Researching: What to do with IPA II for Research & Development ? March 2014.

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 architecture

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MULTI-COUNTRY PROGRAMMES

COMMON IMPLEMENTING

REGULATION

IPA II REGULATION

IPA IIIMPLEMENTING REGULATION

MULTI-COUNTRY STRATEGY

COUNTRY PROGRAMMES

COUNTRYSTRATEGIES

FrameworkAgreementsFrameworkAgreements

FinancingAgreementsFinancingAgreements

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Legal basisIm

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11 March 201411 March 2014

11 March 2014 11 March 2014

2 May 20142 May 2014

September 2014September 2014

December 2014December 2014

✓

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adoption

• … 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

IPA II regulation

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A new framework for pre-accession assistance under the 2014-2020 multi-annual financial framework

A new framework for pre-accession assistance under the 2014-2020 multi-annual financial framework

IPA II REG

Common implementing regulation

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• … 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 …

Common implementing regulation (cont.)

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A set of simplified and harmonised implementing rules and procedures applicable to all externalaction instruments

A set of simplified and harmonised implementing rules and procedures applicable to all externalaction instruments

CIR

• … 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 implementing regulation

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Other relevant regulations

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Example text

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

Financial Regulation(No 966/2012) and its Rules of Application(No 1268/2012)

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.)

European Regional Development Fund(No 1301/2013) and European Territorial Cooperation Regulation (No 1299/2013)

Erasmus+(No 1288/2013)

Contribution of external action instruments to the international dimension of Erasmus+ (ref. Art. 15.3 IPA II Reg.)

SESSION 1

The regulatory framework – scope of assistance

Beneficiaries

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IPA II REGANNEX I

(*) 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

Bosnia and HerzegovinaBosnia and Herzegovina1

SerbiaSerbia2

MontenegroMontenegro3

Kosovo (*)Kosovo (*)4

AlbaniaAlbania5

the former Yugoslav Republic of Macedoniathe former Yugoslav Republic of Macedonia6

Turkey Turkey 7

IcelandIceland8

Objectives of assistance

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Specific objective

support for political reforms …

1Specific objective

support for economic, social and territorial development,with a view to smart, sustainable and inclusive growth …

2Specific objective

strengthening the ability of beneficiaries to fulfil the obligations stemming from membership and alignment to the EU acquis …

3Specific objective

strengthening regional integration and territorial cooperation …

4

General objectiveTo 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 toUNION MEMBERSHIP

IPA II REG.

art. 1

IPA II REG.

art. 2(1)

Policy areas

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IPA II REG.art. 3

POLICY AREA 1Reforms in preparation for Union membership and related institution- and capacity building

POLICY AREA 2Socio-economic

and regionaldevelopment POLICY AREA 3

Employment, social policies, education,

promotion of gender equality, and

human resources development

POLICY AREA 4Agriculture and

rural developmentPOLICY AREA 5

Regional and territorial cooperation

Framework of assistance

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IPA II REGart. 4

Thematic priorities (general)

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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

Thematic priorities (territorial cooperation)

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IPAI II REG. ANNEX III

promoting employment, labour mobility and social and cultural inclusion across the border

protecting the environment, promoting climate change adaptation and mitigation, risk prevention and management

promoting sustainable transport

encouraging tourism and cultural and natural heritage

investing in youth, education and skills

promoting local and regional governance

enhancing competitiveness, business environment

strengthening research, technological development, innovation and ICT

Financial envelope

IPA II 2014–2020 (EUR millions) MFF data, Sept.2013

IPA 2007–2013 (EUR millions)

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 II REGart. 15

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The regulatory framework – relevance for programming

• 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

High level programming

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art. 6

IPA II REG

CIR

art. 2

• 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 …

Forms and types of programmes

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art. 7art. 9

IPA II REG

IPA II IR

art. 6art. 31, 34, 49

art. 55

CIR

art. 2-3art. 6

• 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)

» objective, expected results, method of implementation, description of the actions, amounts, timetable …

• … with the requirements of the CiR» associated support measures, performance monitoring

arrangements …

• … and the requirements of the IPA II Reg.» relevant performance indicators …

Programme content

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art. 2(3)

IPA II REG

IPA II IR

art. 6(1)

CIR

art. 2(1)

• 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

Sector approach

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art. 4(2)

IPA II REG

CIR

art. 4(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

Ownership and stakeholder involvement

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art. 5(6)

IPA II REG

IPA II IR

art. 4(2)art. 8

CIR

art. 15

• 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

Donor coordination

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art. 5

IPA II REG

• 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

Committee

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Thresholds Opinion?

