning the
international organisation
selection or implementation of
concerned to examine a complaint
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
operations supported under this
submitted to the Commission
Title or the functioning of the
concerning the selection or
management and control system.
implementation of operations
supported under this Title or the
functioning of the management and
control system.
3. In order to allow the joint
operational programmes to prepare
adequately for implementation,
expenditure incurred after the
submission of the joint operational
programmes to the Commission
shall be eligible at the earliest
from 1 January 2014.
4. Where eligibility is restricted in
4. Where eligibility is restricted in
accordance with Article 8(7) of the
accordance with Article 8(7) of the
Common Implementing
Common Implementing Regulation,
Regulation, the entity referred to
the entity referred to in paragraph 1,
in paragraph 1, which may launch
which may launch calls for
calls for proposals and tenders, is
proposals and tenders, is entitled in
entitled in such case to accept as
such case to accept as eligible
eligible tenderers, applicants and
tenderers, applicants and candidates
candidates from non eligible
from non eligible countries, or
countries, or goods from non
goods from non eligible origin, in
eligible origin, in accordance with
accordance with Articles 8(2) and
Article 9(3) of the Common
9(3) of the Common Implementing
Implementing Regulation.
Regulation and with the provisions
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
of the ENI Cross-Border
Cooperation Implementing Rules
5.
Article 12
Implementing rules for Cross
Border Cooperation

1. Implementing rules laying down
1. Implementing rules laying down
1. Implementing rules laying down
specific provisions for the
specific provisions for the
specific provisions for the
implementation of this Title shall
implementation of this Title shall be
implementation of this Title shall be
be adopted through a delegated act
adopted through a delegated act in
adopted through a delegated act in
in accordance with Article 14.
accordance with Article 14 13.
accordance with the examination
procedure referred to in 
Article 14
15(3) of the Common
Implementing Regulation
. 6
2. Matters covered by the
2. Matters covered by the
2. Matters covered by the
Implementing Rules shall include
Implementing Rules shall include
Implementing Rules shall include
provisions on:
provisions on, inter alia:
detailed provisions on:
(a) the rate and methods of co-
(a) the rate and methods of co-
(a) the rate and methods of co-
financing;
financing;
financing;
(b) the preparation, modification
(b) the content, preparation,
(b) the preparation, modification
and closure of joint operational
modification and closure of joint
and closure of joint operational
programmes;
operational programmes;
programmes;
(c) the role and function of the
(c) the role and function of the
(c) the role and function of the
programme structures: Joint
programme structures: Joint
programme structures, e.g. : Joint
Monitoring Committee, Managing
Monitoring Committee, Managing
Monitoring Committee, Managing
5
Agreement on this paragraph is provisional and Member States reserve their right to come back to the text once the Commission has tabled its proposal for the ENI Cross-
Border Cooperation Implementing Rules.
6
Agreement on this paragraph is provisional and Member States reserve their right to come back to the text once the Commission has tabled its proposal for the ENI Cross-
Border Cooperation Implementing Rules.
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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
Authority and its Joint Technical
Authority and its Joint Technical
Authority and its Joint Technical
Secretariat, Joint Selection
Secretariat, Joint Selection
Secretariat, Joint Selection
committees, including their
committees, project selection
committees, including their
standing, effective identification,
committee, including their its
standing, effective identification,
accountability and responsibility,
standing, effective identification,
accountability and responsibility,
description of Management and
accountability and responsibility,
description of Management and
Control Systems, and conditions
description of Management and
Control Systems, and conditions on
on the technical and financial
Control Systems, and conditions on
the technical and financial
management of Union support,
the technical and financial
management of Union support,
including eligibility of
management of Union support,
including eligibility of expenditure;
expenditure;
including eligibility of expenditure;
(d) recovery procedures in
(d) recovery procedures; the
(d) recovery procedures; the
particular in non EU countries; the
monitoring and evaluation;
monitoring and evaluation;
monitoring and evaluation;
(e) the visibility and information
(e) the visibility and information
(e) the visibility and information
activities
activities
activities
(f) shared and indirect
(f) shared and indirect management
(f) shared and indirect management
management as referred to in
as referred to in Article 6(2) of the
as referred to in Article 6(2) of the
Article 6(2) of the Common
Common Implementing Regulation.
Common Implementing Regulation.
Implementing Regulation.
2a. Cross-border cooperation shall
be implemented in accordance with
paragraphs 1 and 2, with the
assistance of appropriate
instruments. Those instruments
shall specifically include the
European grouping of territorial
cooperation  in accordance with
Regulation (EC) No 1082/2006 of

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AFET Position
Council position
Commission proposal
AMs voted on 9 July
(Partial General Approach)
Comments
COM(2011) 839 final
the European Parliament and of
the Council of 5 July 20067.

