Regulation (EU) No 233/2014 of the European Parliament and of the CouncilShow full title

TITLE III U.K. PROGRAMMING AND ALLOCATION OF FUNDS

Article 10 U.K. General framework

1. For geographic programmes, multiannual indicative programmes for partner countries and regions shall be drawn up on the basis of a strategy document as provided for in Article 11.

For thematic programmes, multiannual indicative programmes shall be drawn up as provided for in Article 13.

The Pan-African multiannual indicative programme shall be drawn up as provided for in Article 14.

2. The Commission shall adopt the implementing measures referred to in Article 2 of Regulation (EU) No 236/2014 on the basis of the programming documents referred to in Articles 11, 13 and 14 of this Regulation.

3. Union support may also take the form of measures not covered in the programming documents referred to in Articles 11, 13 and 14 of this Regulation, as provided for in Article 2 of Regulation (EU) No 236/2014.

4. The Union and the Member States shall consult each other at an early stage of and throughout the programming process in order to promote coherence, complementarity and consistency among their cooperation activities. Such consultation may lead to joint programming between the Union and the Member States. The Union shall also consult other donors and development actors, including representatives of civil society, local authorities and other implementing bodies. The European Parliament shall be informed.

5. Programming under this Regulation shall have due regard to human rights and democracy in partner countries.

6. Funds provided for by this Regulation may be left unallocated in order to ensure an appropriate response of the Union in the event of unforeseen circumstances, in particular in fragile, crisis and post-crisis situations, as well as to allow for the synchronisation with partner countries' strategy cycles and the modification of indicative financial allocations as a result of the reviews carried out pursuant to Article 11(5), Article 13(2) and Article 14(3). Subject to their subsequent allocation or re-allocation in accordance with the procedures provided for in Article 15, the use of those funds shall be decided at a later date in accordance with Regulation (EU) No 236/2014.

The part of funds left unallocated at the level of each type of programme shall not exceed 5 %, except for the purpose of synchronisation and for countries referred to in Article 12(1).

7. Without prejudice to Article 2(3), the Commission may include a specific financial allocation to assist partner countries and regions in strengthening their cooperation with neighbouring Union outermost regions.

8. Any programming or review of programmes taking place after the publication of the mid-term review report referred to in Article 17 of Regulation (EU) No 236/2014 shall take into account the results, findings and conclusions of that report.

Article 11 U.K. Programming documents for geographic programmes

1. The preparation, implementation and review of all programming documents under this Article shall comply with the principles of policy coherence for development and those of aid effectiveness, namely democratic ownership, partnership, coordination, harmonisation, alignment with partner country or regional systems, transparency, mutual accountability and results orientation as laid down in Article 3(4) to (8). Where possible, the programming period shall be synchronised with partner country strategy cycles.

Programming documents for geographic programmes, including joint programming documents, shall be based, to the extent possible, on a dialogue between the Union, the Member States and the partner country or region concerned, including national and regional parliaments, and shall involve civil society and local authorities and other parties so as to enhance ownership of the process and to encourage support for national development strategies, particularly for those aimed at reducing poverty.

2. Strategy papers shall be drawn up by the Union for the partner country or region concerned to provide a coherent framework for development cooperation between the Union and that partner country or region, consistent with the overall purpose and scope, objectives, principles and policy provisions set out in this Regulation.

3. No strategy paper shall be required for:

(a) countries having a national development strategy in the form of a national development plan or a similar development document accepted by the Commission as a basis for the corresponding multiannual indicative programme, at the time of adoption of the latter document;

(b) countries or regions for which a joint framework document laying down a comprehensive Union strategy, including a specific chapter on development policy, has been drawn up;

(c) countries or regions for which a joint multiannual programming document between the Union and Member States has been agreed;

(d) regions having a jointly agreed strategy with the Union;

(e) countries where the Union intends to synchronise its strategy with a new national cycle starting before 1 January 2017; in such cases the multiannual indicative programme for the interim period between 1 January 2014 and the beginning of the new national cycle shall contain the Union's response for that country;

(f) countries or regions receiving an allocation of Union funds under this Regulation not exceeding EUR 50 000 000 for the 2014-2020 period.

In the cases referred to in points (b) and (f) of the first subparagraph, the multiannual indicative programme for the country or region concerned shall contain the Union's development strategy for that country or region.

4. Strategy papers shall be reviewed at their mid-term or on an ad hoc basis as necessary, in accordance, as appropriate, with the principles and procedures laid down in the partnership and cooperation agreements concluded with the partner country or region concerned.

5. Multiannual indicative programmes for geographic programmes shall be drawn up for each of the countries or regions receiving an indicative financial allocation of Union funds under this Regulation. Except for countries or regions referred to in points (e) and (f) of the first subparagraph of paragraph 3, those documents shall be drawn up on the basis of the strategy papers or equivalent documents as referred to in paragraph 3.

For the purpose of this Regulation, the joint multiannual programming document referred to in point (c) of the first subparagraph of paragraph 3 of this Article may be considered as the multiannual indicative programme, provided that it complies with the principles and conditions established in this paragraph, including an indicative allocation of funds, and with the procedures provided for in Article 15.

Multiannual indicative programmes for geographic programmes shall set out the priority areas selected for Union financing, the specific objectives, the expected results, clear, specific and transparent performance indicators, the indicative financial allocations, both overall and per priority area and, where applicable, aid modalities.

