COMMON MARKET FOR EASTERN AND SOUTHERN AFRICA

Transcription

1 COMMON MARKET FOR EASTERN AND SOUTHERN AFRICA MARCHE COMMUN السوق المشتركة للشرق والجنوب األفريقى SEVENTH CALL FOR SUBMISSIONS UNDER THE COMESA ADJUSTMENT FACILITY (CAF) Introduction The COMESA Adjustment Facility (CAF) provides for support to COMESA Fund Member States to enable them make the necessary fiscal, economic and social adjustments that inherently accompany the implementation of regional integration commitments. This includes broad adjustment support for the implementation of policies and programmes relating to trade liberalization reforms and regional integration efforts that are in consonance with the COMESA integration agenda. The CAF currently has funds under the Regional Integration Support Mechanism (RISM), a programme funded by the European Union (EU) under the 10 th European Development Fund (EDF). The specific objective of RISM is to support Member Countries to participate more fully in the COMESA, EAC and Tripartite Free Trade Areas and COMESA and EAC Customs Unions and Common Market with minimum disruption to public expenditure commitments as well as enabling them to implement economic reform programmes in the context of regional integration. Six Calls for submissions have been launched from the time the CAF became fully operational and have provided different levels of financial and technical support to the Member States. This current call is the seventh Call for Submissions and is being made for continued support to eligible countries that have established Regional Integration Implementation Programmes (RIIPs). The financing modalities under which each Member State is eligible to receive RISM financial support in 2016 will be determined by the EU at the point of assessment of the submissions and at the point of disbursement. The COMESA Secretariat will provide the necessary guidance to Member States about their respective eligible status when the EU provides its assessment. In order to guide the preparation of documents in response to this Call, detailed Guidelines for CAF/RISM Support and Related Annexes are included as Attachment 2. Objective The objective of the 7 th Call for Submissions is to invite Member States already implementing RIIPs, approved under previous Calls for Submission (3 rd 6 th Call for Submissions), to submit Progress Monitoring Reports (PMRs) against performance of 2015 targets. The 7 th Call for Submissions is also being made to allow participating Member States that currently have less than three (3) targets in 2016 to revise their Performance Assessment Frameworks. This will ensure a sufficient level of ambition in progressing with regional integration at the level. Where a Member State does NOT revise its target and has less 1

2 than three (3) targets in 2016, the 8 th Call for Submissions to be launched in 2017 will not be extended to that country. Eligibility To submit a request for a variable (performance-based) tranche of RISM funding for continued implementation of the RIIP, a country must already be implementing a regional integration programme formally approved by the RISM Advisory Committee under previous Calls for Submissions. Countries that are not yet implementing approved RIIPs are not eligible to make Submissions for continued support under the 7 th Call for Submissions. Technical Assistance in Preparation of Submissions Technical assistance will be available for the preparation of submissions from the COMESA Secretariat directly and through sub-contracting of consultants who will be identified by the Member States and supported by the Secretariat. Formal request for technical assistance must be made for a Member State to benefit from the available technical assistance. The requests for technical assistance can be made by contacting the Secretariat at the details further below. The deadline for the request of technical assistance is 21 September 2016, which is 60 days after the launch of this Call for Submissions. Generic terms of reference for consultants, which the Member State must customize to its specific country context, have been included to this Call as Attachment 3 (3.1 for PMR preparation and 3.2 for project preparation). A generic evaluation form for identifying and hiring of consultant at level has also been attached as Attachment 4. The preparation of Submissions will be coordinated by the Focal Point in consultation with the National Inter-Ministerial Coordinating Committee (NIMCC), which is responsible for the drafting and submission of the Progress Monitoring Report and for coordinating and monitoring the implementation of the regional integration programme. Contents of Submissions The submission shall include the following: - Submission Form which should clearly indicate that it is a follow up request (in accordance with the guidelines). - A full Progress Monitoring Report and all its annexes including an updated PAF matrix (in accordance with the guidelines). - Authentic Sources of Verification for all indicators targeted and achieved in the year of reporting under the RIIP. Documents attached to this Call 1. The Indicative Annual Nominal Allocations (Attachment 1) providing the indication of the maximum funds that a country is likely to access under the Fifth Call for Submissions 2. The detailed Guidelines for CAF/RISM support and its annexes (Attachment 2) describing the full process of preparing and making both new submissions for RISM support and submissions for on-going RISM implementation support. 3. Terms of Reference for National Consultant (Attachment 3.1) and Terms of Reference for National Expert on Project Preparation(Attachment 3.2) 4. Evaluation Form for hiring of consultant (Attachment 4) 2

