ENI trilogue outcome table - version 07/12/12
For Commission/Council/European Parliament
internal use only
Proposal for a Regulation of the European Parliament and of the Council
establishing a European Neighbourhood Instrument
TRILOGUE OUTCOMES TABLE
Interinstitutional File:
2011/0405 (COD)
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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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Committee of the Regions ,
Acting in accordance with the
ordinary legislative procedure,
Whereas:
(-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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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 liberty, democracy, respect for
of liberty, democracy, respect for
of liberty, democracy, respect for
human rights and fundamental
human rights and fundamental
Union's action on the
freedoms, principles of equality and
freedoms, and the principles of
international scene should be
the rule of law on which it is
equality and the rule of law on
guided by the principles which
founded through dialogue and
which it is founded through
have inspired its own creation,
cooperation with third countries.
dialogue and cooperation with third
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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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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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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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 The ENI supports
(6) Two main political initiatives
have shaped the regional
the implementation of political
have shaped the regional
cooperation in the European
initiatives that have shaped the
cooperation in the European
Union’s Neighbourhood: the
regional cooperation in
Union’s Neighbourhood: the
Eastern Partnership between the
contributed to shape the European
Eastern Partnership between the
Union and its Eastern neighbours,
Union’s Neighbourhood Policy: the
Union and its Eastern neighbours,
and the Union for the
Eastern Partnership between the
and the Union for the
Mediterranean between the Union
Union and its Eastern neighbours,
Mediterranean between the Union
and its Southern Mediterranean
the Partnership for Democracy
and its Southern Mediterranean
neighbours. These initiatives are
and Shared Prosperity and the
neighbours in the Southern
meaningful political frameworks
Union for the Mediterranean
Neighbourhood. These initiatives
for deepening relations with and
between in the Union and its
should both be treated in the same
among partner countries, based on
Southern Mediterranean neighbours
way, because they are meaningful
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principles of shared ownership and
Neighbourhood. These initiatives
political frameworks for deepening
responsibility.
are meaningful political
relations with and among partner
frameworks for deepening relations
countries, based on principles of
with and among partner countries,
mutual accountability, shared
based on principles of shared
ownership and responsibility.
ownership and 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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(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
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complementary, have added value
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
06/12/12: recital to be addressed in
implementation of regional
the fourth technical meeting among
cooperation e.g. in the framework
all provisions on Russian
of the Northern Dimension or the
Federation, Northern Dimension,
Black Sea Synergy, as well as the
Black Sea and regional cooperation
external aspects of macro-
frameworks.
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regional strategies.
(9) This Regulation acknowledges
06/12/12: recital to be addressed in
the specific status of the Russian
the fourth technical meeting among
Federation as both a Union
all provisions on Russian
neighbour and a strategic partner
Federation, Northern Dimension,
in the region.
Black Sea and regional cooperation
frameworks.
(10) …
(8) Support under this Instrument
(8 11) Support under both this
(8) Support under this Instrument
06/12/12: recital to be addressed in
and the European Regional
Instrument and the European
and the European Regional
the fourth technical meeting among
Development Fund should be
Regional Development Fund should
Development Fund should be
all provisions on Russian
provided for the Cross-Border
be provided for the Cross-Border
provided for the Cross-Border
Federation, Northern Dimension,
Cooperation programmes along the
Cooperation programmes along the
Cooperation programmes along the
Black Sea and regional cooperation
external borders of the European
external borders of the European
external borders of the European
frameworks.
Union between partner countries
Union between partner countries/or
Union between partner countries
and Member States to promote
the Russian Federation on the
and Member States to promote
integrated and sustainable regional
one hand and Member States on
integrated and sustainable regional
development between neighbouring
the other hand along the external
development and cooperation
border regions and harmonious
borders of the European Union to
between neighbouring border
territorial integration across the
promote integrated and sustainable
regions and harmonious territorial
Union and with neighbouring
regional development between
integration across the Union and
countries.
neighbouring border regions and
with neighbouring countries.
harmonious territorial integration
across the Union and with
neighbouring countries. To secure
efficient implementation of
Cross-Border Cooperation it is
important to harmonise
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procedures with the European
Territorial Cooperation, where
applicable.
(8a) This instrument also supports
06/12/12: recital to be addressed in
the implementation of regional
the fourth technical meeting among
cooperation i.a. in the framework
all provisions on Russian
of the Northern Dimension policy
Federation, Northern Dimension,
or Black Sea synergy and external
Black Sea and regional cooperation
aspects of EU's macro-regional
frameworks.
strategies.
(9) Furthermore, it is important to
(9) Furthermore, it is important to
(9) Furthermore, it is important to
06/12/12: recital to be addressed in
foster and facilitate cooperation for
foster and facilitate cooperation for
foster and facilitate cooperation for
the fourth technical meeting among
the common benefit of Union and
the common benefit of Union and
the common benefit of Union and
all provisions on Russian
its partners, notably through
its partners, notably through
its partners, and other participating
Federation, Northern Dimension,
pooling of contributions from
pooling of contributions from
countries, notably through the best
Black Sea and regional cooperation
internal and external instruments of
internal and external instruments of
and most effective coordination of
frameworks.
the Union budget, in particular for
the Union budget, in particular for
resources provided and the pooling
Cross-Border Cooperation,
Cross-Border Cooperation,
of contributions from internal and
infrastructure projects of Union
infrastructure projects of Union
external instruments of the Union
interest that will pass through
interest that will pass through
budget, in particular for the benefit
Neighbourhood countries and other
Neighbourhood countries and other
of Cross-Border Cooperation
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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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
06/12/12: recital to be addressed in
countries of the European
to countries of the European
the fourth technical meeting among
Economic Area (EEA) and the
Economic Area (EEA) and the
all provisions on Russian
regions of the Russian Federation
regions of the Russian Federation
Federation, Northern Dimension,
that are currently taking part in
that are currently taking part in
Black Sea and regional cooperation
Cross-Border Cooperation
Cross-Border Cooperation
frameworks.
programmes should be able to
programmes should be able to
continue to do so. It is also
continue to do so. It is also
important that the relevant regions
important that the relevant regions
in countries covered by the
in countries covered by the
Instrument for Pre-accession
Instrument for Pre-accession
Assistance are able to participate in
Assistance are able to can also
CBC. Participation of the European
participate in CBC Cross-Border
Economic Area countries in the
Cooperation. Participation of the
CBC programmes should continue
European Economic Area countries
to be based on their own resources.
in the CBC Cross-Border
Cooperation programmes should
continue to be based on their own
resources.
(11) It is expected that the EU
(11 13) It is expected that the EU
(11) It is expected that the EU
06/12/12: recital to be addressed in
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Member States and Partner
Member States, and Partner
Member States, Partner and other
the fourth technical meeting among
countries taking part in Cross
countries and the Russian
participating Partner countries
all provisions on Russian
Border Co-operation will provide
Federation taking part in Cross
taking part in Cross Border Co-
Federation, Northern Dimension,
national co-financing. This will
Border Co-operation will provide
operation and in regional
Black Sea and regional cooperation
strengthen country ownership,
national co-financing. This will
cooperation will provide national
frameworks.
increase the financial resources at
strengthen country ownership,
co-financing. This will strengthen
the disposal of the programmes and
increase the financial resources at
country ownership, increase the
facilitate the participation of local
the disposal of the programmes and
financial resources at the disposal
actors.
facilitate the participation of local
of the programmes and facilitate the
actors.
participation of local actors.
(12) Cross-Border Co-operation
(12) Cross-Border Co-operation
06/12/12: recital to be addressed in
will contribute as appropriate to the
will contribute as appropriate to the
the fourth technical meeting among
implementation of existing and
implementation of existing and
all provisions on Russian
future macro-regional strategies.
future macro-regional strategies
Federation, Northern Dimension,
Black Sea and regional cooperation
frameworks.
(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
06/12/12: recital to be addressed in
facilitate cooperation for the
the fourth technical meeting among
common benefit of the Union and
all provisions on Russian
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its partners, notably through
Federation, Northern Dimension,
pooling of contributions from
Black Sea and regional cooperation
internal and external instruments
frameworks.
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 15) Support to be provided to
(13) 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 the European Neighbourhood
by the European Neighbourhood
by the European Neighbourhood
Policy should be coherent with the
Policy should be coherent with the
Policy 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 and in
Union’s external policies, in
particular its development policy,
particular its development and the
particular its with the Common
including the ‘Joint Statement on a
Union’s Common Foreign and
Foreign and Security Policy, with
European Development Policy: the
Security Policy. Coherence with
strategies relevant to the
European Consensus’, adopted by
the external dimensions of
Neighbourhood and with the
the Council and the representatives
Union’s internal policies and
Union's development policy,
of the governments of the Member
instruments should also be
including the ‘Joint Statement on a
States meeting within the Council,
ensured. policy, including the
European Development Policy: the
the European Parliament and the
‘Joint Statement on a European
European Consensus’, adopted by
Commission, on 22 December
Development Policy: the European
the Council and the representatives
2005.
Consensus’, adopted by the Council
of the governments of the Member
and the representatives of the
States meeting within the Council,
governments of the Member States
the European Parliament and the
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meeting within the Council, the
Commission, on 22 December
European Parliament and the
2005.
Commission, on 22 December
2005.
(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
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beneficiaries, and respect of those
requirements should be
monitored.
(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
coherence, and 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
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and coordination with other
international donors, international
financial institutions which should
also be ensured implemented
whenever possible and relevant.
(16) Union support under this
(16 18) Union support under this
06/12/12: recital to be addressed in
Regulation should in principle be
Regulation should in principle be
the fourth technical meeting among
aligned to corresponding national,
aligned to corresponding national,
all provisions on Russian
regional or local strategies and
regional or local strategies and
Federation, Northern Dimension,
measures of partner countries.
measures of partner countries and,
Black Sea and regional cooperation
in the case of multi-country and
frameworks.
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 deliver this support. Certain
to deliver this support. Certain
specific support can only be
specific support can only be
provided at Union level.
provided at 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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(18) Furthermore, since the
(18 20) Furthermore, since the
(18) Furthermore, since the
objectives of this Regulation,
objectives of this Regulation,
objectives of this Regulation,
namely to promote enhanced
namely to promote enhanced
namely to promote enhanced
political cooperation and
political cooperation and
political cooperation and based on
progressive economic integration
progressive economic integration
deep democracy, progressive
between the European Union and
between the European Union and
economic integration between the
neighbouring countries, cannot be
neighbouring countries, cannot be
European Union and neighbouring
sufficiently achieved by the
sufficiently achieved by the
countries, and strengthened
Member States and can, by reason
Member States and can, by reason
partnership with societies, cannot
of the scale of the action, be better
of the scale of the action, be better
be sufficiently achieved by the
achieved at Union level, the Union
achieved at Union level, the Union
Member States and can, by reason
may adopt measures, in accordance
may adopt measures, in accordance
of the scale of the action, be better
with the principle of subsidiarity as
with the principle of subsidiarity as
achieved at Union level, the Union
set out in Article 5 of the Treaty. In
set out in Article 5 of the Treaty on
may adopt measures, in accordance
accordance with the principle of
European Union. In accordance
with the principle of subsidiarity as
proportionality, as set out in that
with the principle of
set out in Article 5 of the Treaty. In
Article, this Regulation does not go
proportionality, as set out in that
accordance with the principle of
beyond what is necessary in order
Article, this Regulation does not go
proportionality, as set out in that
to achieve those objectives.
beyond what is necessary in order
Article, this Regulation does not go
to achieve those objectives.
beyond what is necessary in order
to achieve those objectives.