OJ L 210, 31.7.2006, p. 19.
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AFET Position
Council Position
Comments
Commission proposal
AMs voted on 9 July
(Partial General Approach)
COM(2011) 839 final
Title IV. FINAL PROVISIONS
Article 13
Article 13
Article 13
Updating of the Annex
Updating of the Annex
Updating of the Annex
Delegation of powers to the
Commission

The list of beneficiary countries in
The list of beneficiary countries in
The list of beneficiary countries in
the Annex to this Regulation may
the Annex to this Regulation may
the Annex to this Regulation may
be updated following political
be updated following political
be updated following political
decisions made by the Council on
decisions made by the Council on
decisions made by the Council on
the scope of the Neighbourhood
the scope of the Neighbourhood
the scope of the Neighbourhood
policy. A modification of the Annex
policy. A modification of the
policy. A modification of the
shall be adopted through a
Annex shall be adopted through a
Annex shall be adopted through a
delegated act in accordance with
delegated act in accordance with
delegated act in accordance with
Article 14.
Article 14.
Article 14.
1. The Commission shall be
empowered to adopt delegated
acts in accordance with Article 14
for the purposes of adopting and
revising strategic programming
documents within the meaning of
Article 2 of the Common
Implementing Regulation,
updating the list of beneficiary
countries in the Annex to this
Regulation and adopting the
implementing rules for Cross
Border Cooperation as referred to

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AFET Position
Council Position
Comments
Commission proposal
AMs voted on 9 July
(Partial General Approach)
COM(2011) 839 final
in Article 12 of this Regulation.
2. Where, in the case of adoption
or revision of the strategic
programming documents referred
to in paragraph 1, imperative
grounds of urgency so require,
the procedure provided for in
Article 14a shall apply to
delegated acts adopted pursuant
to this Article.

Article 14
Article 14
Exercise of the delegation
Exercise of the delegation
-1. The power to adopt delegated
acts is conferred on the
Commission subject to the
conditions laid down in this
Article.

1. The delegation of powers
1. The delegation of powers power
1. The delegation of powers
referred to in Article 12 and 13
to adopt delegated acts referred to
referred to in Article 12 and 13
shall be conferred for the period of
in Article12 and 13 shall be
shall be conferred for the period of
validity of this Regulation.
conferred for the period of validity
validity of this Regulation.
of this Regulation on the
Commission until 31 December
2017
.
2. The delegation of powers may be
2. The delegation of powers may
revoked at any time by the
be revoked at any time by the
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AFET Position
Council Position
Comments
Commission proposal
AMs voted on 9 July
(Partial General Approach)
COM(2011) 839 final
European Parliament or by the
European Parliament or by the
Council. A decision of revocation
Council. A decision of revocation
shall put an end to the delegation of
shall put an end to the delegation
power specified in that decision. It
of power specified in that decision.
shall take effect the day following
It shall take effect the day
the publication of the decision in
following the publication of the
the Official Journal of the European
decision in the Official Journal of
Union or at a later date specified
the European Union or at a later
therein. It shall not affect the
date specified therein. It shall not
validity of any delegated acts
affect the validity of any delegated
already in force.
acts already in force.
3. As soon as it adopts a delegated
3. As soon as it adopts a delegated
act, the Commission shall notify it
act, the Commission shall notify it
simultaneously to the European
simultaneously to the European
Parliament and the Council.
Parliament and the Council.
4. A delegated act adopted shall
4. A delegated act adopted shall
enter into force only if no objection
enter into force only if no
has been expressed either by the
objection has been expressed
European Parliament or the Council
either by the European Parliament
within a period of 2 months of
or the Council within a period of 2
notification of the act to the
months of notification of the act to
European Parliament and the
the European Parliament and the
Council or if, before the expiry of
Council or if, before the expiry of
that period, the European
that period, the European
Parliament and the Council have
Parliament and the Council have
both informed the Commission that
both informed the Commission
they will not object. That period
that they will not object. That
shall be extended by 2 months at
period shall be extended by 2
the initiative of the European
months at the initiative of the
Parliament or the Council.
European Parliament or the
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AFET Position
Council Position
Comments
Commission proposal
AMs voted on 9 July
(Partial General Approach)
COM(2011) 839 final
Council.
Article 14a
Urgency procedure

