Transcript Document

Researching:
What to do with
IPA II for
Research &
Development ?
March 2014
The Instrument for
Pre-accession
Assistance (IPA II)
C'est Quoi
Ça?
IPA II
REGULATION
COMMON
IMPLEMENTING
REGULATION
Financing
Agreements
Planning &
programming
Framework
Agreements
COUNTRY
STRATEGIES
COUNTRY
PROGRAMMES
MULTI-COUNTRY
STRATEGY
MULTI-COUNTRY
PROGRAMMES
✓
11 March 2014
✓
2 May 2014
✓
September 2014
December 2014
Implementing acts
IPA II
IMPLEMENTING REGULATION
11 March 2014
Legal basis
Regulations
adoption
Regulatory architecture
IPA II architecture
IPA II REG
 A new framework for pre-accession assistance
under the 2014-2020 multi-annual financial framework
• … building on IPA I
»
similar general policy objective, specific objectives and policy areas
• … but with a more strategic approach
»
»
»
»
»
accession as the overriding objective
assistance available irrespective of the status (candidate and potential
candidates)
comprehensive country strategies
focus on reforms in key sectors
result/performance-oriented assistance
Regulatory architecture
IPA II regulation
Regulatory architecture
Common implementing regulation
• … particularly relevant for programming
»
»
forms and types of programmes/measures
rules for comitology
• … and implementation
»
»
»
financing methods/types
protection of the financial interests of the Union
evaluation, reporting by the Commission …
CIR
 A set of simplified and harmonised implementing
rules and procedures applicable to all external
action instruments
Regulatory architecture
Common implementing regulation (cont.)
• … focusing on implementation
»
indirect management by IPA II beneficiaries, incl. financial
management, control, monitoring, evaluation, communication…
• … and on specific types of programmes
»
»
cross-border cooperation programmes
rural development programmes
IPA II IR
 Completes the legal framework for IPA II by introducing
specific rules establishing uniform conditions for
implementing the IPA II Regulation
(ref. Art.12 IPA II REG)
Regulatory architecture
IPA II implementing regulation
Example text
Financial Regulation
(No 966/2012) and its
Rules of Application
(No 1268/2012)
European Regional
Development Fund
(No 1301/2013) and
European Territorial
Cooperation Regulation
(No 1299/2013)
Main point of reference for
the principles and procedures
governing the establishment
and implementation of the
EU budget and the control of
the European Union’s
finances
Cross-references re. provisions
on CBC with Member States
and participation of IPA II
beneficiaries in transnational
and interregional cooperation
(ref. Art. 9.2 IPA II Reg.)
Erasmus+
(No 1288/2013)
Contribution of external
action instruments to the
international dimension of
Erasmus+
(ref. Art. 15.3 IPA II Reg.)
Regulatory architecture
Other relevant regulations
SESSION 1
The regulatory framework –
scope of assistance
1
Bosnia and Herzegovina
2
Serbia
3
Montenegro
4
Kosovo (*)
5
Albania
6
the former Yugoslav Republic of Macedonia
7
Turkey
8
Iceland
(*) This designation is without prejudice to positions on status, and is in line with
UNSCR 1244/99 and the ICJ Opinion on the Kosovo declaration of independence
Scope of assistance
Beneficiaries
General objective
To support the beneficiaries in adopting and implementing the
political, institutional, legal, administrative, social and economic
reforms required in order to comply with the Union's values and to progressively
align to the Union's rules, standards, policies and practices, with a view to
U N I O N M EM B ERS HI P
Specific objective
1
support for
political reforms …
Specific objective
2
support for
economic, social and
territorial
development,
with a view to smart,
sustainable and
inclusive growth …
Specific objective
3
strengthening the
ability of
beneficiaries to fulfil
the obligations
stemming from
membership and
alignment to the EU
acquis …
Specific objective
strengthening
regional
integration and
territorial
cooperation …
4
Scope of assistance
Objectives of assistance
POLICY AREA 2
POLICY AREA 1
Socio-economic
and regional
development
Reforms in preparation
for Union membership
and related institutionand capacity building
POLICY AREA 3
Employment, social
policies, education,
promotion of gender
equality, and
human resources
development
IPA II REG.
art. 3
POLICY AREA 4
POLICY AREA 5
Regional and territorial
cooperation
Agriculture and
rural development
Scope of assistance
Policy areas
Coherent with the ENLARGEMENT AGENDA, i.e.