(19) European Union external
(19 21) European Union external
(19) 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 support. The Commission
such support. The Commission
such support. The Commission
must therefore seek the most
must therefore seek the most
must therefore seek the most
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efficient use of available resources
efficient use of available resources
efficient use of available resources
by using financial instruments with
by using financial instruments with
and ensure best value for money
leverage effect. Such effect could
leverage effect. Such effect could
by using financial instruments with
be increased by enabling the use
be increased by enabling the use
leverage effect, but without
and re-use of funds invested and
and re-use of funds invested and
compromising the just and fair use
generated by financial instruments.
generated by financial instruments.1
of the Union's resources. Such
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
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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the Commission June 2011 MFF
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 23) Gender equality, the rights
(21) Gender equality and anti-
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discrimination should be a cross-
of persons belonging to minorities
discrimination fight against all
cutting objective in all actions
and anti-discrimination should be a
forms of discrimination and
undertaken under this Regulation.
are cross-cutting objectives in all
inequalities should be a cross-
actions undertaken under this
cutting objective in all actions
Regulation.
undertaken under this Regulation
(22) The Union is committed to
(22 24) The Union is committed to
(22) The Union is committed to
promote in relations with its
promote in relations with its
promote in relations with its
partners worldwide decent work as
partners worldwide decent work as
partners worldwide decent work, as
well as ratification and effective
well as ratification and effective
well as ratification and effective
implementation of the
implementation of the
implementation of the
internationally recognised labour
internationally recognised labour
internationally recognised labour
standards and multilateral
standards and multilateral
standards from abusive working
environment agreements, in
environment agreements, in
conditions including those
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
worldwide. The 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
European Union should be
the European Union should be
protected through proportionate
protected through proportionate
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measures throughout the
measures throughout the
expenditure cycle, including the
expenditure cycle, including the
prevention, detection and
prevention, detection and
investigation of irregularities, the
investigation of irregularities, the
recovery of funds lost, wrongly
recovery of funds lost, wrongly
paid or incorrectly used and, where
paid or incorrectly used and, where
appropriate, penalties. These
appropriate, penalties. These
measures will be carried out in
measures will should be carried out
accordance with the applicable
in 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
(25) In order for this Regulation to
deleted
be able to reflect swiftly the results
be able to reflect swiftly the results
of political decisions made by the
of 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 to the Commission for
delegated to the Commission for
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updating the list of beneficiary
updating the list of beneficiary
countries in the Annex to this
countries in the Annex to this
Regulation.
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 Council of ….
and of the Council of ….
and of the Council of ….
(hereinafter "the Common
(hereinafter "the Common
(hereinafter referred to as "the
Implementing Regulation")
Implementing Regulation")
Common Implementing
establishes common rules and
establishes common rules and
Regulation") establishes common
procedures for the implementation
procedures for the implementation
rules and procedures for the
of the Union's instruments for
of the Union's instruments for
implementation of the Union's
external action, delegated powers to
external action, delegated powers to
instruments for external action,
adopt acts in accordance with
adopt acts in accordance with
delegated powers to adopt acts in
Article 290 of the Treaty of the
Article 290 of the Treaty of the
accordance with Article 290 of the
Functioning of the European Union
Functioning of the European Union
Treaty of the Functioning of the
should be conferred to the
should be conferred to the
European Union should be
Commission for adopting the
Commission for adopting the
conferred to the Commission for
specific implementing measures
specific implementing measures
updating the list of beneficiary
required for the Cross-Border
required for the Cross-Border
countries set out in the Annex to
Cooperation mechanisms
Cooperation mechanisms
this Regulation, for adopting the
established in Title III of this
established in Title III of this
specific implementing measures
Regulation. It is of particular
Regulation. It is of particular
required for the Cross-Border
importance that the Commission
importance that the Commission
Cooperation mechanisms
should carry out appropriate
should carry out appropriate
established in Title III of this
consultations during its preparatory
consultations during its preparatory
Regulation, and for adopting
work, including at expert level. The
work, including at expert level. The
strategic programming documents
Commission, when preparing and
Commission, when preparing and
defining objectives, priorities,
drawing-up delegated acts, should
drawing-up delegated acts, should
expected results and financial
further ensure a simultaneous,
further ensure a simultaneous,
allocations in broad terms. It is of
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timely and appropriate transmission
timely and appropriate transmission
particular importance that the
of relevant documents to the
of relevant documents to the
Commission should carry out
European Parliament and Council.
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.
2 OJ L 55, 28.2.2011, p. 13.
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(28)
The implementing powers
(28) The implementing powers
deleted
relating to Article 7(1) , (2), and (3)
relating to Article 7(1 2) , (2 3), and
and to Article 9(1) should be
(3 4), and to Article 9(1) and to
exercised in accordance with
Article 12(1) should be exercised
Regulation (EU) No 182/2011 of
in accordance Regulation (EU) No
the European Parliament and of the
182/2011 of the European
Council of 16 February 2011 laying
Parliament and of the Council of 16
down the rules and general
February 2011 laying down the
principles concerning mechanisms
rules and general principles
for control by Member States of the
concerning mechanisms for control
Commission's exercise of
by Member States of the
implementing powers . Taking into
Commission's exercise of
account the nature of those
implementing powers . Taking into
implementing acts, in particular
account the nature of those
their policy orientation nature or
implementing acts, in particular
their financial implications, the
their policy orientation nature or
examination procedure should in
their financial implications, the
principle be used for their adoption,
examination procedure should in
except for measures of a small
principle be used for their adoption,
financial scale.
except for measures of a small
financial scale.
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(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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Title I. OBJECTIVES AND PRINCIPLES
Article 1
Overall objective and scope
1. The Union aims to establish an
1. The Union aims to establish an
1. The Union aims to establish This
06/12/12: provisional agreement on
area of prosperity and good
area of shared prosperity and good
Regulation establishes a European
the following text:
neighbourliness involving the
neighbourliness involving the
Neighbourhood Instrument with a
This Regulation establishes a
European Union and the countries
European Union and the countries
view to supporting the achievement European Neighbourhood
and territories listed in the Annex to
and territories listed in the Annex to
of the Union’s aim of establishing
Instrument with a view to
this Regulation (hereinafter ‘the
this Regulation (hereinafter ‘the
an area of democracy, respect for
advancing further towards an
partner countries’) by developing a
partner countries’) by developing a
human rights and the rule of law,
area of shared prosperity and
special relationship.
special relationship founded on
prosperity, peace, stability and
good neighbourliness involving
cooperation, mutual
good neighbourliness involving the
the Union and the countries and
accountability and shared
European Union and the countries
territories listed in the Annex to
commitment to universal values
and territories listed in the Annex to
this Regulation (hereinafter ‘the
of democracy, rule of law and
this Regulation (hereinafter ‘the
partner countries’) by developing
respect of human rights.
partner countries’) by developing a
a special relationship founded on
special relationship consistent with
cooperation, peace and security,
Articles 2, 3 (5), 6, 8 and 21 of the
mutual accountability and shared
Treaty on European Union.
commitment to universal values
of democracy, the rule of law and
respect for human rights in
accordance with the Treaty on
European Union.
2. Union support under this
2. Union support under this
2. Union support under this
17/10/12: provisional agreement on
Regulation shall be used for the
Regulation shall be used for the
Regulation shall be used for the
the following text:
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benefit of partner countries and can
benefit of partner countries and the
benefit of partner countries and the
Union support under this
also be used for the common
regions involved in the Cross-
regions involved in the Cross-
Regulation shall be used for the
benefit of EU and partner countries.
Border Cooperation. It can also
Border Cooperation. It can also be
benefit of partner countries and
be used for the common benefit of
used for the common benefit of EU
the regions involved in the Cross-
EU the Union and partner
the Union and partner countries.
Border Cooperation. It can also
countries.
be used for the common benefit of
the Union and partner countries.
3. Union funding may also be used
3. Union funding may also be used
3. Union funding may also be used
06/12/12: paragraph to be addressed
for the purpose of enabling the
for the purpose of enabling the
for the purpose of enabling the
in the fourth technical meeting
Russian Federation to participate in
Russian Federation to participate in
Russian Federation to participate in
among all provisions on Russian
Cross-Border Cooperation and in
Cross-Border Cooperation and in
Cross-Border Cooperation and in
Federation, Northern Dimension,
relevant multi-country programmes,
regional cooperation with EU
relevant multi-country programmes
Black Sea and regional cooperation
to reflect the specific status of the
participation and in relevant
to reflect the specific status of the
frameworks.
Russian Federation as both a Union
multi-country programmes, to
Russian Federation as both a Union
neighbour and a strategic partner in
reflect the specific status of the
neighbour and a strategic partner in
the region.
Russian Federation as both a Union
the region for the common benefit
neighbour and a strategic partner in
of border regions including
the region including in
Russian regions, partner countries
cooperation on education.
and the Union.
4. Union funding under this
06/12/12: paragraph to be addressed
Regulation for the countries and
once Commission has completed
territories listed in the Annex is
the related legal analysis on
limited to their respective
whether they would foresee any
territory as defined in accordance
unintended consequences from this
with international law.
formulation.
Article 2
Specific objectives of Union’s
support
1. Support under this Regulation
1. Support under this Regulation
1. Support under this Regulation
15/11/12: provisional agreement on
shall promote enhanced political
shall promote focus on promoting
shall promote enhanced political
the following text:
cooperation and progressive
enhanced political cooperation and
cooperation based on deep
Support under this Regulation
29

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ENI trilogue outcome table - version 07/12/12
economic integration between the
progressive economic integration
democracy, and progressive
shall focus on promoting
Union and the partner countries
between the Union and the partner
economic integration and shall
enhanced political cooperation,
and, in particular, the
countries and, in particular, the
strengthen partnership with
deep and sustainable democracy,
implementation of partnership and
implementation of partnership and
societies between the Union and the
progressive economic integration
cooperation agreements, association
cooperation agreements, association
partner countries and, in particular,
and a strengthened partnership
agreements or other existing and
agreements or other existing and
the implementation of partnership
with societies between the Union
future agreements, and jointly
future agreements, and jointly
and cooperation agreements,
and the partner countries and, in
agreed action plans.
agreed action plans or equivalent
association agreements, deep and
particular, the implementation of
documents.
comprehensive free trade
partnership and cooperation
agreements (DCFTAs) or other
agreements, association
existing and future agreements, and
agreements or other existing and
jointly agreed action plans or
future agreements, and jointly
equivalent documents.
agreed action plans or equivalent
documents.