3 Deadline The Deadline for submission of PMRs is 21 October Please note that following the approval of submissions, countries that will be eligible for project based support will be required to formulate an additional project document within the specified timeframe of 5 months. Submissions should be made in hard copy to: The Secretary General COMESA Secretariat P.O Box Lusaka Zambia Or via ed or other soft copy: To: Cc: Ethel Mwale on emwale@comesa.int Comaid@comesa.int; secgen@comesa.int Clarifications and Consultations For clarifications and consultations on the submission process, please write to the following address: To: Cc: Ethel Mwale on emwale@comesa.int Comaid@comesa.int 3

4 Attachment 1: 2016 Indicative Annual Nominal Allocations under RISM Assessment Ratio Eligible for RISM Total 2016, Euro Burundi 2.8 Yes 645,409 Comoros 0.9 Yes 483,123 Djibouti 0.9 Yes 483,123 D R Congo 6.5 Yes 961,441 Egypt** 11.5 No - Eritrea* 0.9 No - Ethiopia 5.2 Yes 850,402 Kenya 11.5 Yes 1,388,510 Libya** 11.5 No - Madagascar 4.0 Yes 747,906 Malawi 3.6 Yes 713,740 Mauritius 7.1 Yes 1,012,689 Rwanda 2.8 Yes 645,409 Seychelles 0.9 Yes 483,123 Sudan 6.1 Yes 927,275 Swaziland 3.0 Yes 662,492 Uganda 4.1 Yes 756,447 Zambia 5.2 Yes 850,402 Zimbabwe 11.5 Yes 1,388,510 Total ,000,000 *Non-COMESA Fund Member State **Non-ACP COMESA Member State 4

5 COMMON MARKET FOR EASTERN SOUTHERN AFRICA Regional Integration Support Mechanism (RISM) Guidelines 5

6 Table of Content List of Acronyms Introduction Purpose RISM Design and RISM Process RISM Design RISM Process Determination of Eligibility Calculation and Publication of Annual Nominal Allocations Calculation of Annual Nominal Allocations Publication of the indicative Annual Nominal Allocation Call for Submissions Issuing the Call for Submissions Time-Plan and Stages in Submission Process Structure and Rationale of RIIP and PMR Submissions Structure of RIIP... Error! Bookmark not defined. 7.2 Structure of PMR Performance Assessment Framework (PAF) and Scoring Mechanism PAF and Performance Indicators in the RIIP/PMR Scoring Mechanism Impact Indicators (Higher Level) Request for Technical Assistance Submission in Response to the Call Review, Assessment and Approval of Submissions Decision Making Process of RISM Committees RISM Management Committee RISM Advisory Committee Formulation, Finalization and Signature of Project submissions Signing of Grant Agreement for Regional Integration Support Disbursement of RISM/CAF Resources List of Annexes

7 List of Acronyms ACP ANA CAF COMESA EAC EC EDF ESA-IO EU FT MS NMC PAF RIIP RAC RISM RMC VT African, Caribbean and Pacific Annual Nominal Allocations COMESA Adjustment Facility Common Market for Eastern and Southern Africa East African Community European Commission European Development Fund Eastern and Southern African Indian Ocean European Union Fixed Tranche Member State National Monitoring Committee Performance Assessment Framework Regional Integration Implementation Programme RISM Advisory Committee Regional Integration Support Mechanism RISM Management Committee Variable Tranche 7