• with the enlargement policy framework defined by the European
Council and the Council
• with the relevant resolutions on enlargement of the European
Parliament
• with the Commission's Enlargement Strategy (Progress Reports)
Targeted and differentiated in SCOPE and INTENSITY, i.e
• according to the efforts and commitment of the IPA II
beneficiaries to reforms
• according to the specific situation, needs and capacities of the
IPA II beneficiaries
Scope of assistance
Framework of assistance
complying with the principle of good public
administration and economic governance
promoting proper functioning of the institutions
necessary for securing the rule of law
strengthening the capacities of civil society
organisations and social partners' organisations
investing in education, skills and lifelong
learning
fostering of employment and supporting labour
mobility
promoting social inclusion and combating
poverty
promoting sustainable transport and removing
bottlenecks in key network infrastructures
improving private sector environment and
competitiveness of enterprises
strengthening research, technological
development and innovation
contributing to security and safety of food
supply
increasing ability of the agri-food sector to cope
with competitive pressure and market forces
protecting and improving the quality of the
environment
promoting reconciliation, peace-building and
confidence-building measures
IPA II REG. ANNEX II
Scope of assistance
Thematic priorities (general)
promoting employment, labour mobility and
social and cultural inclusion across the border
investing in youth, education and skills
protecting the environment, promoting climate
change adaptation and mitigation, risk prevention
and management
promoting local and regional governance
promoting sustainable transport
enhancing competitiveness, business
environment
encouraging tourism and cultural and natural
heritage
strengthening research, technological
development, innovation and ICT
IPAI II REG.
ANNEX III
Scope of assistance
Thematic priorities (territorial cooperation)
IPA II 2014–2020 (EUR millions)
MFF data, Sept.2013
2014
2015
2016
2017
2018
2019
2020
1573.8
1605.2
1637.4
1670.1
1703.5
1737.6
1771.1
Total amount for IPA II
11698.7
IPA 2007–2013 (EUR millions)
Scope of assistance
Financial envelope
The regulatory framework –
relevance for programming
IPA II REG
art. 6
CIR
art. 2
• Assistance is provided on the basis of
indicative strategy papers
»
»
»
including priorities for action per country towards
meeting the objectives in the relevant policy areas
… indicative allocation of Union funds per policy area
broken down per year
… and indicators to be used to measure progress
• … prepared for 7 years
»
»
subject to annual assessment
… and to a mid-term review
Relevance for programming
High level programming
IPA II REG
art. 7
art. 9
CIR
art. 2-3
art. 6
IPA II IR
art. 6
art. 31, 34, 49
art. 55
• Action programmes
(= standard forms of IPA II
programmes)
» country or multi-country
» territorial cooperation (incl. CBC)
» rural development (DG AGRI)
 annual or multi-annual (up to 3 years for recurrent
actions / up to 7 years for multi-annual programmes
with split commitments)
• Individual / special measures
»
outside the action programme framework (e.g. single
action) / in unforeseen and duly justified cases
• Support measures
»
preparation, monitoring, evaluation, audit, information …
Relevance for programming
Forms and types of programmes
IPA II REG
art. 2(3)
CIR
art. 2(1)
• Financing Decisions adopting action
programmes or measures must be in line with
the requirements of the Financial Regulation
(Cf. Art. 84(3) FR and Art. 94 RAP)
»
• … with the requirements of the CiR
»
IPA II IR
art. 6(1)
objective, expected results, method of implementation,
description of the actions, amounts, timetable …
associated support measures, performance monitoring
arrangements …
• … and the requirements of the IPA II Reg.
»
relevant performance indicators …
Relevance for programming
Programme content
IPA II REG
art. 4(2)
CIR
art. 4(8)
• A key cross-cutting principle and a
strategic target
»
»
implementation of sector reforms on the basis of
comprehensive sector policies and strategies
… taking the form of sector policy support
programmes
Relevance for programming
Sector approach
IPA II REG
art. 5(6)
CIR
art. 15
IPA II IR
art. 4(2)
art. 8
• NIPAC
»
main counterpart of the Commission for the overall
process of strategic planning, coordination of
programming (but also implementation )
• Civil society and other stakeholders
»
»
»
consultation with relevant stakeholders, incl. CSOs
and local authorities
enhanced support to civil society in general
coordination among stakeholders encouraged
Relevance for programming
Ownership and stakeholder involvement
IPA II REG
art. 5
• Coordination with the donor community
(in particular in the early stages of
programming)
»
»
i.e. Member States, International Financial Institutions
(IFIs), incl. EIB, UN organisations …
via regular consultations and inclusive meetings,
especially at field level …
• … in order to ensure coherence and
complementarity of financial assistance +
avoid duplication and double-funding
Relevance for programming
Donor coordination
IPA II REG
art. 13
CIR
art. 16(3)
• One single IPA II Committee for ALL policy
areas taking over from the "IPA I" Committee
»
»
programmes managed by DG Enlargement and other
DGs are submitted to the same committee
amendments to ALL programmes adopted under IPA I
are submitted to the IPA II Committee
• … whose opinion is not always required
Thresholds
Action Programme
Individual Measure > EUR 5 million
Individual Measure < EUR 5 million
Support or Special Measure > EUR 10 million
Support or Special Measure < EUR 10 million
Opinion?