2. Union support should target in
2. Union support should shall
2. Union support should target aim
06/12/12:
particular:
target in particular:
in particular at:
- provisional agreement to refer to
(a) promoting human rights and
(a) promoting human rights and
(a) promoting human rights and
the "indivisibility" of human rights
fundamental freedoms, the rule of
fundamental freedoms, the rule of
their indivisibility, minority rights
in recitals and not in sub-paragraph
law, principles of equality,
law, principles of equality,
and fundamental freedoms, the rule
(a);
establishing deep and sustainable
establishing deep and sustainable
of law, principles of equality, and
- the following sub-paragraphs are
democracy, promoting good
democracy, promoting good
fight against discrimination in all
provisionally agreed:
governance and developing a
governance and developing a
its forms; supporting the transition
(a) promoting human rights and
thriving civil society including
thriving civil society including
to and establishment of
fundamental freedoms, the rule
social partners;
social partners;
establishing deep and sustainable
of law, principles of equality and
(b) achieving progressive
(b) achieving progressive
democracy; promoting good
fight against discrimination in all
integration into the Union internal
integration into the Union internal
governance, transparency and fight
its forms, establishing deep and
market and enhanced sector and
market and enhanced sector and
against corruption; strengthening
sustainable democracy,
cross-sectoral co-operation
cross-sectoral co-operation
of capacities of local and regional
promoting good governance, fight
including through legislative
including through legislative
authorities; and developing a
against corruption, strengthening
approximation and regulatory
approximation and regulatory
thriving civil society including
institutional capacity at all levels
convergence towards Union and
convergence towards Union and
social partners;
and developing a thriving civil
other relevant international
other relevant international
(b) achieving progressive
society including social partners.
standards, related institution
standards and improved market
integration into the Union internal
(b) achieving progressive
building and investments, notably
access including through deep
market and increasing mutual
integration into the Union
30

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ENI trilogue outcome table - version 07/12/12
in interconnections;
and comprehensive free trade
market access (also through Deep
internal market and enhanced
(c) creating conditions for well
areas, related institution building
and Comprehensive Free Trade
sector and cross-sectoral
managed mobility of people and
and investments, notably in
Areas ) and enhanced sector and
cooperation including through
promotion of people-to-people
interconnections;
cross-sectoral co-operation
legislative approximation and
contacts;
(c) creating conditions for well
including through legislative
regulatory convergence towards
(d) sustainable and inclusive
managed mobility of people and
approximation and regulatory
Union and other relevant
development in all aspects, poverty
promotion of people-to-people
convergence towards Union and
international standards and
reduction, including through
contacts;
other relevant international
improved market access
private-sector development;
(d) smart, sustainable and inclusive
standards, related institution
including through deep and
promotion of internal economic,
development in all aspects,; poverty
building and investments, notably
comprehensive free trade areas,
social and territorial cohesion, rural
reduction, including through
in interconnections;
related institution building and
development, climate action and
private-sector development;
(ba) strengthening domestic
investments, notably in
disaster resilience;
promotion of capacity building in
accountability and establishing an
interconnections;
(e) promoting confidence building
science, higher education,
institutionalised consultation and
(d) supporting smart, sustainable
and other measures contributing to
technology and innovation and of
monitoring mechanism with civil
and inclusive development in all
security and the prevention and
a Common Knowledge and
society organisations,
aspects; poverty reduction,
settlement of conflicts;
Innovation Space; promotion of
environmental and social partners
including through private-sector
(f) enhancing sub-regional, regional
internal economic, social and
and other non-state actors;
development and reduction of
and Neighbourhood wide
territorial cohesion,; rural
(c) creating conditions for well
social exclusion; promotion of
collaboration as well as Cross-
development; environmental
managed mobility of people and,
capacity building in science,
Border Cooperation.
protection, climate action and
especially migration flows,
education and in particular
disaster resilience;
facilitating visa delivery with a
higher education, technology,
(e) promoting confidence building
possibility of eventual visa
research and innovation;
and other measures contributing to
liberalisation, promotion of people-
promotion of internal economic,
security and the prevention and
to-people contacts in particular in
social and territorial cohesion;
settlement of conflicts;
cultural, educational, professional
rural development; public health;
(f) enhancing sub-regional, regional
and sporting activities;
environmental protection, climate
and Neighbourhood wide
(d) supporting sustainable and
action and disaster resilience;
collaboration as well as Cross-
inclusive socio-economic
(e) promoting confidence
Border Cooperation.
development in all aspects, poverty
building, good neighbourly
reduction, including through,
relations and other measures
fostering private-sector
contributing to security in all
development, reducing poverty,
forms and the prevention and
and social exclusion, promoting
settlement of conflicts, including
31

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ENI trilogue outcome table - version 07/12/12
promotion of internal economic,
protracted conflicts;
social and territorial cohesion, rural
(f) enhancing sub-regional,
development, public health,
regional and Neighbourhood
climate action and environmental
wide collaboration as well as
protection as well as and disaster
Cross-Border Cooperation.
resilience; supporting job and
wealth creation as well as
- In order to find a compromise for
innovation inter alia through
sub-paragraph (c), EP submitted a
support to SMEs, to R&D projects
proposal containing 2 elements:
and the promotion of renewable
-
add to the end of recital (5)
forms of energy;
of the preamble: "it[the
(e)  promoting  confidence  building,
European Neighbourhood
good  neighbourly  relations
and
Policy] further provides a
other  measures  contributing  to
framework for enhanced
security, including energy security,
mobility and people-to-
as  well  as peace  building, and the
people contacts,
prevention 
and 
settlement 
of
particularly through visa
conflicts and frozen conflicts;
facilitation and
(f) enhancing sub-regional, regional
readmission agreements,
and Neighbourhood wide
and, where appropriate,
collaboration as well as Cross-
visa liberalisation
Border Cooperation.
agreements";
-
art 2.2(c) to read: "creating
conditions for better
organising legal migration
and fostering well managed
mobility of people, for the
adoption and
implementation of visa
facilitation agreements and
other relevant agreements
in line with the Global
Approach to Migration and
Mobility, and for promotion
32

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ENI trilogue outcome table - version 07/12/12
of people-to-people
contacts, in particular in
relation to cultural,
educational, professional
and sporting activities".
- The Council will consult the EP
proposal with MS.
3.The achievement of these
3.The achievement of these
3. The achievement of these
15/11/12: paragraph to be addressed
objectives shall be measured using
priority objectives shall be
specific objectives shall be
after the issue of performance
notably the relevant EU periodic
measured using notably the relevant
measured using notably the relevant
indicators has been addressed in the
reports on the implementation of
EU Union periodic reports on the
EU periodic reports on the
horizontal trilogue.
the policy, and for paragraphs 2(a),
implementation of the policy, and
implementation of the policy, and
(d) and (e), the relevant indicators
for paragraphs 2(a), (d) and (e), the
for paragraphs 2(a), (d) and (e),
established by international
relevant indicators established by
predefined, clear, transparent and
organisations and other relevant
international organisations and
measurable indicators, while
bodies; for paragraphs 2(b), (c) and
other relevant bodies; for
avoiding the creation of any
(d) the uptake of the EU regulatory
paragraphs 2(b), (c) and (d) the
unnecessary additional
framework by the partner countries
extent of the uptake of the EU
administrative burdens. The list of
as relevant; for paragraphs 2(c) and
Union regulatory framework by the
those the relevant indicators shall
(f), the number of relevant
partner countries as relevant; for
be established by international
agreements and cooperation
paragraphs 2(c) and (f), the number
organisations and other relevant
actions. The indicators will include,
of relevant agreements and
bodies; for paragraphs 2(b), (c) and
among others, adequately
cooperation actions. The indicators
(d) the uptake of the EU regulatory
monitored democratic elections,
will include, among others,
framework by the partner countries
level of corruption, trade flows,
adequately monitored democratic
as relevant; for paragraphs 2(c) and
indicators enabling measuring
elections, cooperation on justice,
(f), the number of relevant
internal economic disparities,
freedom and security issues, level
agreements and cooperation
including employment levels.
of corruption, trade flows, gender
actions. The indicators will include,
equality and indicators enabling
among others, adequately
measuring internal economic
monitored democratic elections,
disparities, including employment
level of corruption, trade flows,
levels.
indicators enabling measuring
internal economic disparities,
33

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ENI trilogue outcome table - version 07/12/12
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
15/11/12: provisional agreement on
in other areas when this is
support may also be used in other
the following text:
consistent with the overall
relevant areas when this is
Union support may also be used
objectives of the European
consistent with the overall
in other relevant areas when this
Neighbourhood Policy.
objectives of the European
is consistent with the overall
Neighbourhood Policy.
objectives of the European
Neighbourhood Policy.
4a. The European Neighbourhood
15/11/12: EP considers the
Instrument shall also serve as an
amendment covered by Art 2.2 (a).
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
06/12/12:
agreements, the association
agreements, the association
agreements, the association
- the Council did not have the
agreements and other existing or
agreements and other existing or
agreements, deep and
mandate to accept references to EP
future agreements that establish a
future agreements that establish a
comprehensive free trade
Resolutions and interparliamentary
relationship with partner countries,
relationship with partner countries,
agreements (DCFTAs) and other
meetings;
corresponding Communications,
corresponding Communications,
existing or future agreements that
- EP asked the Council to come to
Council conclusions and European
and Council conclusions and
establish a relationship with partner
the next trilogue with valid
Parliament Resolutions as well as
European Parliament Resolutions as
countries, corresponding
arguments against the reference to
relevant conclusions of ministerial
well as relevant summit
Communications and Country
EP resolutions
34

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ENI trilogue outcome table - version 07/12/12
meetings with the partner countries
declarations or conclusions of
Reports, Council conclusions and
- the paragraph remains in brackets
shall constitute the overall policy
ministerial meetings with the
European Parliament Resolutions as
as follows: [The partnership and
framework for programming and
partner countries of the European
well as relevant documents such as
cooperation agreements, the
implementing Union support under
Neighbourhood Policy including
summit declarations or conclusions
association agreements and other
this Regulation.
in the context of the Eastern
of ministerial or
existing or future agreements that
Partnership and the Union for
interparliamentary meetings with
establish a relationship with partner
the Mediterranean, shall, while
the partner countries as well as
countries, corresponding
respecting the principle of
relevant regional cooperation
Communications and Council
ownership, constitute the overall
policy documents shall constitute
conclusions and European
policy framework for programming
the overall policy framework for
Parliament Resolutions as well as
and implementing Union support
programming and implementing
relevant summit declarations or
under this Regulation.