1. In exceptional circumstances,
such as crises or threats to
democracy, the rule of law,
human rights or fundamental
freedoms, or natural or man-
made disasters, delegated acts
adopted under this Article shall
enter into force without delay and
shall apply as long as no
objection is expressed in
accordance with paragraph 2.
The notification of a delegated act
to the European Parliament and
to the Council shall state the
reasons for the use of the urgency
procedure.
2. Either the European
Parliament or the Council may
object to a delegated act in
accordance with the procedure
referred to in Article 14. In such
a case, the Commission shall
repeal the act without delay
following the notification of the
decision to object by the
European Parliament or by the
Council.

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AFET Position
Council Position
Comments
Commission proposal
AMs voted on 9 July
(Partial General Approach)
COM(2011) 839 final
Article 15
Article 15 13
Committee
Committee
The Commission shall be assisted
by the European Neighbourhood
Instrument Committee. That
committee shall be a committee
within the meaning of Regulation
(EU) No 182/2011.
Article 16
Article 16 14
Participation by a third country
Participation by a third country not
not listed in the Annex
listed in the Annex covered by
Article 1

1. In duly justified circumstances
1. In duly justified circumstances
1. In duly justified circumstances
and to ensure the coherence and
and to ensure the coherence and
and in order to ensure the
effectiveness of Union financing or
effectiveness of Union financing
coherence and effectiveness of
to foster regional or trans-regional
or to foster regional or trans-
Union financing or to foster
cooperation, the Commission may
regional cooperation, the
regional or trans-regional
decide to extend the eligibility of
Commission may decide it may be
cooperation, the Commission may
actions to countries, territories and
decided to extend the eligibility of
decide, in accordance with the
regions which otherwise would not
actions to countries, territories and
examination procedure referred
be eligible for financing.
regions which otherwise would not
to in Article 15(3) of the Common
Notwithstanding the provisions of
be eligible for financing. The
Implementing Regulation, to
Article 8(1) of the Common
decision shall be taken by the
extend the eligibility of specific
Implementing Regulation, natural
Commission through a delegated
actions on a case by case basito
and legal persons from countries,
act in accordance with Article 13.
countries, territories and regions
territories and regions concerned
Notwithstanding the provisions of
which otherwise would not be
may participate in the procedures
Article 8(1) of the Common
eligible for financing.
implementing such actions.
Implementing Regulation, natural
Notwithstanding the provisions of
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AFET Position
Council Position
Comments
Commission proposal
AMs voted on 9 July
(Partial General Approach)
COM(2011) 839 final
and legal persons from countries,
Article 8(1) of the Common
territories and regions concerned
Implementing Regulation, natural
may participate in the procedures
and legal persons from countries,
implementing such actions.
territories and regions concerned
may participate in the procedures
implementing such actions.
2. Provision may be made for this
possibility in the programming
documents referred to in Article 7.
Article 17
Article 17 15
Suspension of Union support
Suspension of Union support
Without prejudice to the provisions
Without prejudice to the
Without prejudice to the
on the suspension of aid in
provisions on the suspension of aid provisions on the suspension of aid
partnership and cooperation
in partnership and cooperation
in partnership and cooperation
agreements and association
agreements and association
agreements and association
agreements with partner countries
agreements with partner countries
agreements with partner countries
and regions, where a partner
and regions, where a partner
and regions, where a partner
country fails to observe the
country fails to observe the
country fails to observe the
principles of democracy, the rule of
principles of democracy, the rule
principles of democracy, the rule
law and respect for human rights
of law and respect for human
of law and the respect for human
and fundamental freedoms, the
rights and fundamental freedoms,
rights and fundamental freedoms,
Union shall invite the country
the Union shall invite the country
the Union shall invite the country
concerned to hold consultations in
concerned to hold consultations in
concerned to hold consultations in
view of finding a solution
view of finding a solution
view of finding a solution
acceptable to both parties, except in
acceptable to both parties, except
acceptable to both parties, except
cases of special urgency. Where
in cases of special urgency. Where
in cases of special urgency. Where
consultation with the country
consultation with the country
consultation with the country
concerned does not lead to a
concerned does not lead to a
concerned does not lead to a
solution acceptable to both parties,
solution acceptable to both parties,
solution acceptable to both parties,
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AFET Position
Council Position
Comments
Commission proposal
AMs voted on 9 July
(Partial General Approach)
COM(2011) 839 final
or if consultations are refused or in
or if consultations are refused or in
or if consultations are refused or in
case of special urgency, the Council
case of special urgency, the
case of special urgency, the
may take appropriate measures in
Parliament and the Council may
Council may take appropriate
accordance with Article 215(1) of
take a decision appropriate
measures in accordance with
the Treaty on the Functioning of the
measures in accordance with
Article 215(1) of the Treaty on the
European Union, which may
Article 215(1) of the Treaty on the
Functioning of the European
include full or partial suspension of
Functioning of the European
Union, which may include full or
Union support.
Union which may include full or
partial suspension of Union
partial suspension of Union
support. Council may take the
support assistance while re-
appropriate measures in
allocating funds to non-state
accordance with Article 215 (1) of
actors for activities aiming at
the Treaty on the functioning of
fulfilling the objectives described
the European Union. In such
under Article 2 (2). Any
cases, Union assistance shall, to
consequent revision of relevant
the extent possible, primarily be
strategic programming
used to support non-state actors
documents shall be done in
for measures aimed at supporting
accordance with the urgency
populations directly and
procedure provided for in Article
promoting human rights and
14a.
fundamental freedoms and
supporting the democratisation
process in partner countries.
Before adopting appropriate
measures, the Union may conduct
any consultations with the
partner country or territory
concerned.