Action Programme YESIndividual Measure > EUR 5 million YESIndividual Measure < EUR 5 million NOSupport or Special Measure > EUR 10 million YESSupport or Special Measure < EUR 10 million NO

art. 13

IPA II REG

CIR

art. 16(3)

The programme architecture

Basic concepts

ACTION PROGRAMME

Action 1

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Action 2 Action 3 Etc.

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Activ

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Etc. Etc. Etc.

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Basic concepts (cont.)

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 P

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Sector Support Action Stand-alone Action

OPTION 1Fully-fledged

Sector Support

OPTION 2Sector 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.

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OPTION 1Fully-fledged

Sector Support

OPTION 2Sector Support

oriented OPTION 3

Beneficiary-ownedSector Programme

(IPA specific) Sector Planning Document (*)

No underlyingsector document

Action Document Action Document (**) Action Document

ACTION PROGRAMME

(*) Sector Planning Document: Part I = Sector Profile – Part II = Sector Support

(**) To be substituted with a Sector Operational Document in the case of a multi-annual programme with split commitments

ACTION PROGRAMME ACTION PROGRAMME

• 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)

Documents – Overview

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• 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

• … and NOT another national sector strategy:

The Sector Planning Document

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SECTOR PLANNING DOCUMENT (PART II) AC

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Approximately 30 weeks before the IPA Committee and meeting

IPA PROGRAMMING 2014-2020

2014

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ACTION PROGRAMME A

ACTION PROGRAMME B

ACTION PROGRAMME A

ACTION PROGRAMME C

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• 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: » short summary on cover page» remember: wider circulation to external audiences + ELARG website! …

• … NOT annexed to the Decision!

The Action Document

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• 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!)

The Sector Operational Document

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• 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

The Action Programme … and the Decision

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• 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

Past, Present & Future

Entrepreneurship as key in education and training

Pillar Target: GDP/per person employed increase by 32%

Pillar Target: Add 300,000 highly qualified people in

workforce

Objectives

Reduce early education & training drop-out as % of population aged 18-24

Increase tertiary educational % of

population aged 30-34

Objectives

Increase expenditure on R&D in % of GDP

Objectives

Increase regional networked readiness

Objectives

Increase share of creative industries in GDP and

employment

Implement a regional Design Incubator based on a design network composed of relevant actors from the region

Provide access to IT training as acquiring digital skills expand employment opportunities

Develop regional broadband high-speed internet access

Develop cross border eServices with priority given to health, education, commerce, and trade

Policies to increase equitable access, and participation in, high quality education

Measures anti early drop-out and improve completion rates

Create Research Excellence Fund to strengthen capabilities and promote excellence

Promote Networks of Excellence on a particular topic

Continue developing common approaches to rehabilitating regional heritage - Ljubljana Process II

Encourage active cooperation between film policy bodies, public broadcasters, production & distribution companiesStandardise qualifications

and remove obstacles for recognition

Introduce a Technology Transfer programme on industry-science collaboration, marketable research and value-creation

Create an early stage start-up programme using both non-financial and financial instruments to support a viable long-term market for innovation finance

Pillar

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D. Education & Competences E. R&D and Innovation F. Digital Society G. Cultural and Creative Sectors

Ensure education meets needs

39

Pillar Smart growth

Pillar targets vi. Increase GDP per person employed by 32%; vii. Add 300,000 highly qualified people to the region's workforce

Pillar Dimensions Education/ Competences

R&D and Innovation Digital Society Cultural & Creative

Sectors

Dimension co-ordinator

ERI SEE Regional Research Platform e-SEE RCC TFCS

Other regional platforms involved

Novi Sad Initiat.,SEECEL

WBIF/EDIFSEEIC CeGD CoMoCoSEE

External partners ETF, DG EAC, WBPET World Bank, DG RTD / JRC

UNDP, ITU, EC (DG Connect) CoE, ICOM

Monitoring system RCC/OECD

National administration participants

Ministry of education; Employment bureaus

Ministry of Science;

Ministry of Economy

Ministry of Information

Society

Ministry of Culture; Economy;

• 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

Next steps

Looking at the work yet to be done

Key tasks/milestones JAN FEB MAR APR MAY JUNE JULY AUG SEPT OCT NOV DEC

Framework Agreement

Multi-Country Strategy

Country Strategies

Programmes

EC Inter-Service Consultation

Adoption

IPA II Committee meeting

Thank you for your attention

Henk VisserHenk VisserDG EnlargementDG Enlargement

D - REGIONAL COOPERATION AND ASSISTANCE;D - REGIONAL COOPERATION AND ASSISTANCE;TURKISH CYPRIOT COMMUNITYTURKISH CYPRIOT COMMUNITY

D.3 - REGIONAL COOPERATION AND PROGRAMMES D.3 - REGIONAL COOPERATION AND PROGRAMMES