Union support under this
conclusions of ministerial or
Regulation.
interparliamentary meetings with
the partner countries of the
European Neighbourhood Policy
including in the context of the
Eastern Partnership and the Union
for the Mediterranean, shall, while
respecting the principle of
ownership, constitute the overall
policy framework for programming
and implementing Union support
under this Regulation.].
2. Jointly agreed action plans or
2. Jointly agreed action plans or
2. Jointly agreed aAction plans or
15/11/12: paragraph provisionally
other equivalent documents
other equivalent documents such as
other equivalent jointly agreed
agreed as follows (except for
between the partner countries and
the association agendas between
documents between the partner
bracketed text):
the Union shall provide the key
the partner countries and the Union,
countries and the Union in bilateral
Action plans or other equivalent
point of reference for setting the
including as relevant within the
or multilateral formats shall
jointly agreed documents such as
priorities for Union support.
Eastern Partnership and the
provide the key point of reference
the association agendas between
Southern dimension of the
for setting the priorities for Union
the partner countries and the
European Neighbourhood Policy,
support.
Union in bilateral and
shall provide the key point of
multilateral formats, including as
reference for setting the priorities
relevant within the Eastern
for Union support and for the
Partnership and the Southern
35

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ENI trilogue outcome table - version 07/12/12
assessment of progress outlined
dimension of the European
in Art 2(3).
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).]
The bracketed text referring to Art
2.3. will be addressed together with
Art. 2.3 after horizontal trilogue has
reached agreement on performance
indicators.
3. Where no agreements, as
3. Where no agreements, as
15/11/12: provisional agreement on
mentioned in paragraph 1, between
mentioned in paragraph 1, between
the following text:
the Union and partner countries
the Union and partner countries
Where no agreements, as
exist, Union support may be
exist, Union support may be
mentioned in paragraph 1,
provided when it proves useful to
provided when it proves useful to
between the Union and partner
pursue Union policy objectives, and
pursue Union policy objectives, and
countries exist, Union support
shall be programmed on the basis of
shall be programmed on the basis of
may be provided when it proves
such objectives taking into account
such objectives taking into account
useful to pursue Union policy
the needs of the country concerned.
the needs, commitment to reforms
objectives, and shall be
and performance of the country
programmed on the basis of such
concerned.
objectives taking into account the
needs of the country concerned.
3a. Cooperation with Russian
06/12/12: paragraph to be addressed
Federation is based on its status as
in the fourth technical meeting
the Union neighbour and strategic
among all provisions on Russian
partnership. The Northern
Federation, Northern Dimension,
Dimension policy documents and
Black Sea and regional cooperation
other relevant documents provide
frameworks.
the political framework for
regional and Cross-border
cooperation with Russia. Black
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ENI trilogue outcome table - version 07/12/12
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
06/12/12: "more-for-more" related
Differentiation, partnership and
parts of this article to be addressed
co-financing
in the fourth technical meeting
1. Union support provided under
1. Union support provided under
1. Union support provided under
this Regulation to each partner
Article 6(1) (a) of this Regulation
this Regulation to each partner
country shall be differentiated in
to each partner country shall be
country under point (a) of Article
form and amounts according to the
differentiated in form and amounts
6(1) of this Regulation shall be
partner country’s commitment to
according to the and reflect partner
incentive-based and differentiated
reforms and its progress in
country’s commitment to reforms
in form and amounts according to
implementing these reforms. Such
and its progress in implementing
the commitment to democratic
differentiation shall reflect the level
these reforms. Such differentiation
reforms, the needs and the
of ambition of the country’s
shall reflect the level of ambition of
absorption capacities of the partner
partnership with the Union, its
the country’s partnership with the
country’s commitment to reforms
progress in building deep and
Union, its progress in building deep
and its progress in implementing
sustainable democracy, its progress
and sustainable democracy, its
these reforms concerned and the
in implementing agreed reform
progress in implementing agreed
potential impact of the Union
objectives, the country’s needs and
reform objectives, the country’s
support. Such differentiation shall
capacities, and the potential impact
needs and capacities,:
be in line with the principle of
of Union support.
- needs, using indicators such as
mutual accountability and shall
population and level of
reflect the level of ambition of the
development;
country’s to develop its partnership
- commitment to and progress in
with the Union, its progress in
implementing agreed political,
building deep and sustainable
economic and social reform
democracy, its progress in
objectives;
implementing and to achieve
- commitment to and progress in
commonly agreed reform
building deep and sustainable
objectives, the country’s needs and
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ENI trilogue outcome table - version 07/12/12
democracy;
capacities, and the potential impact
- partnership with the EU,
of Union support.
including its level of ambition;
- absorption capacity and the
This support will be reflected in
potential impact of Union EU
the multi-annual programming
support.
documents specified in Article 7.
This support will be reflected in
the multi-annual programming
documents specified in Article 7.
2. Following the adoption of the
1a. Support in form and amounts
programming documents
according to ´more for more´
specified in Article 7 and without
principle will be made available to
prejudice to the other elements
the partner country committed to
outlined in Article 4(1), including
and demonstrating progress in:
partners' needs, the share of
- undertaking significant reforms
available resources offered to
aimed at building or consolidating
partner countries will be adapted
democracy;
according to their progress in
- undertaking significant political,
building deep and sustainable
economic and social reforms and
democracy and in implementing
implementing agreed reform
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
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ENI trilogue outcome table - version 07/12/12
crisis-related support measures.
3. Implementation of the
(1b) The annual progress reports
incentive-driven approach under
on each partner country published
this Regulation will be the subject
by the Commission shall assess the
of regular exchanges of views
progress referred to in paragraph
among the EEAS, the
1a outlining trends compared to
Commission and the Member
the previous years  On the basis of
States in the Committee referred
this assessment, Commission shall
to in Article 13 and in the
recommend possible revision or
Council.
continuation of the support.
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,
involve as appropriate, national,
in a transparent and verifiable way
regional and local authorities, other
and 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
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ENI trilogue outcome table - version 07/12/12
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
part in that process and to
guarantee an effective domestic
accountability  and local
ownership.
3. Union support under this
3 5. Union support under this
3. Union support under this
06/12/12: 1st part of the paragraph
Regulation shall in principle be co-
Regulation shall in principle be co-
Regulation shall in principle be co-
to be addressed in the fourth
financed by the partner countries
financed by the partner and other
financed by the partner and other
technical meeting among all
through public funds, contributions
participating countries through
participating countries through
provisions on Russian Federation,
from the beneficiaries or other
public funds, contributions from the
public funds, contributions from the
Northern Dimension, Black Sea and
sources. The same principle shall be beneficiaries or other sources. The
beneficiaries or other sources. The
regional cooperation frameworks
applicable to the cooperation with
same principle shall be applicable
same principle shall be applicable to
the Russian Federation, particularly
to the cooperation with the Russian
the cooperation with the Russian
with regard to programmes referred
Federation, particularly with regard
Federation, particularly with regard to
to in Article 6(1) (c). Co-financing
to programmes referred to in
programmes referred to in Article
requirements may be waived in
Article 6(1) (b) and (c). Co-
6(1) (c) points (b) and (c) of Article
duly justified cases and when this is
financing requirements may be
6(1). Co-financing requirements shall
necessary to support the
waived in duly justified cases and
may be waived in duly justified
development of civil society and
when this is necessary to support
cases and when this is necessary to
non-state actors, without prejudice
the development of civil society
support the development of civil
to compliance with the other
and non-state actors, without
society and non-state actors,
conditions set out in the Financial
prejudice to compliance with the
especially small-scale civil society
Regulation.
other conditions set out in the
organisations, without prejudice to
Financial Regulation.
compliance with the other conditions
set out in the Financial Regulation.
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ENI trilogue outcome table - version 07/12/12
Article 5
Coherence and Donor
Coordination
1. In implementing this Regulation,
1. In implementing this Regulation,
15/11/12: provisional agreement on
coherence shall be ensured with
coherence shall be ensured with
the following text:
other areas of the Union external
other all areas of the Union external
In implementing this Regulation,
action as well as other relevant
action as well as other relevant
coherence shall be ensured with
Union policies. To this end,
Union policies. To this end,
all areas of the Union external
measures financed under this
measures financed under this
action as well as other relevant
Regulation, including those
Regulation, including those
Union policies. To this end,
managed by the European
managed by the European
measures financed under this
Investment Bank (EIB), shall be
Investment Bank (EIB), shall be
Regulation, including those
based on the cooperation policy
based on the cooperation policy
managed by the European
documents described in Article 3(1)
documents described in Article 3(1)
Investment Bank (EIB), shall be
and (2) as well as on the Union’s
and (2) as well as on the Union’s
based on the cooperation policy
specific interests, policy priorities
specific interests, policy priorities
documents described in Article
and strategies. Such measures shall
and strategies. Such measures shall
3(1) and (2) as well as on the
respect the commitments under
respect the commitments under
Union’s specific interests, policy
multilateral agreements and
multilateral agreements and
priorities and strategies. Such
international conventions to which
international conventions to which
measures shall respect the
the Union and partner countries are
the Union and partner countries are
commitments under multilateral
parties.
parties.
agreements and international
conventions to which the Union
and partner countries are parties.
2. The Commission, the Member
2. The Commission, the European
2. The Commission, the Member
06/12/12: provisional agreement on
States and the European Investment
External Action Service, the
States and the European Investment
the following text: The Union, the
Bank (EIB) shall ensure coherence
Member States and the European
Bank (EIB) shall ensure coherence
Member States and the European
between support provided under
Investment Bank (EIB) shall ensure
between support provided under
Investment Bank (EIB) shall
this Regulation and other support
coherence between support
this Regulation and other support
ensure coherence between
provided by the Union, the Member
provided under this Regulation and
provided by the Union, the Member
support provided under this
States and the European Investment
other support provided by the
States, and the European
Regulation and other support
Bank.
Union, the Member States and the
Investment Bank the EIB and the
provided by the Union, the
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ENI trilogue outcome table - version 07/12/12
European Investment Bank.
EBRD.
Member States and European
financial institutions.
