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EuropeAid

EU external assistancein the Neighbourhood:

ENPI(and other instruments)

Jyrki Torni EuropeAid Cooperation Office

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EuropeAidPresentations

Introduction on EC cooperation, the European Neighbourhood Policy and the ENPI

1. EC cooperation since 2007 – main characteristics

2. European Neighbourhood and Partnership Instrument (ENPI), Cooperation issues

3. Anticipating and answering to funding opportunities

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EuropeAid

1EC Cooperation (since 2007):Key characteristics

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EuropeAidEU and EC aid implementation

EU the largest donor in the world

• 27 + 1 donors together responsible for 60% of all official

development aid (2007: €46,1 billion)

• USA provides 21%

European Commission on its own:

• Second largest donor of humanitarian aid

• Third largest donor of development aid (11,3%, after USA and

Germany)

• Present in more than 150 countries

Based on OECD/DAC figures 2008

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EuropeAidThe EU: the biggest donor in the worldDonor landscape 2007

EU Donor Atlas 2006, OECD/DAC

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EuropeAidThe EC and the external aid budget 2008

Commission budget inside EU: €128 bn (91%)

External aid: €12.3 bn(9%) EuropeAid EDF

fund: €4.7 bn (38%)

EuropeAid Budget: €4.4 bn

(36%)

Non-EuropeAid Budget: €3.2 bn

(26%)

EuropeAid implements external assistance. This excludes pre-accession aid, humanitarian aid, Common Foreign and Security Policy (CFSP) aid, and aid for trade. EC total budget includes European Development Fund (EDF). NB – 2008 provisional figures (Jan 09)

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EuropeAidPolitical Framework of EU development cooperation

• UN Millennium Development Goals (2000)• OECD Paris Declaration on Aid Effectiveness (2005)• Accra Agenda for Action (2008)• Cotonou Agreement (2000)• Monterrey commitments (2002)• Doha Declaration on Financing for Development (2008)• European Consensus on Development (2005)• Backbone Strategy (2008)

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EuropeAidMillennium Development Goals (2000)

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EuropeAidParis Declaration on Aid Effectiveness (2005)

http://www.oecd.org/dataoecd/11/41/34428351.pdf

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EuropeAidParis Declaration on Aid Effectiveness (2005)

EU Response: commitment to four targets in addition to the Paris Declaration

1. Provide all capacity building assistance through co-ordinated programmes with an increasing use of multi-donor arrangements

2. Channel 50% of government-to-government assistance through country systems, including by increasing the percentage of our assistance provided through budget support or sector-wide approaches

3. Avoid the establishment of any new Project Implementation Units (PIUs)

4. Reduce number of un-coordinated missions by 50%

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EuropeAidAccra Agenda for Action (2008)

Ministers of developing and donor countries responsible for promoting development and Heads of multilateral and bilateral development institutions endorsed the Accra Agenda for Action in Ghana, on 4 September 2008 to accelerate and deepen implementation of the Paris Declaration on Aid Effectiveness.

http://endpoverty2015.org/files/ACCRA_4_SEPTEMBER.pdf

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EuropeAidAccra Agenda in a nutshell (1)

• Strengthening Country Ownership over Development

o Broaden country-level policy dialogue on developmento Developing countries will strengthen their capacity to

lead and manage development

• Building More Effective and Inclusive Partnerships for Development

o Reduce costly fragmentation of aido Increase aid’s value for moneyo Welcome and work with all development actorso Deepen the engagement with civil society organisationso Adapt aid policies for countries in fragile situations

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EuropeAidAccra Agenda in a nutshell (2)

• Delivering and Accounting for Development Results

o Focus on delivering resultso More accountability and transparency to publics for resultso Continue to change the nature of conditionality to support

ownershipo Increase the medium-term predictability of aid

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EuropeAidThe European Consensus on Development (2005)

• Objective: Eradication of poverty in the context of sustainable development including pursuit of MDGs

• Wider peace and stability – addressing global challenges

• More effective aid – range of modalities based on needs and performance; where conditions are right use budget support

• Reaffirm increased EU aid: 0.56 % of GNI by 2010 reaching 0.7% by 2015 (March 2002 Council Meeting, followed by May 2005 Council Meeting)

http://ec.europa.eu/development/icenter/repository/eu_consensus_en.pdf

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EuropeAidDoha Declaration on Financing for Development(2008)

• Member States adopted by consensus the Doha Declaration on Financing for Development at the closing of the Follow-up International Conference on Financing for Development to Review the Implementation of the Monterrey Consensus (Doha, Qatar, 29 November - 2 December 2008).