Article 18
Article 18 16
Financial reference amount
Financial reference amount
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AFET Position
Council Position
Comments
Commission proposal
AMs voted on 9 July
(Partial General Approach)
COM(2011) 839 final
1. The financial envelope available
1. The financial envelope available
1. The financial envelope available
for implementing this Regulation
for implementing this Regulation
for implementing this Regulation
over the period 2014 to 2020 shall
over the period 2014 to 2020 shall
over the period 2014 to 2020 shall
be EUR 18 182 300 000 (current
be EUR 18 182 300 000 (current
be EUR [18 182 300 000(current
prices). Up to 5% of the financial
prices) (...)Up to 5% of the
prices). 8 Up to 5% of the financial
envelope shall be allocated to the
financial envelope shall be
envelope shall be allocated to the
Cross-Border Cooperation
allocated to the Cross-Border
Cross-Border Cooperation
programmes referred to in Article
Cooperation programmes referred
programmes referred to in Article
6(1) (c).
to in Article 6(1) (c).
6(1) (c).
2. Annual appropriations shall be
authorized by the budgetary
authority within the limits of the
financial framework.
3. As referred to in Article 13,
3. As referred to in Article 13,
3. As referred to in Article 13,
paragraph 2 of the "Erasmus for
paragraph 2 of the "Erasmus for
paragraph 2 of the "Erasmus for
All" Regulation, in order to
All" Regulation, in order to
All" Regulation, in order to
promote the international dimension
promote the international
promote the international
of higher education, an indicative
dimension of higher education and
dimension of higher education, an
amount of EUR 1 812 100 000 from
youth exchange, an indicative
indicative amount of EUR [1 812
the different external instruments
amount of EUR 1 812 100 000
100 0009 from the different
(Development Cooperation
from the different external
external instruments
Instrument, European
corresponding to 2 % of the
(Development Cooperation
Neighbourhood Instrument,
financial allocations available for
Instrument, European
Instrument for Pre-accession
the participating instruments
Neighbourhood Instrument,
Assistance, Partnership Instrument
(Development Cooperation
Instrument for Pre-accession
and the European Development
Instrument, European
Assistance, Partnership Instrument
8
All reference amounts will be entered after the conclusion of negotiations regarding the Multiannual Framework (2014-2020).
9
All reference amounts will be entered after the conclusion of negotiations regarding the Multiannual Framework (2014-2020).
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AFET Position
Council Position
Comments
Commission proposal
AMs voted on 9 July
(Partial General Approach)
COM(2011) 839 final
Fund), will be allocated to actions
Neighbourhood Instrument,
and the European Development
of learning mobility to or from non
Instrument for Pre-accession
Fund), will be allocated to actions
EU countries and to cooperation
Assistance, Partnership Instrument
of learning mobility to or from non
and policy dialogue with
and the European Development
EU countries and to cooperation
authorities/institutions/organisations
Fund), will be allocated to actions
and policy dialogue with
from these countries. The
of learning mobility to or from non
authorities/institutions/organisatio
provisions of the "Erasmus for All"
EU countries and to cooperation
ns from these countries. The
Regulation will apply to the use of
and policy dialogue with
provisions of the "Erasmus for
those funds.
authorities/institutions/organisatio
All" Regulation will apply to the
ns from these countries. The
use of those funds.