3. The Union and the Member
3. The Union and the Member States
06/12/12: paragraph to be addressed
States shall coordinate their
shall coordinate their respective
in the fourth technical meeting, on
respective support programmes
support programmes with the aim of
the basis of the result of the second
with the aim of increasing
increasing effectiveness and
technical meeting (28/11), which
effectiveness and efficiency in the
efficiency in the delivery of support
reads: The Union and the Member
delivery of support and policy
and policy dialogue and preventing
States shall coordinate their
dialogue in line with the established
overlapping of funding in line with
respective support programmes
principles for strengthening
the established principles for
with the aim of increasing
operational coordination in the field
strengthening operational
effectiveness and efficiency in the
of external support, and for
coordination in the field of external
delivery of support and policy
harmonising policies and
support, and for harmonising
dialogue and preventing
procedures. Coordination shall
policies and procedures.
overlapping of funding in line
involve regular consultations and
Coordination shall involve regular
with the established principles for
frequent exchanges of relevant
consultations and frequent
strengthening operational
information during the different
exchanges of relevant information
coordination in the field of
phases of the support cycle, in
during the different phases of the
external support, and for
particular at field level, and may
support cycle, in particular at field
harmonising policies and
lead to joint programming,
level, and may lead to joint
procedures. Coordination shall
delegated co-operation and/or
programming, delegated co-
involve regular consultations and
transfer arrangements.
operation and/or transfer
frequent exchanges of relevant
arrangements. Joint programming
information during the different
shall become a rule for the
phases of the support cycle, in
provision of assistance to all
particular at field level. Joint
partner countries covered by this
programming shall be
Regulation. The reports on the
implemented whenever possible
implementation of the instrument
and relevant. When this can not
established by this Regulation
be achieved, alternative
shall contain a section on joint
arrangements shall be considered
programming. Where no joint
to ensure the highest degree of
programming has been
coordination.
implemented, the reports shall set
- Agreement to propose to consider the
out the reasons for this and specify
reference to the reporting (wished by the
EP) in the framework of the discussions on
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ENI trilogue outcome table - version 07/12/12
the alternative arrangements
the Common Implementing Rules. Should
introduced to ensure a high level
this not be the case, it would be brought
back to the ENI-level of discussion.
of coordination.
4. The Union shall, in liaison with
4. The Union shall, in liaison with
4. The Union shall, in liaison with
15/11/12: provisional agreement on
the Member States, take the
the Member States, take the
the Member States, take the
the following text:
necessary steps to ensure proper
necessary steps, including
necessary steps, including
The Union shall, in liaison with
coordination and cooperation with
consultations at an early stage of
consultations at an early stage of
the Member States, take the
multilateral and regional
the programming process, to
the programming process, to
necessary steps, including
organisations and entities, including
ensure complementarity, proper
ensure complementarity, proper
consultations at an early stage of
European financial institutions,
coordination and cooperation with
coordination and cooperation with
the programming process, to
international financial institutions,
multilateral and regional
multilateral and regional
ensure complementarity, proper
United Nations agencies, funds and
organisations and entities, including
organisations and entities, including
coordination and cooperation
programmes, private and political
European financial institutions,
European financial institutions,
with multilateral and regional
foundations and non-European
international financial institutions,
international financial institutions,
organisations and entities,
Union donors.
United Nations agencies, funds and
United Nations agencies, funds and
including European financial
programmes, private and political
programmes, private and political
institutions, international
foundations and non-European
foundations and non-European
financial institutions, United
Union donors.
Union donors.
Nations agencies, funds and
programmes, private and
political foundations and non-
Union donors.
4a. The documents referred to in
06/12/12: parties agreed that the
Article 7(1) and (2) shall include
issue of donor matrices would be
detailed and up-to-date donor
addressed in the course of
matrices and shall describe the
discussions on Article 7.
steps to be taken to enhance donor
coordination, in particular
between the Union and Member
States.
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ENI trilogue outcome table - version 07/12/12
Council Partial General
Commission proposal
European Parliament AFET
Approach
Comments
COM(2011) 839 final
Committee amendments
ST 11028/12
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
06/12/12:
Regulation shall be programmed
Regulation shall be programmed
Regulation shall be programmed
- paragraph to be addressed in the
through:
through:
through:
fourth technical meeting among all
(a) bilateral programmes covering
(a) bilateral programmes covering
(a) bilateral programmes covering
provisions on Russian Federation,
support to one partner country;
support to one partner country;
support to one partner country;
Northern Dimension, Black Sea and
(b) multi-country programmes
(b) multi-country programmes
(b) multi-country programmes
regional cooperation frameworks.
which address challenges common
which address challenges common
which address challenges common
to all or a number of partner
to all or a number of partner
to all or a number of partner
countries, and regional and sub-
countries, based on priorities of
countries, and based on priorities
regional cooperation between two
the Eastern Partnership and
of the European Neighbourhood
or more partner countries, and
Southern Dimension of the
Policy, or regional and sub-regional
which may include cooperation
European Neighbourhood Policy
cooperation between two or more
with the Russian Federation;
and taking into account the work
partner countries, and which may
(c) Cross-Border Cooperation
carried out in the context of the
include cooperation with the
programmes addressing cooperation
Union for the Mediterranean, and
Russian Federation;
between one or more Member
regional and sub-regional
(c) Cross-Border Cooperation
States on the one hand and one or
cooperation, primarily between
programmes addressing cooperation
more partner countries and/or the
two or more partner countries, and
between one or more Member
Russian Federation on the other
which may include. This
States on the one hand and one or
hand taking place along their shared
cooperation with may involve the
more partner countries and/or the
part of the external border of the
Russian Federation in accordance
Russian Federation on the other
EU.
with Article 1(3);
hand taking place along their shared
(c) Cross-Border Cooperation
part of the external border of the
programmes addressing cooperation EU.
between one or more Member
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ENI trilogue outcome table - version 07/12/12
Council Partial General
Commission proposal
European Parliament AFET
Approach
Comments
COM(2011) 839 final
Committee amendments
ST 11028/12
States on the one hand and one or
more 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
06/12/12: the Council wishes to
Regulation shall be implemented in
Regulation shall be implemented in
address this paragraph in a later
accordance with the Common
accordance with the Common
stage as the Council has reserved its
Implementing Regulation.
Implementing Regulation and for
right to come back to the paragraph
the programmes referred to in
in its entirety once the Commission
the Article 6 (1) (c) also in
has tabled its proposal for the ENI
accordance with the ENI Cross-
Cross-Border Cooperation
Border Cooperation
Implementing Rules.
Implementing Rules3.
Article 7
06/12/12: "more-for-more" related
Programming and indicative
parts of this article to be addressed
allocation of funds for country
in the fourth technical meeting
and multi country indicative
programmes
1. Financial allocations for
-1. The documents referred to in
country programmes shall be
this Article shall constitute
determined on the basis of
strategic programming documents
criteria set out in Article 4(1).
within the meaning of Article 2 of
the Common Implementing
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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ENI trilogue outcome table - version 07/12/12
Council Partial General
Commission proposal
European Parliament AFET
Approach
Comments
COM(2011) 839 final
Committee amendments
ST 11028/12
Regulation and shall be adopted by
means of delegated acts in
accordance with the procedure laid
down in Articles 13 and 14 of this
Regulation.
1. For countries where the
1 2. For countries where the
1. For countries where the
documents referred to in Article
documents referred to in Article
documents referred to in Article
3(2) exist, a comprehensive multi-
3(2) exist, a comprehensive multi-
3(2) exist, a comprehensive multi-
annual Single Support Framework
annual Single Support Framework
annual Single Support Framework
shall be adopted in accordance with
shall be adopted in accordance with
shall be adopted by means of a
the examination procedure referred
the examination procedure referred
delegated act in accordance with
to in Article 15(3) of the Common
to in Article 15(3) of the Common
the examination procedure referred
Implementing Regulation. The
Implementing Regulation. The
to in Article 15(3) of the Common
Single Support Framework shall
Single Support Framework shall
Implementing Regulation Article
review the progress made in
review the progress made in
13. The Single Support Framework
relation to the policy framework
relation to the policy framework
shall review the progress made in
and shall list priorities for Union
and shall list priorities for Union
relation to the policy framework
support, mainly selected from those
support, mainly selected from those
and shall list priorities for Union
included in the documents referred
included in the documents referred
support, mainly selected from those
to in Article 3(2) and in partner
to in Article 3(2) and in partner
included:
countries’ strategies or plans, and
countries’ strategies or plans, and
(i) assess the achievement of
for which the Union’s regular
for which the Union’s regular
previously agreed objectives as
assessment has shown the need for
assessment has shown the need for
well as the state of play as regards
support. It shall also set out their
support. It shall also set out their
the relations between the Union
indicative level of funding. The
indicative level of funding.
and the partner country, including
duration of the Single Support
Financial allocations for each
that country's level of ambition for
Framework shall correspond to the
Single Support Framework will
its partnership with the Union;
duration of the relevant document
be given in the form of a range
referred to in Article 3(2).
with a variance of not more than
(ii) set out the objectives and
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ENI trilogue outcome table - version 07/12/12
Council Partial General
Commission proposal
European Parliament AFET
Approach
Comments
COM(2011) 839 final
Committee amendments
ST 11028/12
20%. The duration of the Single
priorities of the assistance, mainly
Support Framework shall
selected from those included in the
correspond to the duration of the
documents referred to in Article
relevant document referred to in
3(2) and in partner countries’
Article 3(2).
strategies or 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 3. For countries where the
2. For countries where the
documents referred to in Article
documents referred to in Article
documents referred to in Article
3(2) do not exist, a comprehensive
3(2) do not exist, a comprehensive
3(2) do not exist, a comprehensive
programming document including a
programming document including a
programming document including a
Strategy and a Multi-annual
Sstrategy and a Mmulti-annual
Strategy and a Multi-annual
indicative programme shall be
indicative programme shall be
indicative programme shall be
adopted in accordance with the
adopted in accordance with the
adopted by means of a delegated
examination procedure referred to
examination procedure referred to
act in accordance with the
in Article 15(3) of the Common
in Article 15(3) of the Common
examination procedure referred to
Implementing Regulation. It shall
Implementing Regulation. It shall
in Article 15(3) of the Common
define a Union response strategy on
define a Union response strategy on
Implementing Regulation Article
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the basis of an analysis of situation
the basis of an analysis of the
13. It shall:
of the country concerned, and of its
situation of the country concerned,
relations with the Union, the partner
and of its relations with the Union,
(i) define a Union response strategy
countries’ strategies or plans, the
the partner countries’ country's
on the basis of an analysis of the
priorities for Union support and the
strategies or plans, the priorities for
situation of the country concerned,
indicative level of funding broken
Union support and the indicative
and of its relations with the Union,
down by priority. It shall have an
level of funding broken down by
and of the partner countries’
appropriate multi-annual duration.
priority. It Accompanying
strategies or plans where this is
financial allocations will be given
consistent with the overall policy
in the form of a range with a
framework;
variance of not more than 20%.