• The declaration reaffirms the Monterrey Consensus and calls for a United Nations Conference at the highest level to examine the impact of the world financial and economic crisis on development. Officials from more than 160 countries, including nearly 40 Heads of State or Government, attended the four day conference

http://daccessdds.un.org/doc/UNDOC/GEN/N08/630/55/PDF/N0863055.pdf?OpenElem

ent

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EuropeAidResponding to the call for simplification

• Simplification: More than 35 instruments, replaced by 10

• Harmonisation: same rules for all financing instruments regarding eligibility, financing mechanisms, procedures

• Updating of the rules according to EU commitments: MDGs, untied aid, alignment, etc.

• More flexible: regarding the types of beneficiaries, the actions to be funded and the co-financing rules.

• Financing: budget support, SWAP, twinning, debt cancellation, pool funding, operational costs

• More implication of the European Parliament: democratic control, right of scrutiny

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EuropeAidNew Financial Instruments – 2007

More than 30 instruments for delivering external relations assistance

More than 30 instruments for delivering external relations assistance

Policy driven instruments: ► Instrument for Pre-Accession Assistance (IPA)

► European Neighbourhood and Partnership Instrument (ENPI)

► Development Cooperation Instrument (DCI)

► European Development Fund (EDF)

► Instrument for Nuclear Safety Cooperation (INSC)

► Human Rights Instrument (EIDHR)

► Instrument for Stability

Policy driven instruments: ► Instrument for Pre-Accession Assistance (IPA)

► European Neighbourhood and Partnership Instrument (ENPI)

► Development Cooperation Instrument (DCI)

► European Development Fund (EDF)

► Instrument for Nuclear Safety Cooperation (INSC)

► Human Rights Instrument (EIDHR)

► Instrument for Stability

Before 2007Before 2007

2007 - 2013 2007 - 2013

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EuropeAid

Geographic and Thematic Programmes: the Geographic and Thematic Programmes: the legal baseslegal bases

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EuropeAidGeographic and Thematic Programmes: differences

Geographic

cooperation

Thematic cooperation

Main

focus

Geographic location Theme

Main

partners

States Civil Society Organisations

Main

forms

(Sector) budget support Projects

Means Direct negotiations Calls for proposals

Approx.

share

80 % of EC cooperation

ENPI: More than € 12

billion for the period from

2007-13

20 % of EC cooperation

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EuropeAidComplementarity between geographic and thematic instruments (a)

• The New Financial Perspective 2007-2013, provides a

rationalization of the various geographic and thematic

instruments:

the geographic instruments provide the major mechanism for partnerships with recipient country governments, and focus on the development priorities of the country or region.

In addition to geographic instrument, the thematic instruments are meant to support actions in areas of work which are not included in an AAP.

SHIFTGreater

Ownership

Budget Support Sector Policy

Support COMPLEMENTARITY

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EuropeAidComplementarity between geographic and thematic programmes (b)• Play on specific added value of instruments:Them. programmes to be mobilised around governance

components in the NIPs:o Geographic programmes should aim at enhancing dialogue

between State and civil society on rather consensual issues …

Egypt, “Promotion and Protection of Human Rights and Civil Society in Egypt, 2008”. Institutional support intertwined with support to civil society (HR, gender, children, environment).

o Possibility for thematic programmes to address sensitive/more specific issues, in principle not requiring government consent.