YES
YES
NO
YES
NO
Relevance for programming
Committee
The programme architecture
Activity 3
Activity 2
Activity 1
Etc.
Activity 3
Etc.
Activity 3
Action 2
Activity 2
Activity 1
Action 1
Activity 2
Activity 1
ACTION PROGRAMME
Action 3
Etc.
Etc.
Prorgamme architecture
Basic concepts
ACTION PROGRAMME
= a set of Actions … adopted through a Commission implementing
Decision
ACTION
= a coherent set of co-ordinated Activities
= described at the highest possible level of breakdown where it makes
sense to define one single objective and the expected result of that
action
ACTIVITY
= a component of an Action clearly identified by its costs and EU
contribution, as well as type of financing
Prorgamme architecture
Basic concepts (cont.)
Stand-alone Action
OPTION 1
OPTION 2
Fully-fledged
Sector Support
Sector Support
oriented
OPTION 3
An Action supporting a
national Sector
Programme (or part of
it) owned by the
Beneficiary and which
fulfils the five key
Sector Approach
criteria.
An Action supporting a
Sector which is not
fulfilling all the
conditions for the
Sector Approach and
based on a multi-annual
Sector Planning
Document specifically
prepared in the context
of IPA II.
An Action for which the
Sector Approach is not
appropriate or
necessary or a
horizontal / ad hoc
Action.
Prorgamme architecture
Options for actions
Sector Support Action
Stand-alone Action
OPTION 1
OPTION 2
Fully-fledged
Sector Support
Sector Support
oriented
OPTION 3
Beneficiary-owned
Sector Programme
(IPA specific) Sector
Planning Document (*)
No underlying
sector document
Action Document
Action Document (**)
Action Document
ACTION PROGRAMME
ACTION PROGRAMME
ACTION PROGRAMME
(*) Sector Planning Document:
Part I = Sector Profile – Part II = Sector Support
Prorgamme architecture
Options for actions (cont.)
Sector Support Action
(**) To be substituted with a Sector Operational
Document in the case of a multi-annual programme
with split commitments
Documents – Overview
• Final programme documents:
»
Commission implementing Decision – CiD (= Financing Decision)
»
Action Programme (= Financing Proposal under "IPA I")
• Underlying programme documents:
»
Sector Planning Document (= combination of former SIF/SF)
»
Action Document (= former Project/Sector Fiche)
»
Sector Operational Document (= former Component III/IV)
Programme documents
Documents – Overview (cont.)
Programme documents
Documents – Overview (cont.)
Programme documents
The Sector Planning Document
• A working and planning tool (i.e.NOT annexed to Decision!)
»
»
»
»
IPA II specific …
prepared by IPA II beneficiaries in collaboration with EU Delegations …
showing the sequence of actions with a multi-annual perspective …
updated as appropriate
Approximately 30 weeks before the IPA Committee and meeting
ACTION 7
2020
2019
ACTION
PROGRAMME A
C
2018
me
2017
ACTION 6
ACTION 5
ACTION 4
ACTION 3
ACTION
PROGRAMME B
2016
ACTION 1
ACTION
PROGRAMME A
2015
IPA
PROGRAMMING
2014-2020
2014
SECTOR PLANNING
DOCUMENT
(PART II)
ACTION 2
• … and NOT another national sector strategy:
• A concise document:
»
»
»
only key elements included (NO ToRs!)
overall budget only (i.e. no details on procurement in particular!)
useful additional details as annexes only …
• … more focused on the intervention logic:
»
»
logical framework AT THE CENTRE, and not as an annex!
more details on performance measurement (i.e. indicators) …
• … more communication-oriented:
»
»
Programme documents
The Action Document
short summary on cover page
remember: wider circulation to external audiences + ELARG website! …
• … NOT annexed to the Decision!
• For multi-annual programmes with split commitments
(indirect management by an IPA II beneficiary):
»
»
covering one or more sectors
in 2014, ONLY FOR the former Yugoslav Republic of Macedonia and
Turkey!