(ii) set out the objectives and the
The programming document shall
priorities for Union support and of
have an appropriate multi-annual
duration.
the assistance;
(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, a
3 4. For multi-country programmes,
3. For multi-country programmes, a
comprehensive programming
a comprehensive programming
comprehensive programming
document including a Strategy and
document including a Sstrategy and
document including a Strategy and
a Multi-annual indicative
a Mmulti-annual indicative
a Multi-annual indicative
programme shall be adopted in
programme shall be adopted in
programme shall be adopted by
accordance with the examination
accordance with the examination
means of a delegated act in
procedure referred to in Article
procedure referred to in Article
accordance with the examination
15(3) of the Common
15(3) of the Common
procedure referred to in Article
Implementing Regulation. It shall
Implementing Regulation. It shall
15(3) of the Common
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define the priorities for Union
define the priorities for Union
Implementing Regulation Article
support towards the region or the
support towards the region or the
13. It shall:
sub-region and the indicative level
sub-region and the indicative level
of funding broken down by priority.
of funding broken down by priority.
(i) define the objectives and
It shall have an appropriate multi-
It shall have an appropriate multi-
priorities for Union support towards
annual duration.
annual duration. Financial
the region or the sub-region,
allocations for multi-country
reflecting where applicable the
programmes shall be determined
priorities decided upon within the
on the basis of transparent and
framework of the Eastern
objective criteria.
Partnership or the Union for the
Mediterranean;
(ii) indicate 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 5. The Single Support Framework
4. The Single Support Framework
documents referred to in paragraph
documents referred to in paragraph
documents referred to in paragraph
1 shall be reviewed when necessary
12 of this Article shall be reviewed
1 shall be reviewed when necessary
and may be revised in accordance
when necessary, including in the
and may be revised by means of a
with the examination procedure
light of the relevant EU periodic
delegated act in accordance with
referred to in Article 15(3) of the
reports and taking account of the
the examination procedure referred
Common Implementing Regulation.
work of the joint bodies
to in Article 15(3) of the Common
The programming documents
established under the agreements
Implementing Regulation Article
referred to in paragraphs 2 and 3
with partner countries, and may
13. The programming documents
shall be reviewed at their mid-term
be revised in accordance with the
referred to in paragraphs 2 and 3
or whenever necessary and may be
examination procedure referred to
shall be reviewed at their mid-term
revised in accordance with the same
in Article 15(3) of the Common
or whenever necessary and may be
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procedure.
Implementing Regulation. The
revised in accordance with the same
programming documents referred to
procedure.
in paragraphs 2 3 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
and multi-country programmes
shall be determined using
shall be determined using
shall be determined using
transparent and objective criteria
transparent and objective criteria
transparent and objective criteria,
reflecting the differentiation
reflecting the differentiation
clearly established and assessed,
principle referred to in Article 4(1).
principle referred to in Article 4(1).
and reflecting the differentiation
principle referred to in 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
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allocations to be decided
subsequently on the basis of
progress towards deep and
sustainable democracy and
implementation of agreed reform
objectives.
6. When it is necessary to
6 7. When it is necessary to
implement more effectively
implement more effectively
measures for the common benefit of
measures for the common benefit of
the Union and partner countries, in
the Union and partner countries, in
areas such as transnational co-
areas such as transnational co-
operation and inter-connections,
operation cooperation and inter-
funding under this Regulation can
connections, funding under this
be pooled together with funding
Regulation can be pooled together
covered by other relevant Union
with funding covered by other
Regulations establishing financial
relevant Union Regulations
instruments. In this case, the
establishing financial instruments.
Commission shall decide which
In this case, the Commission shall
single set of rules should apply to
decide which single set of rules
implementation.
should shall apply to
implementation.
7. Member States and other donors
7 8. Member States and other
7. Member States and other donors
that have committed to jointly
donors that have committed to
that have committed to jointly
programme their support with the
jointly programme their support
programme their support with the
EU shall be involved in the
with the EU shall be involved in the
EU shall be involved in the
programming process. The
programming process. Those
programming process. The
programming documents may also
Member States and other donors
programming documents may also
cover their contribution as
that have committed to jointly
cover their contribution as
appropriate.
programme their support with
appropriate. The European
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the EU shall be particularly
Parliament and the Council shall
closely involved. The programming
be duly informed at all stages of
documents may also cover their
the programming process,
contribution as appropriate.
especially when Union budgetary
spending is involved.
8. When Member States and other
8 9. When Where Member States
8. When Member States and other
donors have committed to jointly
and other donors have committed to
donors have committed to jointly
programme their support, a joint
jointly programme their support, a
programme their support, a joint
multi-annual programming
joint multi-annual programming
multi-annual programming
document may replace the Single
document may replace the Single
document may replace the Single
Support Framework referred to in
Support Framework referred to in
Support Framework referred to in
paragraph (1) and the programming
paragraph (12) and the
paragraph (1) and the programming
documents referred to in paragraphs
programming documents referred to
documents referred to in paragraphs
(2) and (3), on condition that it
in paragraphs (23) and (34), on
(2) and (3), on condition that it
meets the requirements set out in
condition that it meets the
meets the requirements set out in
these provisions.
requirements set out in these
these provisions. The parts of that
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 to
9 10. In the event of crises or
9. In the event of crises or threats to
democracy, the rule of law, human
threats to democracy, the rule of
democracy, the rule of law, human
rights and fundamental freedoms,
law, human rights and fundamental
rights and fundamental freedoms,
or of natural or man-made disasters,
freedoms, or of natural or man-
or of natural or man-made disasters,
an ad hoc review of the
made disasters, an ad hoc review of
an ad hoc review of the strategic
programming documents may be
the programming documents may
programming documents may be
conducted. Such emergency review
be conducted. Such emergency
conducted. Such emergency review
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shall ensure that coherence between
review shall ensure that coherence
shall ensure that coherence between
Union support provided under this
between Union policies, Union
Union support provided under this
Regulation and support provided
support provided under this
Regulation and support provided
under other Union financial
Regulation and support provided
under other Union financial
instruments is maintained. An
under other Union financial
instruments is maintained. An
emergency review may lead to the
instruments is maintained. An
emergency review may lead to the
adoption of revised programming
emergency review may lead to the
adoption of revised strategic
documents. Where this is the case,
adoption of revised programming
programming documents in
the Commission shall send the
documents. Where this is the case,
accordance with the procedure
revised programming documents to
the Commission shall send the
referred to in Article 14(a). Where
the European Parliament and to the
revised programming documents to
this is the case, the Commission
Council for information within one
the European Parliament and to the
shall send the revised programming
month of their adoption.
Council for information no later
documents to the European
than within one month of their
Parliament and to the Council for
adoption.
information within one month of
their adoption.
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Title III. CROSS-BORDER COOPERATION
Article 8
Geographical eligibility
1. The Cross-Border Cooperation
1. The Cross-Border Cooperation
1. The Cross-Border Cooperation
06/12/12: paragraph to be addressed
programmes referred to in Article
programmes referred to in Article
programmes referred to in Article
in the fourth technical meeting
6(1)(c) can be established:
6(1)(c) can be established:
6(1)(c) can be established:
among all provisions on Russian
(a) for land borders, covering the
(a) for land borders, covering the
(a) for land borders, covering the
Federation, Northern Dimension,
territorial units corresponding to
territorial units corresponding to
territorial units corresponding to
Black Sea and regional cooperation
NUTS level 3 or equivalent along
Nomenclature of territorial units
NUTS level 3 or equivalent along
frameworks.
the land borders between Member
for statistics (NUTS) level 3 or
the land borders between Member
States and partner countries, and/or
equivalent along the land borders
States and partner countries, and/or
the Russian Federation;
between Member States and partner
the Russian Federation, without
(b) for maritime borders, covering
countries, and/or the Russian
prejudice to potential adjustments
the territorial units corresponding to
Federation without prejudice to
needed to ensure the coherence
NUTS level 3 or equivalent along
potential adjustments and in line
and continuity of cooperation
maritime borders between Member
with the provisions of Article 9(4)
action;
States and partner countries and/or
needed to ensure the coherence
(b) for maritime borders, covering
the Russian Federation, separated
and continuity of cooperation
the territorial units corresponding to
by a maximum of 150 km, without
action;
NUTS level 3 or equivalent along
prejudice to potential adjustments
(b) for maritime borders, covering
maritime borders between Member
needed to ensure the coherence and
the territorial units corresponding to
States and partner countries and/or
continuity of cooperation action;
NUTS level 3 or equivalent along
the Russian Federation, separated
(c) around a sea basin, covering the
maritime borders between Member
by a maximum of 150 km, without
coastal territorial units
States and partner countries and/or
prejudice to potential adjustments
corresponding to NUTS level 2 or
the Russian Federation, separated
needed to ensure the coherence and
equivalent facing a sea basin
by a maximum of 150 km, without
continuity of cooperation action;
common to Member States and
prejudice to potential adjustments
(c) around a sea basin, covering the
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partner countries and/or the Russian
needed to ensure the coherence and
coastal territorial units
Federation.
continuity of cooperation action;
corresponding to NUTS level 2 or
(c) around a sea basin, covering the
equivalent facing a sea basin
coastal territorial units
common to Member States and
corresponding to NUTS level 2 or
partner countries and/or the Russian
equivalent facing a sea basin
Federation.
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 cooperation
continuation of existing cooperation
continuation of existing cooperation
schemes and in other justified
schemes and in other justified
schemes and in other justified
cases, territorial units adjoining to
cases, territorial units adjoining to
cases, territorial units adjoining
those referred to in paragraph 1
those referred to in paragraph 1
those referred to in paragraph 1
may be allowed to participate in
may be allowed to participate in
may be allowed to participate in
Cross-Border Cooperation.
Cross-Border Cooperation. The
Cross-Border Cooperation, on
conditions under which adjoining
condition that such participation
regions may participate in
contributes to the objectives laid
cooperation will be laid down in
down in the programming
the Joint Operational
documents.
Programmes.
3. In duly justified cases, major
3. In duly justified cases, major
06/12/12: paragraph to be addressed
social, economic or cultural centres
social, economic or cultural centres
in the fourth technical meeting
that are not adjoining to eligible
in the Member States, Partner
among all provisions on Russian
territorial units may be included on
countries or the Russian
Federation, Northern Dimension,
condition that such participation
Federation that are not adjoining to
Black Sea and regional cooperation
contributes to the objectives laid
eligible territorial units may be
frameworks.
down in the programming
included on condition that such
document.
participation contributes to the
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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
06/12/12: paragraph to be addressed
established pursuant to paragraph
established pursuant to paragraph
in the fourth technical meeting
1(b), the European Commission
1(b), the European Commission
among all provisions on Russian
may, in agreement with the
may, in agreement with the partners
Federation, Northern Dimension,
partners, propose that the
participants, propose that the
Black Sea and regional cooperation
geographical eligibility be extended
geographical eligibility be extended
frameworks.
to the whole NUTS level 2
to the whole NUTS level 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
06/12/12: request to address this
shall aim to be coherent with the
paragraph in the framework of
objectives of existing and future
discussions on the CBC
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
06/12/12: paragraph to be addressed
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be prepared for the purpose of
be prepared for the purpose of
be prepared for the purpose of
in the fourth technical meeting
defining the:
defining the:
defining the:
among all provisions on Russian
(a) strategic objectives to be
(a) strategic objectives to be
Federation, Northern Dimension,
(a) strategic objectives to be
pursued by Cross-Border
pursued by Cross-Border
Black Sea and regional cooperation
pursued by Cross-Border
Cooperation;
Cooperation;
frameworks.