Egypt: EIDHR call, enforcing women and children’s rights

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EuropeAid

ProjectBudget of the European Commission

DG External Relations and EuropeAid:

Programming

€

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EuropeAidThe programming process

Strategy Papers

Strategy Papers

Multi-annual Indicative

Programmes

Multi-annual Indicative

Programmes

Action Programmes

Action Programmes

► Analysis of the situation

► Response strategy

► Priority sectors

► 7 years

► revised at mid-term

►normally attached to Strategy Papers

► set indicative allocations

(global & per priority)

► cover 3 – 4 years

►annual

► describe projects identified for financing

► define the budget per

project

►lead to EC decision & commitments of funds

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EuropeAid

Instruments (2007-2013)

NIPs(2007-2010)

NIPs(2011-2013)

Annual Action

Programmes (2007)

Annual Action

Programmes (2008)

Annual Action

Programmes(2009)

Annual Action

Programmes (2011)

Annual Action

Programmes (2012)

Annual Action

Programmes (2013)

Annual Action

Programmes (2010)

Financing Agreements Calls for proposals

A financial instrument is a policy description with resources attached, and with very specific rules which describe how, where, when and for what the money can be spent.

AAPs set out the respective amounts of funding for each country or each thematic priority and give details about the initiatives to be financed with those funds. They can be consulted on EuropeAid's website (http://ec.europa.eu/europeaid/work/ap/index_en.htm)."Annual" in this respect refers to the budget year.

Programmation: documents

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EuropeAid

http://ec.europa.eu/europeaid/work/ap/index_en.htm

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EuropeAid

Strategy Papers

Annual Action Programmes

Indicative Programs

} DG RELEX

DG EuropeAid

TendersProjects

DelegationsDG EuropeAid}

Programming: Actors

}

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EuropeAid

2European Neighbourhood and Partnership Instrument (ENPI)

Cooperation issues

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EuropeAidENP partnerstates

ENPI = ENP partnerstates + Russia

EastEast

RussiaRussia

UkraineUkraineBelarusBelarusMoldovaMoldova

GeorgiaGeorgiaArmeniaArmenia

AzerbaijanAzerbaijan

SouthSouth

MoroccoMoroccoAlgeriaAlgeriaTunisiaTunisiaLibyaLibyaEgyptEgypt

Occupied Palestinian TerritoryOccupied Palestinian TerritoryJordanJordan

LebanonLebanonSyriaSyria

=17 Partner countries

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EuropeAidFinancial Instruments / Neighbourhood region

• European Neighbourhood and Partnership Instrument (ENPI)

• Instrument for Development Co-operation (DCI – only the 5 thematic programmes)

• European Instrument for Democracy & Human Rights (EIDHR)

• Instrument for Stability (IfS)

• Nuclear Safety Co-operation Instrument (NSCI)

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EuropeAidThematic Programmes (part of DCI)

• ”Investing in people”Human and social development

• Protection of the environment and sustainable planning / cultivation of natural resources, including energy

• Non-state actors and local authorities in the process of development

• Food security

• Migration and asylum policies

http://ec.europa.eu/europeaid/where/worldwide/index_en.htm

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EuropeAid

E uropeanN eighbourhood andP artnershipI nstrument

ENPI

http://ec.europa.eu/europeaid/where/neighbourhood/overview/index_en.htm

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EuropeAid

EastEast

RussiaRussia

UkraineUkraineBelarusBelarusMoldovaMoldova

GeorgiaGeorgiaArmeniaArmenia

AzerbaijanAzerbaijan

SouthSouth

MoroccoMoroccoAlgeriaAlgeriaTunisiaTunisiaLibyaLibyaEgyptEgypt

Occupied Palestinian TerritoryOccupied Palestinian TerritoryJordanJordan

LebanonLebanonSyriaSyria

=17 Partner countries

ENPI

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EuropeAid

Goals

• Common space of stability, security and prosperity

• Avoid new dividing lines in Europe

• Increase efficiency of external assistance

• Greater coherence through unified instruments

• Simplified programming and administration

ENPI

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EuropeAid

Stimulating cooperation and economic integration of ENPI partners with EU member states

in order to support the achievement of

• Partnership- and cooperation agreements (East)

