Researching: What to do with IPA II for Research & Development ? March 2014.
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Transcript of Researching: What to do with IPA II for Research & Development ? March 2014.
IPA II architecture
Reg
ula
tory
arc
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MULTI-COUNTRY PROGRAMMES
COMMON IMPLEMENTING
REGULATION
IPA II REGULATION
IPA IIIMPLEMENTING REGULATION
MULTI-COUNTRY STRATEGY
COUNTRY PROGRAMMES
COUNTRYSTRATEGIES
FrameworkAgreementsFrameworkAgreements
FinancingAgreementsFinancingAgreements
Regu
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anni
ng &
pr
ogra
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ing
Legal basisIm
plementing acts
11 March 201411 March 2014
11 March 2014 11 March 2014
2 May 20142 May 2014
September 2014September 2014
December 2014December 2014
✓
✓
✓
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
• … 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.)
Reg
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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
Reg
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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.)
Beneficiaries
Sco
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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
Sco
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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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f ass
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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
Thematic priorities (general)
Sco
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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)
Sco
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nce
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
Sco
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nce
• 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)
Basic concepts
ACTION PROGRAMME
Action 1
Activ
ity 1
Action 2 Action 3 Etc.
Activ
ity 2
Activ
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Activ
ity 1
Activ
ity 2
Activ
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Ac
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1
Activ
ity 2
Activ
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Etc. Etc. Etc.
Pro
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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
rorg
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Pro
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Op
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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.
Pro
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Op
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s fo
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ion
s (c
on
t.) Sector Support Action Stand-alone Action
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
• 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
ACTI
ON
1
SECTOR PLANNING DOCUMENT (PART II) AC
TIO
N 2
ACTI
ON
3
ACTI
ON
4
ACTI
ON
5
ACTI
ON
6
ACTI
ON
7
Approximately 30 weeks before the IPA Committee and meeting
IPA PROGRAMMING 2014-2020
2014
2015
2016
2017
me
2018
2019
2020
ACTION PROGRAMME A
ACTION PROGRAMME B
ACTION PROGRAMME A
ACTION PROGRAMME C
Pro
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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
Pro
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e d
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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
Pro
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mm
e d
ocu
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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
Dim
ensio
nM
easu
res
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