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
(b) and sea basin programmes
(c) indicative breakdown of
referred to in Article 8(1)(c);
referred to in Article 8(1)(c);
resources between land and
(d) indicative multi-annual
(d) indicative multi-annual
maritime border programmes
allocations to each joint operational
allocations to each joint operational
referred to in Article 8 (1) (a) and
programme;
programme;
(b) and sea basin programmes
(e) territorial units eligible to
(e) territorial units eligible to
referred to in Article 8(1)(c);
participate in each joint operational
participate in each joint operational
(d) indicative multi-annual
programme, and the regions and
programme, and the regions and
allocations to each joint operational
centres indicated in Article 8(2),
centres indicated in Article 8(2),
programme;
8(3) and 8(4);
8(3) and 8(4);
(f) indicative allocation to support,
(f) indicative allocation to support,
(e) territorial units eligible to
as appropriate, horizontal capacity
as appropriate, horizontal capacity
participate in each joint operational
building actions, networking and
building actions, networking and
programme, and the regions and
exchange of experiences among
exchange of experiences among
centres indicated in Article 8(2),
programmes;
programmes;
8(3) and 8(4);
(g) contributions to the
(g) contributions to the
(f) indicative allocation to support,
transnational programmes
transnational programmes
as appropriate, horizontal capacity
established under Regulation (EU)
established under Regulation (EU)
building actions, networking and
No […] of the European Parliament
No […] of the European Parliament
exchange of experiences among
and the Council of [….] on specific
and the Council of [….] on specific
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provisions for the support from the
provisions for the support from the
programmes;
European Regional Development
European Regional Development
(g) contributions to the
Fund to the European Territorial
Fund to the European Territorial
transnational programmes
Co-operation goal , to which
Co-operation goal , to in which
established under Regulation (EU)
partner countries and/or the Russian
partner countries and/or the Russian
No […] of the European Parliament
Federation participate.
Federation participate.
and the Council of [….] on specific
provisions for the support from the
The programming document shall
The programming document shall
European Regional Development
cover a period of seven years and
cover a period of seven years and
Fund to the European Territorial
shall be adopted by the
shall be adopted by the
Co-operation goal4, to which
Commission in accordance with the
Commission in accordance with the
partner countries and/or the Russian
examination procedure referred to
examination procedure referred to
Federation participate.
in Article 15(3) of the Common
in Article 15(3) of the Common
Implementing Regulation. It shall
Implementing Regulation. It shall
be reviewed at mid-term or
be reviewed at mid-term or
The That document shall
whenever necessary and may be
whenever necessary and may be
constitute a strategic programming
revised in accordance with the same
revised in accordance with the same
document within the meaning of
procedure referred to in that Article. procedure referred to in that Article. Article 2 of the Common
Implementation Regulation. It
shall cover a period 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
4
OJ L
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necessary and may be revised in
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.
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4. The indicative allocations of
4. The indicative allocations of
4. The indicative allocations of
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 territorial units as
eligible areas. When determining
the indicative allocations,
defined in Article 8 (1) (a), (b)
the indicative allocations,
adjustments may be made to reflect
and (c). When determining the
adjustments may be made to reflect
the need for a balance between the
indicative allocations, adjustments
the need for a balance between the
contributions from the European
may be made to reflect the need for
contributions from the European
Regional Development Fund and
a balance between the contributions
Regional Development Fund and
the contributions provided under
from the European Regional
the contributions provided under
the budget of this Instrument as
Development Fund and the
the budget of this Instrument as
well as other factors affecting the
contributions provided under the
well as other factors affecting the
intensity of cooperation, such as the
budget of this Instrument as well as
intensity of cooperation, such as the
specific characteristics of border
other factors affecting the intensity
specific characteristics of border
areas and their capacity to manage
of cooperation, such as the specific
areas and, their capacity to manage
and absorb Union support.
characteristics of border areas and
and absorb Union support and the
their capacity to manage and absorb
nature of the projects envisaged.
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
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implemented with Union support.
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
06/12/12: paragraph to be addressed
land and maritime borders shall be
in the fourth technical meeting
established for each border at the
among all provisions on Russian
appropriate territorial level and
Federation, Northern Dimension,
shall include eligible territorial
Black Sea and regional cooperation
units belonging to one or more
frameworks.
Member States and one or more
partner countries and/or the Russian
Federation.
3. Joint operational programmes for
3. Joint operational programmes for
06/12/12: paragraph to be addressed
sea basins shall be multilateral,
around sea basins shall be
in the fourth technical meeting
established at the appropriate
multilateral, established at the
among all provisions on Russian
territorial level and include eligible
appropriate territorial level and
Federation, Northern Dimension,
territorial units facing a common
include eligible territorial units
Black Sea and regional cooperation
sea basin belonging to several
facing a common sea basin
frameworks.
participating countries, including at
belonging to several participating
least one Member State and one
countries, including at least one
partner country and/or the Russian
Member State and one partner
Federation. They may include
country and/or the Russian
bilateral activities supporting
Federation. They may include
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cooperation between one Member
bilateral activities supporting
State and one partner country
cooperation between one Member
and/or the Russian Federation.
State and one partner country
and/or 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
the programming document
referred to in Article 9, the
referred to in Article 9, and after
referred to in Article 9, the
participating countries shall jointly
the adoption of the Cross-Border
participating countries shall jointly
submit proposals for joint
Cooperation Implementing rules,
submit proposals for joint
operational programmes to the
the participating countries shall
operational programmes to the
Commission. The Commission
jointly submit proposals for joint
Commission. The Commission
shall adopt each joint operational
operational programmes to the
shall adopt each joint operational
programme after assessing its
Commission. The Commission
programme after assessing its
consistency with this regulation, the
shall adopt each joint operational
consistency with this regulation, the
programming document and the
programme after assessing its
programming document and the
implementing rules.
consistency with this regulation, the
implementing rules within three
programming document and the
months after its submission by the
implementing rules. The
participating countries.
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
06/12/12: paragraph to be addressed
partner countries, the Russian
in the fourth technical meeting
Federation or Member States,
among all provisions on Russian
which are adjoining to eligible
Federation, Northern Dimension,
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regions as defined in Article 8(1)
Black Sea and regional cooperation
(a) and (b) or face a common sea
frameworks.
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 the participating countries shall take the
appropriate measures to ensure that
appropriate measures to ensure that
sea basin programmes established
sea basin Cross-Border
under this Regulation and
Cooperation programmes
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 fully
have a partially overlapping
complementary and mutually re-
geographical coverage will be fully
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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– 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
06/12/12: paragraph to be addressed
operational programmes, the
calendar year following the year
in the fourth technical meeting
Commission shall conclude a
of adoption of the joint operational
among all provisions on Russian
financing agreement with the
programmes at the latest, the
Federation, Northern Dimension,
partner countries and/or the Russian
Commission shall conclude a
Black Sea and regional cooperation
Federation. The financing
financing agreement with the
frameworks.
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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 other
provisions necessary to implement
participating countries and by the
the joint operational programme
Managing Authority referred to in
and may also be co-signed by the
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 concluded
country hosting the Managing
between the participating countries
Authority.
and the Managing Authority to set
out the countries' specific financial
Where necessary, an agreement
responsibilities.
(e.g. in the form of a memorandum
of understanding) shall 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
06/12/12: paragraph to be addressed
involving more than one partner
involving more than one partner
in the fourth technical meeting
country is established if at least one
country or at least one partner
among all provisions on Russian
partner country signs the financing
country and the Russian
Federation, Northern Dimension,
agreement. Other partner countries
Federation is established if at least
Black Sea and regional cooperation
covered by an established
one partner country or the Russian
frameworks.
programme can join the programme
Federation signs the financing
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at any time by signing the financing
agreement. Other partner countries
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
06/12/12: paragraph to be addressed
partnership, participating countries
partnership, participating countries
partnership, participating countries
in the fourth technical meeting
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Committee amendments
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shall jointly select actions for
and their regions shall jointly
and regions shall jointly select
among all provisions on Russian
Union support that are consistent
select actions for Union support
actions for Union support that are
Federation, Northern Dimension,
with the priorities and measures of
that are consistent with the
consistent with the priorities and
Black Sea and regional cooperation
the joint operational programme.
priorities and measures of the joint
measures of the joint operational
frameworks.
operational programme.
programme.
13. In specific and duly justified
13. In specific and duly justified
06/12/12: paragraph to be addressed
cases, where:
cases, where:
in the fourth technical meeting
(a) a joint operational programme
(a) a joint operational programme
among all provisions on Russian
cannot be submitted owing to
cannot be submitted owing to
Federation, Northern Dimension,
problems arising in relations
problems arising in relations
Black Sea and regional cooperation
between participating countries or
between participating countries or
frameworks.
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 not
(b) by 30 June 2017, at the latest,
yet submitted to the Commission a
the participating countries have not
joint operational programme,
yet submitted to the Commission a
or
joint operational programme,
(c) none of the partner countries
or
covered by the programme have
(c) none of the partner countries
signed the relevant financing
covered by the non-EU
agreement by the end of the year
participants to the programme
following the adoption of the
have signed the relevant financing
programme,
agreement by the end of the year
the Commission, following
following the adoption of the
consultations with the Member
programme,
State(s) concerned, shall take the
the Commission, following
necessary steps to allow the
consultations with the Member
Member State(s) concerned to use
State(s) concerned, shall take the
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the contribution from the European
necessary steps to allow the
Regional Development Fund to the
Member State(s) concerned to use
joint operational programme
the contribution from the European
pursuant to Article 4(7) and (8) of
Regional Development Fund to the
Regulation (EU) No [...] .
joint operational programme
pursuant to Article 4(7) and (8) of
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
06/12/12: paragraph to be addressed
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itself on the basis of available
itself on the basis of available
in the fourth technical meeting
information that the Member State
information that the Member State
among all provisions on Russian
in case of shared management, or
in case of shared management, or
Federation, Northern Dimension,
the partner country or the
the partner country or the Russian
Black Sea and regional cooperation
international organisation in case of
Federation or the international
frameworks.
indirect management, have set up
organisation in case of indirect
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 effective
the Russian Federation and
functioning of their management
international organisations
and control system, the legality and
concerned shall ensure the effective
regularity of the underlying
functioning of their management
transactions and the respect of the
and control system, the legality and
principle of sound financial
regularity of the underlying
management. They shall be
transactions and the respect of the
responsible for the management and principle of sound financial
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
a complaint submitted to the
country or the Russian Federation
Commission concerning the
or the international organisation
selection or implementation of
concerned to examine a complaint
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COM(2011) 839 final
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ST 11028/12
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 Regulation,
Common Implementing Regulation,
the entity referred to in paragraph 1,
the entity referred to in paragraph 1,
which may launch calls for
which may launch calls for
proposals and tenders, is entitled in
proposals and tenders, is entitled in
such case to accept as eligible
such case to accept as eligible
tenderers, applicants and candidates
tenderers, applicants and candidates
from non eligible countries, or
from non eligible countries, or
goods from non eligible origin, in
goods from non eligible origin, in
accordance with Article 9(3) of the
accordance with Articles 8(2) and
Common Implementing Regulation.