• Association agreements (South)

• and other agreements (ENP Action Plans)

ENPI

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EuropeAidENPI

2007-2013European Neighbourhood & Partnership Instrument

•Almost €12bn (+32% increase in “real terms”)

•Much more flexible, policy-driven instrument

•Supporting priorities agreed in the ENP Action Plans and Four Common Spaces (Russia)

•Other features: cross-border co-operation, technical assistance

Plus increased EIB lending mandate: €12.4 bn (for Mediterranean/Eastern Europe / Southern Caucasus / Russia)

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EuropeAidENPI allocations 2007 – 2013: 11.2 bn € ENPI & 0.8 bn € on Thematic programmes and HR instrument

Country and multi-country programmes

Min. 95.0% (> € 10.6 bn)

Country and multi-country programmes

Min. 95.0% (> € 10.6 bn)

CBC programmesUp to 5.0%

(+/- € 550 million + additional +/- € 600 million from ERDF)

CBC programmesUp to 5.0%

(+/- € 550 million + additional +/- € 600 million from ERDF)

Earmarked funds under DCI and EIDHR

EIDHR € 321.3 million and DCI € 464.3 million (earmarked for ENP countries and Russia under five

thematic programmes)

Earmarked funds under DCI and EIDHR

EIDHR € 321.3 million and DCI € 464.3 million (earmarked for ENP countries and Russia under five

thematic programmes)

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EuropeAid

adapted to individual countries

17 country programmes

• 3 regional programmes (East, South, interregional)

http://ec.europa.eu/europeaid/work/ap/index_en.htm

ENPI

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EuropeAid

Priorities 2007-2008

• Armenia: Vocational Education and Training (VET), Justice

Reform

• Azerbaijan: Energy, Justice

• Belarus: Energy, Environment

• Georgia: Public Finance, Justice, IDPs

• Moldova: Social Assistance, Public Health

• Russia: Higher Education, CBC

• Ukraine: Energy

ENPI

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EuropeAid

INTERREGIONAL PROGRAM (2007-10):• Promoting reforms through consultations and experts (TAIEX, SIGMA)

• Promoting higher education and student mobility

(TEMPUS, Erasmus Mundus II)

• Promoting cooperation between local actors from partner countries and the

EU (CIUDAD)

• Support in realizing the European Neighbourhood Policies and the strategic

partnership with Russia

• Promoting Investment projects in ENP Partner Countries (NIF)

More info

http://ec.europa.eu/europeaid/where/neighbourhood/regional-cooperation/index_en.htm

ENPI

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EuropeAid

REGIONAL PROGRAM EAST (2007-10):

Priority 1: Establishment of networks (25-35%)Sub-priority 1: TransportSub-priority 2: EnergySub-priority 3: Regional cooperation SME

Priority 2: Environmental protection and forestry (25-35%)

Priority 3: Border security, migration, fight against international crime as well as customs (20-30%)

Priority 4: Civil society contacts, information and development actions

(10-15 %)

Priority 5: Landmine cleansing, not exploded war relics, small arms and light arms (5-10%)

ENPI

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EuropeAid

REGIONAL PROGRAM SOUTH (2007-10):

Priority Nr. 1:COOPERATION IN THE AREAS OF POLITICS, JUSTICE,

SECURITY AND MIGRATION

Priority Nr. 2:SUSTAINABLE ECONOMIC DEVELOPMENT

Priority Nr. 3:SOCIAL DEVELOPMENT AND CULTURAL EXCHANGE

ENPI

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EuropeAid

• Governance Facilityadditional financial support for partner countries with strongest development potential for the realization of leadership priorities of the respective action plan

• Neighbourhood Investment Facility (for

the enrichment of IFI-loans in partner countries – grants, to support the loan activities of such institutions in conjunction with the priorities of the EU)

€ 450m 2007-10 to foster the areas of Governance and Investments

ENPI

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EuropeAidCross-Border Cooperation Programs for land borders (9) and sea crossings (3)

http://ec.europa.eu/europeaid/where/neighbourhood/regional-cooperation/enpi-cross-border/index_en.htm

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EuropeAidCBC Sea Basin Programs (3)

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EuropeAid

3Anticipating and answering to funding opportunities

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EuropeAidGrant Contract

If you are looking for money to fund your project, then you will be interested in a grant.