8 1. Introduction The COMESA Treaty in Article 150 provides for a Special Fund for Cooperation, Compensation and Development for tackling the special problems of underdeveloped areas and other disadvantages arising from the integration process. As such, in 2002, the COMESA Fund protocol was adopted which includes a special facility, referred to as the COMESA Adjustment Facility (CAF), for the provision of adjustment support. In 2008, the COMESA Fund adopted Operational Rules for the Adjustment Facility that largely provided for mechanisms to support revenue losses due to the implementation of regional integration programmes. Subsequently, the COMESA Fund Ministerial Committee, with the support of the COMESA Secretariat, reviewed the objectives, methodologies and operational rules of the CAF and adapted them to the new demands of the countries of the region. The revised CAF Operational Rules (now referred to as Operational Regulations) were adopted at the COMESA Fund Ministerial meeting of June In line with the principles of Aid Effectiveness, the European Development Fund (EDF) funded the CAF through the Regional Integration Support Mechanism (RISM) which is embedded into the CAF in terms of both the objectives and delivery of the support and resources. The support provided, is expected to contribute to an increased implementation of regional commitments and programmes at the level through increased access to financial and technical resources by Member States. The rationale is that the implementation of regional commitments at level has an adjustment cost; this is in terms of both the cost of the reforms that a country will have to undertake to adjust its economy to a more integrated space ("the costs of transposition") and the cost of customs revenue foregone for some countries that have not yet undertaken certain initial adjustments (such as joining the COMESA Free Trade Area). It is expected that increased access to resources to cover some of those costs will provide an incentive for Member States to implement their commitments at level. As it is the governments' responsibility to cover the main part of adjustment costs and to finance them through their development plans and strategies, RISM is not expected to finance the totality of these costs, but rather to contribute to address them. 2. Purpose These guidelines are an elaboration of the CAF Operational Regulations and of the RISM Contribution Agreement signed between COMESA and the EU under the 10 th European Development Fund (EDF). The purpose of these guidelines is to provide Member States, the Secretariat and other stakeholders with guidance on the full process of seeking, utilizing and reporting on RISM support, including the preparation, submission, evaluation and approval of submissions. The aim of the guidelines is to promote consistency and clarity in the processes involved in: 8

9 - Fulfillment of RISM eligibility criteria; - Calculation and announcement of financial resource allocations; - Preparation and submission of applications, including the Progress Monitoring Reports of the Regional Integration Implementation Programmes (RIIP), with the associated Performance Assessment Frameworks (PAFs); - Provision and submission of valid sources of verification of all targets achieved during the assessment year; - Transparent assessments of Member State submissions; - Key considerations in the decision making processes for submissions; - Preparation and submission of project documents, where applicable; and - Timing and Agreement on modalities of disbursements 3. RISM Design and RISM Process 3.1 RISM Design RISM is expected to contribute to increased implementation of regional commitments and programmes at level through increased access to resources by Member States. RISM has been designed to primarily support the implementation of regional trade reform and trade facilitation programmes at level. The allocations and approvals of RISM/CAF resources will be done against the implementation of well-defined and ambitious regional integration programmes, with indicators detailed in the PAF, that have been established by each individual Member State. Allocations will be determined, at the regional level, through an Indicative Annual Nominal Allocation (ANA). The allocations will be based on assessed and validated PMRs reflecting achievement of regional commitments expressed in the performance indicators (performance-based variable tranches). RISM/CAF resources will be delivered through two financing modalities, namely: Or a) Budget Support: Only Member States that are eligible to EU budget support at the moment of disbursement will be entitled to receive RISM funding through budget support. For this modality, the EU will determine eligibility to EU budget support. The COMESA Secretariat will transmit the approved documents to the Delegation of the European Union to the Republic of Zambia and COMESA for verification, subsequent transmission and final endorsement by the competent Director of DG DEVCO of the European Commission. COMESA Member States will be encouraged to consult with the EU Delegations present in the country on their potential eligibility to budget support under RISM Consolidation. 9

10 b) Project based support: where a country is not eligible for budget support, or where project support would be a simpler, more preferable and more efficient disbursement and implementation mechanism at the level. In that case, the country will prepare an additional project document after the approval of its PMR submission by the COMESA Fund Ministerial Committee. Project design and implementation will be guided in line with the Project Management Cycle. The EU will provide its assessment of the appropriate financing modalities under which respective Member States are eligible to RISM resources at two points, namely: at the point of assessment of PMR submissions by the RISM Management Committee (RMC) for the consideration by the RISM Advisory Committee (RAC)/COMESA Fund Ministerial Committee; and at the point of disbursement of funds from the EU to the COMESA Secretariat. The COMESA Secretariat will provide the necessary guidance to Member States about their respective eligibility status and pursuant to the approval of their submissions, project support countries that will be given an additional five (5) months for the preparation of respective project documents. 3.2 RISM Process The RISM process is illustrated in the flowchart below. It will start with the revision and updating of these guidelines and the preparation of the indicative Annual Nominal Allocations (ANA) by the COMESA Secretariat. After the preparation of the ANA, the other processes will involve: an official launch of a Call for Submissions, which will also publish the ANA; the preparations of the PMR and target setting and revisions in the PAF, where necessary; review, assessment and approval of the submissions; processes of the disbursement of funds; and monitoring of and reporting on progress in executing the RIIP. These sub-components of the overall process of RISM are systematically described in the ensuing sections of these guidelines. 10