provisions of the "Erasmus for
All" Regulation will apply to the
use of those funds.
The funding will be made
available through 2 multiannual
allocations only covering the first
The funding will be made
The funding will be made available
4 years and the remaining 3 years
available through 2 multiannual
through 2 multiannual allocations
respectively. The allocations This
allocations only covering the first
only covering the first 4 years and
funding will be reflected in the
4 years and the remaining 3 years
the remaining 3 years respectively.
multiannual indicative based on
respectively. This funding will be
This funding will be reflected in the
the strategic programming
reflected in the multiannual
multiannual indicative
documents of these instruments, in
indicative programming of these
programming of these instruments,
line with the identified needs and
instruments, in line with the
in line with the identified needs and
priorities of the partner countries
identified needs and priorities of
priorities of the countries
concerned. The Commission shall
the countries concerned. The
concerned. The allocations can be
include in its report on the
allocations can be revised in case
revised in case of major unforeseen
implementation of the Instrument
of major unforeseen circumstances
circumstances or important political
a list of all "Erasmus for All"
or important political changes in
changes in line with the EU external
actions financed under funding
line with the EU external
priorities.
made available from this
priorities.
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AFET Position
Council Position
Comments
Commission proposal
AMs voted on 9 July
(Partial General Approach)
COM(2011) 839 final
Instrument and their compliance
with the objectives and principles
as set out in articles 1 and 2 of
this Regulation. 
The allocations
can be revised in case of major
unforeseen circumstances or
important political changes in line
with the EU external priorities, in
accordance with the procedures
provided for in Article 14a of this
Regulation
.
Article 19
Article 19 17
European External Action
European External Action Service
Service
The application of this Regulation
shall be in accordance with Council
Decision (EU) No 2010/427/EU,
establishing the organisation and
functioning of the European
External Action Service.
Article 20
Article 20 18
Entry into force
Entry into force
This Regulation shall enter into
This Regulation shall enter into
This Regulation shall enter into
force on the third day following that
force on the third day following
force on the third day following
of its publication in the Official
that of its publication in the
that of its publication in the
Journal of the European Union. It
Official Journal of the European
Official Journal of the European
shall apply from 1 January 2014.
Union. It shall apply from 1
Union. It shall apply from 1
January 2014 to 31 December
January 2014 until 31 December
2020.
2020.
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AFET Position
Council Position
Comments
Commission proposal
AMs voted on 9 July
(Partial General Approach)
COM(2011) 839 final
This Regulation shall be binding in
its entirety and directly applicable
in all Member States.
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Commission proposal
AFET Position
Council position
Comments
COM(2011) 839 final
(AMs voted 9 July)
(Partial General approach)
ANNEX
Partner countries referred to in
Article 1

Algeria
Armenia
Azerbaijan
Belarus
Egypt
Georgia
Israel
Jordan
Lebanon
Libya
The Republic of Moldova
Morocco
occupied Palestinian territory (oPt)
Syria
Tunisia
Ukraine
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