If you are looking for opportunities to sell your services or goods, then you will compete for a public contract.

A grant is a direct payment of a non-commercial nature by the Contracting Authority (e.g. the EC) to a specific beneficiary to implement an action (or in some cases to finance part of its budget) in order to promote an EC policy aim.Grants, as a general rule, require co-financing by the grant beneficiary.

The EU receives the product or service it needs in return for payment.

Grants are concluded following calls for proposals.However, some grants are exceptionally awarded directly to certain beneficiaries without a call for proposals. This may be due to their specific competences or characteristics which meant that they are the sole beneficiaries for certain actions (situations of monopoly), or to the emergency nature of the action (humanitarian aid in particular).

Procurement procedures are governed by specific rules which vary depending on the nature of the contract (supply of goods, implementation of works or provision of services) and its amount. These public contracts are concluded following calls for tender.The purpose of competitive tendering is twofold: • to ensure the transparency of operations; and• to obtain the desired quality of services, supplies or works at the best possible price.

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EuropeAidKey characteristics and trends of thematic calls for proposals

• Competitive – which tendencies ?

• Right to initiative

• Procedural obligations – in order to maximise equality of chances of all

applicants and transparency

• Budget obligations: no core financing, but activity related financing;

obligation of co-financing

• Technicalities are important: HQ or local calls? Amounts? Eligibility?

• Pooling of funds

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EuropeAidGood to keep in mind

• Experience

• Added value

• Partnership - In many cases it makes sense to build a consortium. A potential applicant may thus want

to involve suitable partners (also from other countries) and discuss plans with them. It can also be useful to

involve local partners, depending on the kind of action one is aiming for. It is always an advantage to start

building a consortium as early as possible, meet the partners in person and distribute the responsibilities as

clearly as possible.

• Sustainability

• Impact/multiplier effect

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EuropeAidNSA definition in DCIHow broad is the concept

The non-State, non-profit making actors eligible for financialsupport under this Regulation operating on an independent

and accountable basis include: non governmental organisations,organisations representing indigenous peoples, organisationsrepresenting national and/or ethnic minorities, local traders'associations and citizens' groups, cooperatives, trade unions,

organisations representing economic and social interests, organisations fighting corruption and fraud and promoting good

governance, civil rights organisations and organisationscombating discrimination, local organisations (including

networks) involved in decentralised regional cooperation andintegration, consumer organisations, women's and youth

organisations, teaching, cultural, research and scientific organisations, universities, churches and religious associations and

communities, the media and any non governmental associations and independent foundations, including independent political foundations, likely to contribute to the implementation of the

objectives of this Regulation.

EuropeAidEvaluation full proposal

• Financial & Operational Capacity (20 points – pass threshold 12)

• Relevance (25 points – pass threshold 20)

• Methodology (25 points)

• Sustainability (15 points)

• Budget & cost-effectiveness (15 points)

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EuropeAidSteps

• Register in PADOR – Potential Applicant Data Online Registration system

• Check the main features of the Call – priorities? Eligibility criteria (nature of the applicant, nationality, experience)? deadlines? partnership requirements (number, nationality)?

• Prepare application – description of activities, including a working plan and a presentation of partners, logical framework and budget

• Evaluation, selection and contracting – criteria in the Guidelines. Open and restricted Calls. Timeline.