• …along the lines of programmes supported under IPA I
Components III and IV
»
»
»
for "regional development" types: MAJOR and MINOR projects
… with specific 'underlying' approval procedures
… according to thresholds
• … prepared for the entire programme period and used as
reference (i.e. NOT annexed to Decision!)
Programme documents
The Sector Operational Document
• The Action Programme
»
»
»
is prepared by the Commission on the basis of the Action Documents
(is made up of several Actions)
is submitted for opinion to the IPA II Committee (i.e. Member States)
describes general background, nature, scope, objectives and
implementation arrangements for the planned actions, as well as
indications on the funding planned
• … is an annex to the Commission implementing
Decision (Financing Decision) which
»
»
is a legal act of the Commission (implementing act)
ref. Art. 84 FR & Art. 94 RAP
Programme documents
The Action Programme … and the Decision
Past, Present & Future
• Participation in FP7 and Horizon 2020
• SEE2020 Strategy
• Western Balkan R&D Strategy for Innovation – WISE
(drafted with World Bank / RCC to monitor progress)
• Contribution of R&D to industrial competitiveness
• Knowledge triangle in national & multi-country
strategies
Pillar
Pillar Target: GDP/per person employed increase by 32%
Pillar Target:
Add 300,000 highly qualified people in workforce
E. R&D and Innovation
F. Digital Society
Objectives
Objectives
Objectives
Reduce early education
& training drop-out as %
of population aged 18-24
Increase expenditure on
R&D in % of GDP
Increase regional
networked readiness
D. Education & Competences
Dimension
Increase tertiary
educational % of
population aged 30-34
Policies to increase
equitable access, and
participation in, high
quality education
Measures
Measures anti early
drop-out and improve
completion rates
Standardise qualifications
and remove obstacles for
recognition
Ensure education meets
needs
Entrepreneurship as key in
education and training
Create Research
Excellence Fund to
strengthen capabilities
and promote excellence
Promote Networks of
Excellence on a particular
topic
Introduce a Technology
Transfer programme on
industry-science
collaboration, marketable
research and valuecreation
Create an early stage
start-up programme using
both non-financial and
financial instruments to
support a viable long-term
market for innovation
finance
Develop regional
broadband high-speed
internet access
Develop cross border
eServices with priority
given to health,
education, commerce,
and trade
Provide access to IT
training as acquiring
digital skills expand
employment
opportunities
G. Cultural and Creative
Sectors
Objectives
Increase share of creative
industries in GDP and
employment
Continue developing
common approaches to
rehabilitating regional
heritage - Ljubljana
Process II
Encourage active
cooperation between
film policy bodies,
public broadcasters,
production &
distribution companies
Implement a regional
Design Incubator based
on a design network
composed of relevant
actors from the region
Pillar
Pillar targets
Pillar Dimensions
Dimension
co-ordinator
Other regional platforms
involved
External partners
Smart growth
vi. Increase GDP per person employed by 32%;
vii. Add 300,000 highly qualified people to the region's workforce
Education/
Competences
R&D and
Innovation
Digital Society
Cultural & Creative
Sectors
ERI SEE
Regional Research
Platform
e-SEE
RCC TFCS
Novi Sad Initiat.,
SEECEL
WBIF/EDIF
SEEIC
CeGD
CoMoCoSEE
ETF, DG EAC, WBPET
World Bank, DG
RTD / JRC
UNDP, ITU, EC (DG
Connect)
CoE, ICOM
Monitoring system
National administration
participants
RCC/OECD
Ministry of education;
Employment bureaus
Ministry of
Science;
Ministry of
Economy
Ministry of
Information
Society
Ministry of 39
Culture; Economy;
Next steps
• R&D key for economic growth
• R&D integral part of all socio-econ policies
• R&D support well co-ordinated between different
stakeholders, notably donors and countries
• R&D support to those with highest spin off
In short : make the case for the cause
R&D high on (aid support) strategy
Looking at the work yet to be done
Key tasks/milestones
JAN
FEB
MAR
APR
MAY
JUNE
JULY
AUG
Framework Agreement
Multi-Country Strategy
Country Strategies
Programmes
EC Inter-Service Consultation
Adoption
IPA II Committee meeting
SEPT
OCT
NOV
DEC
Thank you
for your attention
Henk Visser
DG Enlargement
D - REGIONAL COOPERATION AND ASSISTANCE;
TURKISH CYPRIOT COMMUNITY
D.3 - REGIONAL COOPERATION AND PROGRAMMES