The Commission shall adopt the multiannual indicative financial allocations within each geographic programme in accordance with the general principles of this Regulation, based on the criteria laid down in Article 3(2), and taking into account, alongside the specificity of the different programmes, the particular difficulties faced by countries or regions that are in crisis, are vulnerable, fragile, in conflict or are disaster prone.

Where appropriate, the financial allocations may be given in the form of a range and/or some funds may be left unallocated. No indicative financial allocations may be foreseen beyond the period 2014-2020, unless they are specifically subject to the availability of resources beyond that period.

The multiannual indicative programmes for geographic programmes may be reviewed where necessary, including for effective implementation, taking into account mid-term or ad hoc reviews of the strategy document on which they are based.

Indicative financial allocations, priorities, specific objectives, expected results, performance indicators and, where applicable, aid modalities may also be adapted as a result of reviews, in particular following a crisis or post-crisis situation.

Such reviews should cover needs as well as the commitment and progress with regard to agreed objectives for development, including those referring to human rights, democracy, the rule of law and good governance.

6. The Commission shall report on joint programming with Member States in the mid-term review report referred to in Article 17 of Regulation (EU) No 236/2014 and shall include recommendations in cases where joint programming was not fully achieved.

Article 12 U.K. Programming for countries and regions in crisis, post-crisis or situations of fragility

1. When drawing up the programming documents for countries and regions in crisis, post-crisis or situations of fragility or prone to natural disasters, due account shall be taken of the vulnerability, special needs and circumstances of the countries or regions concerned.

Proper attention should be given to conflict prevention, State and peace building, post-conflict reconciliation and reconstruction measures, as well as to the role of women and the rights of children in those processes.

Where partner countries or regions are directly involved in, or affected by, a crisis, post-crisis or situation of fragility, special emphasis shall be placed on stepping up coordination between relief, rehabilitation and development amongst all relevant actors to help the transition from an emergency situation to the development phase.

Programming documents for countries and regions in a situation of fragility or prone to natural disasters shall provide for disaster preparedness and prevention and for managing the consequences of such disasters and shall address vulnerability to shocks and strengthen resilience.

2. On duly justified imperative grounds of urgency, such as crises or immediate threats to democracy, the rule of law, human rights or fundamental freedoms, the Commission may adopt immediately applicable implementing acts in accordance with the procedure referred to in Article 16(4) of Regulation (EU) No 236/2014 in order to modify strategy papers and multiannual indicative programmes referred to in Article 11 of this Regulation.

Such reviews may entail a specific and adapted strategy to ensure the transition to long-term cooperation and development, promoting a better coordination and transition between the humanitarian and development policy instruments.

Article 13 U.K. Programming documents for thematic programmes

1. Multiannual indicative programmes for thematic programmes shall set out the Union's strategy for the theme concerned and, with regard to the ‘Global Public Goods and Challenges’ programme, for each area of cooperation, the priorities selected for financing by the Union, the specific objectives, the expected results, clear, specific and transparent performance indicators, the international situation and the activities of the main partners and, where applicable, aid modalities.

Where applicable, resources and intervention priorities shall be laid down for participation in global initiatives.

Multiannual indicative programmes for thematic programmes shall be complementary to geographic programmes and shall be consistent with the strategy papers referred to in Article 11(2).

2. The multiannual indicative programmes for thematic programmes shall give the indicative financial allocation, overall, by area of cooperation and by priority. Where appropriate, the indicative financial allocation may be given in the form of a range and/or some funds may be left unallocated.

Multiannual indicative programmes for thematic programmes shall be reviewed where necessary for effective implementation, taking into account mid-term or ad hoc reviews.

Indicative financial allocations, priorities, specific objectives, expected results, performance indicators and, where applicable, aid modalities may also be adapted as a result of reviews.

Article 14 U.K. Programming documents for the Pan-African programme

1. The preparation, implementation and review of the programming documents for the Pan-African programme shall comply with the principles of aid effectiveness as laid down in Article 3(4) to (8).

Programming documents for the Pan-African programme shall be based on a dialogue involving all relevant stakeholders, such as the Pan-African Parliament.

2. The multiannual indicative programme for the Pan-African programme shall set out the priorities selected for financing, the specific objectives, the expected results, clear, specific and transparent performance indicators and, where applicable, aid modalities.

The multiannual indicative programme for the Pan-African programme shall be coherent with geographic and thematic programmes.

3. The multiannual indicative programme for the Pan-African programme shall give the indicative financial allocations, overall, by area of activity and by priority. Where appropriate, the indicative financial allocation may be given in the form of a range.

The multiannual indicative programme for the Pan-African programme may be reviewed where necessary, to respond to unforeseen challenges or implementation problems, and to take into account any review of the strategic partnership.

Article 15 U.K. Approval of strategy papers and adoption of multiannual indicative programmes

1 The Commission shall approve strategy papers referred to in Article 11 and shall adopt multiannual indicative programmes referred to in Articles 11, 13 and 14 by means of implementing acts. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 16(3) of Regulation (EU) No 236/2014. That procedure shall also apply to reviews which have the effect of significantly modifying the strategy or its programming.

2. On duly justified imperative grounds of urgency, such as crises or immediate threats to democracy, the rule of law, human rights or fundamental freedoms, the Commission may review strategy papers referred to in Article 11 of this Regulation and multiannual indicative programmes referred to in Articles 11, 13 and 14 of this Regulation in accordance with the procedure referred in Article 16(4) of Regulation (EU) No 236/2014.