• Action implementation• Reporting and final payment

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EuropeAidChecklist:

-Get an idea of the types of actions the European Commission funds by browsing EuropeAid's website (http://ec.europa.eu/europeaid/where/neighbourhood) and the websites of the EC Delegations

-Consult the lists of those who have already received a grant or contract with the EU (http://ec.europa.eu/europeaid/work/funding/beneficiaries_en.htm)

-Check funding priorities in the multiannual and annual programmes of each instrument. The annual programmes and appropriate action fiches provide a good indication of upcoming funding opportunities (http://ec.europa.eu/europeaid/work/ap/index_en.htm)

-Check the appropriate European Commission website which publishes all calls for proposals and calls for tender (http://ec.europa.eu/europeaid/work/funding/index_en.htm) and the websites of the European Commission's Delegations in the countries of your interest

-International calls for tenders are simultaneously published in the supplement S of the Official Journal of the European Communities available from the TED (Tenders Electronic Daily) at http://ted.europa.eu/

-Learn about the European Commission's external assistance procedures (http://ec.europa.eu/europeaid/work/procedures/index_en.htm)

- Check the annual work programmes for grants which are published by 31 March each year (http://ec.europa.eu/europeaid/work/awp/index_en.htm)

EuropeAidEvaluation full proposal

• Financial & Operational Capacity (20 points – pass threshold 12)

• Relevance (25 points – pass threshold 20)

• Methodology (25 points)

• Sustainability (15 points)

• Budget & cost-effectiveness (15 points)

EuropeAidOpen call for proposals: steps

1. Publicity

2. Receipt and registration

3. Opening and administrative check

4. Assessment of the quality of the concept notes

5. Assessment of the technical and financial quality of the proposal

6. Eligibility

7. Committee’s recommendations

8. Approval of the Evaluation Report with list

9. Contract preparation

10. Publicity

PRAG 6.4

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EuropeAidKEY reference links and documents

• Guidelines of the Call – priorities, eligibility criteria and contacts to ask questions on a specific call http://ec.europa.eu/europeaid/work/funding/index_en.htm

• Practical Guide – all the procedures http://ec.europa.eu/europeaid/work/procedures/implementation/practical_guide/ind

ex_en.htm

The European Commission's "Practical Guide" explains the contracting procedures applying to all EC external

assistance contracts (grants and public procurement contracts) financed from the European Communities

general budget and the European Development Fund (EDF). • 2009, launching of the Civil Society Helpdesk (CISOCH) –

interactive platform based on a Wiki software for Delegations & Civil Society Organisations.

EuropeAid

How to award a grant?

• Call for Proposals:

o Open or restrictedo International or local

• Exceptions where direct award may be allowed:

o urgency or crisis situation de jure or de facto monopoly mention in basic act actions with specific technical characteristics requiring a specific

entity joint management with an international organisation grants of low amount (less than 10 000€) in decentralised

management

PRAG 6.3

PRAG 6.3

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EuropeAid

http://ec.europa.eu/europeaid

EuropeAid website

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EuropeAid

http://ec.europa.eu/europeaid/work/funding/index_en.htm

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EuropeAid

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EuropeAidKEY reference links and documents

• Calls for proposals and calls for tenders: http://ec.europa.eu/europeaid/work/funding/index_en.htm

• Programmation documents: Instrument (Regulation), Strategy, Annual Action Programme

http://ec.europa.eu/europeaid/work/ap/index_en.htm

• Stakeholder meetings (DCI)

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EuropeAid

Thank you!

EU external assistancein the Neighbourhood

EuropeAid Cooperation Office http://ec.europa.eu/europeaid

Jyrki Torni Geographical coordination and supervision for Europejyrki.torni@ec.europa.eu

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EuropeAidAbbreviations

AAP Annual Action Programme

CBC Cross-Border Cooperation

CFSP Common Foreign and Security Policy

DCI Instrument for Development Cooperation

EC European Community

EDF European Development Fund

EIDHR European Instrument for Democracy and Human Rights

ENP European Neighbourhood Policy

ENPI European Neighbourhood and Partnership Instrument

EU European Union

IBPP Institution Building Partnership Programme

MDG Millennium Development Goals

NIP National Indicative Programme

NSA Non-state Actors

NSA-LA Non-State Actors and Local Authorities

ODA Official Development Aid

SC Civil Society

SCO Civil Society Organisations

SWAP Sector-wide approach