9(3) of the Common Implementing
Regulation and with the
provisions of the ENI Cross-
Border Cooperation
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Implementing Rules5.
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
implementation of this Title shall
be adopted through a delegated act
be adopted through a delegated act
be adopted through a delegated act
in accordance with Article 14.
in accordance with the
in accordance with Article 14 13.
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:
detailed provisions on:
provisions on, inter alia:
(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 preparation, modification
(b) the content, preparation,
and closure of joint operational
and closure of joint operational
modification and closure of joint
programmes;
programmes;
operational 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, e.g. : Joint
programme structures: Joint
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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Monitoring Committee, Managing
Monitoring Committee, Managing
Monitoring Committee, Managing
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, including their
committees, project selection
standing, effective identification,
standing, effective identification,
committee, including their its
accountability and responsibility,
accountability and responsibility,
standing, effective identification,
description of Management and
description of Management and
accountability and responsibility,
Control Systems, and conditions on
Control Systems, and conditions on
description of Management and
the technical and financial
the technical and financial
Control Systems, and conditions on
management of Union support,
management of Union support,
the technical and financial
including eligibility of expenditure;
including eligibility of expenditure;
management of Union support,
(d) recovery procedures; the
(d) recovery procedures in
including eligibility of expenditure;
monitoring and evaluation;
particular in non EU countries;
(d) recovery procedures; the
(e) the visibility and information
the monitoring and evaluation;
monitoring and evaluation;
activities
(e) the visibility and information
(e) the visibility and information
(f) shared and indirect management
activities
activities
as referred to in Article 6(2) of the
(f) shared and indirect management
(f) shared and indirect management
Common Implementing Regulation.
as referred to in Article 6(2) of the
as referred to in Article 6(2) of the
Common Implementing Regulation.
Common 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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the European Parliament and of
the Council of 5 July 20067.
7 OJ L 210, 31.7.2006, p. 19.
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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 Annex
policy. A modification of the Annex
shall be adopted through a
shall be adopted through a
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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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
1. The delegation of powers power
referred to in Article 12 and 13
referred to in Article 12 and 13
to adopt delegated acts referred to
shall be conferred for the period of
shall be conferred for the period of
in Articles 12 and 13 shall be
validity of this Regulation.
validity of this Regulation.
conferred for the period of validity
of this Regulation on the
Commission until 31 December
2017.
2. The delegation of powers may be
2. The delegation of powers may be
revoked at any time by the
revoked at any time by the
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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 of
power specified in that decision. It
power specified in that decision. It
shall take effect the day following
shall take effect the day following
the publication of the decision in
the publication of the decision in
the Official Journal of the European
the Official Journal of the European
Union or at a later date specified
Union or at a later date specified
therein. It shall not affect the
therein. It shall not affect the
validity of any delegated acts
validity of any delegated acts
already in force.
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 objection
has been expressed either by the
has been expressed either by the
European Parliament or the Council
European Parliament or the Council
within a period of 2 months of
within a period of 2 months of
notification of the act to the
notification of the act to the
European Parliament and 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 that
they will not object. That period
they will not object. That period
shall be extended by 2 months at
shall be extended by 2 months at
the initiative of the European
the initiative of the European
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Parliament or the Council.
Parliament or the 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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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 in order to ensure the
and to ensure the coherence and
effectiveness of Union financing or
coherence and effectiveness of
effectiveness of Union financing or
to foster regional or trans-regional
Union financing or to foster
to foster regional or trans-regional
cooperation, the Commission may
regional or trans-regional
cooperation, the Commission may
decide to extend the eligibility of
cooperation, the Commission may
decide it may be decided to extend
actions to countries, territories and
decide, in accordance with the
the eligibility of actions to
regions which otherwise would not
examination procedure referred
countries, territories and regions
be eligible for financing.
to in Article 15(3) of the Common
which otherwise would not be
Notwithstanding the provisions of
Implementing Regulation, to
eligible for financing. The decision
Article 8(1) of the Common
extend the eligibility of specific
shall be taken by the Commission
Implementing Regulation, natural
actions on a case by case basis to
through a delegated act in
and legal persons from countries,
countries, territories and regions
accordance with Article 13.
territories and regions concerned
which otherwise would not be
Notwithstanding the provisions of
may participate in the procedures
eligible for financing.
Article 8(1) of the Common
implementing such actions.
Notwithstanding the provisions of
Implementing Regulation, natural
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Article 8(1) of the Common
and legal persons from countries,
Implementing Regulation, natural
territories and regions concerned
and legal persons from countries,
may participate in the procedures
territories and regions concerned
implementing such actions.
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 provisions
Without prejudice to the provisions
on the suspension of aid in
on the suspension of aid in
on the suspension of aid in
partnership and cooperation
partnership and cooperation
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 of
principles of democracy, the rule of
law and respect for human rights
law and the respect for human
law and respect for human rights
and fundamental freedoms, the
rights and fundamental freedoms,
and fundamental freedoms, the
Union shall invite the country
the Union shall invite the country
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 in
acceptable to both parties, except in
cases of special urgency. Where
cases of special urgency. Where
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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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 Council
case of special urgency, the
may take appropriate measures in
may take appropriate measures in
Parliament and the Council may
accordance with Article 215(1) of
accordance with Article 215(1) of
take a decision appropriate
the Treaty on the Functioning of the
the Treaty on the Functioning of the
measures in accordance with Article
European Union, which may
European Union, which may
215(1) of the Treaty on the
include full or partial suspension of
include full or partial suspension of
Functioning of the European Union
Union support.
Union support. Council may take
which may include full or partial
the appropriate measures in
suspension of Union support
accordance with Article 215 (1) of
assistance while re-allocating
the Treaty on the functioning of
funds to non-state actors for
the European Union. In such
activities aiming at fulfilling the
cases, Union assistance shall, to
objectives described under Article
the extent possible, primarily be
2 (2). Any consequent revision of
used to support non-state actors
relevant strategic programming
for measures aimed at supporting
documents shall be done in
populations directly and
accordance with the urgency
promoting human rights and
procedure provided for in Article
fundamental freedoms and
14a.
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
1. The financial envelope available
1. The financial envelope available
1. The financial envelope available
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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). 8 Up to 5% of the financial
prices) (...). Up to 5% of the
envelope shall be allocated to the
envelope shall be allocated to the
financial envelope shall be allocated
Cross-Border Cooperation
Cross-Border Cooperation
to the Cross-Border Cooperation
programmes referred to in Article
programmes referred to in Article
programmes referred to in Article
6(1) (c).
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 dimension
promote the international dimension
of higher education, an indicative
of higher education, an indicative
of higher education and youth
amount of EUR 1 812 100 000 from
amount of EUR [1 812 100 000] 9
exchange, an indicative amount of
the different external instruments
from the different external
EUR 1 812 100 000 from the
(Development Cooperation
instruments (Development
different external corresponding to
Instrument, European
Cooperation Instrument, European
2 % of the financial allocations
Neighbourhood Instrument,
Neighbourhood Instrument,
available for the participating
Instrument for Pre-accession
Instrument for Pre-accession
instruments (Development
Assistance, Partnership Instrument
Assistance, Partnership Instrument
Cooperation Instrument, European
and the European Development
and the European Development
Neighbourhood Instrument,
Fund), will be allocated to actions
Fund), will be allocated to actions
Instrument for Pre-accession
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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of learning mobility to or from non
of learning mobility to or from non
Assistance, Partnership Instrument
EU countries and to cooperation
EU countries and to cooperation
and the European Development
and policy dialogue with
and policy dialogue with
Fund), will be allocated to actions
authorities/institutions/organisations
authorities/institutions/organisations
of learning mobility to or from non
from these countries. The
from these countries. The
EU countries and to cooperation
provisions of the "Erasmus for All"
provisions of the "Erasmus for All"
and policy dialogue with
Regulation will apply to the use of
Regulation will apply to the use of
authorities/institutions/organisations
those funds.
those funds.
from these countries. The
provisions of the "Erasmus for All"
The funding will be made available
The funding will be made available
Regulation will apply to the use of
through 2 multiannual allocations
through 2 multiannual allocations
those funds.
only covering the first 4 years and
only covering the first 4 years and
the remaining 3 years respectively.
the remaining 3 years respectively.
The funding will be made available
This funding will be reflected in the
This funding will be reflected in the
through 2 multiannual allocations
multiannual indicative
multiannual indicative
only covering the first 4 years and
programming of these instruments,
programming of these instruments,
the remaining 3 years respectively.
in line with the identified needs and
in line with the identified needs and
The allocations This funding will
priorities of the countries
priorities of the countries
be reflected in the multiannual
concerned. The allocations can be
concerned. The allocations can be
indicative based on the strategic
revised in case of major unforeseen
revised in case of major unforeseen
programming documents of these
circumstances or important political
circumstances or important political
instruments, in line with the
changes in line with the EU external changes in line with the EU external identified needs and priorities of the
priorities.
priorities.
partner countries concerned. The
Commission shall include in its
report on the implementation of
the Instrument a list of all
"Erasmus for All" actions
financed under funding made
available from this Instrument and
their compliance with the
objectives and principles as set out
82

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ENI trilogue outcome table - version 07/12/12
Council Partial General
Commission proposal
European Parliament AFET
Approach
Comments
COM(2011) 839 final
Committee amendments
ST 11028/12
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 that
force on the third day following that
of its publication in the Official
of its publication in the Official
of its publication in the Official
Journal of the European Union. It
Journal of the European Union. It
Journal of the European Union. It
shall apply from 1 January 2014.
shall apply from 1 January 2014
shall apply from 1 January 2014 to
until 31 December 2020.
31 December 2020.
83

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ENI trilogue outcome table - version 07/12/12
Council Partial General
Commission proposal
European Parliament AFET
Approach
Comments
COM(2011) 839 final
Committee amendments
ST 11028/12
This Regulation shall be binding in
its entirety and directly applicable
in all Member States.
Done at Brussels,
For the European Parliament
The President
For the Council
The President
84

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ENI trilogue outcome table - version 07/12/12
Council Partial General
European Parliament
Commission proposal
Approach
AFET Committee
Comments
COM(2011) 839 final
ST 11028/12
amendments
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
85

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