11 2015 Secretariat prepares & issues calls for submissions Including information to MS on ANA Country considers RIIP application Possible support (TA)to MS Country prepares RIIP Submission of RIIP for approval Review and Assessment of RIIP Disbursement of FT Implementation -RIIP Assessment against countries PAF Disbursement of VT Implementation -RIIP Assessment against countries PAF Disbursement of VT Implementation Assessment PAF -RIP Yes support to MS Yes support to MS Yes S RIIP approved? Targets Met? Targets Met? End of RISM II Process No No Country reapplies Under next Call Possible new entry (reapplication) for assessment of RIIP No disbursement Possible new entry for Evaluation of RIIP No No disbursement Legend: ANA = Annual Nominal Allocation FT = Fixed Tranche MS = Member State PAF = Performance Assessment Framework RIIP = Regional Integration Implementation Plan VT = Variable Tranche 4. Eligibility Criteria Three core aspects of eligibility are considered and used to determine the eligibility of each Member State to access RISM support. The aspects or eligibility criteria are drawn from the CAF Operational Regulations and are summarized as follows: i) Administrative eligibility: 11

12 a) Be a COMESA or EAC Member State and an ACP Country signatory to the Cotonou Agreement; b) Deposit the instrument of ratification of the Fund Protocol; c) Payment of full assessed contributions to the COMESA Fund; and d) Compliance with Authority decisions on budgetary contributions to the Secretariat. ii) Regional policy eligibility: a) Demonstration of engagement towards the effective implementation of the regional integration process of COMESA and EAC consistent with the aims and objectives of the governing documents of the two institutions; and b) Engagement in an overall reform programme to implement adopted regional integration programmes including regional trade liberalization, facilitation of investment and facilitation of the movement of goods, services, capital and people across COMESA borders and improvement of the overall business environment a RIIP in the context of these Guidelines as part of the process leading to a fully functional Common Market. iii) Programme specific eligibility: a) The programme which must be formulated as a RIIP, should be consistent with a recognized economic strategy as reflected in the Member State s policies and/or development plans with clear linkages to implementation of regional trade and integration programmes; b) The programme must be co-financed by the government and other cooperating partners, reflecting that Member States also provide (counterpart) funding contributions to the Programme; and c) The programme must always include a PAF, which is an integral part of the RIIP and PMR. 5. Calculation and Publication of Annual Nominal Allocations The indicative ANA is a provisional or tentative amount that is confirmed upon the approval of a Member State s submission by the COMESA Fund Ministerial Committee. 12

13 5.1 Calculation of Annual Nominal Allocations In accordance with the CAF Operational Regulations, the COMESA Secretariat shall calculate the indicative Annual Nominal Allocations (ANA) for each Member State from the sum total of the RISM resource available for a given year. The Secretariat shall calculate the indicative ANA based on all eligible Member States as will be determined prior to the launch of the Call for Submissions. The formula for calculating the indicative ANA has been determined as follows in the CAF Operational Regulations: a) 50% of the total available funds for a given year shared equally among the eligible Member States b) 50% of the total available funds for the given year shared pro-rata to the assessed contributions to the COMESA Fund of the eligible Member States and weighted against 100%. 5.2 Publication of the indicative Annual Nominal Allocation The indicative ANA will provide the indication of the maximum funds that a country can access in a given year. COMESA will inform Member States of their respective indicative ANA at the launch of the Call for Submissions. 6. Call for Submissions 6.1 Issuing the Call for Submissions COMESA Secretariat will issue one Call for Submission per year. This will be issued to all COMESA and EAC countries that are eligible for ACP funding. The Call for Submissions will include the following: - The Call for Submission announcement including a covering memorandum from the Secretary General of COMESA. - The indicative Annual Nominal Allocations for the given year for each country. - A copy of the RISM Guidelines (this document). - Submission Templates: for guiding the preparation of specific documents that must be submitted by all countries: o Submission Form (Annex 2 of the Guidelines). o Annotated Progress Monitoring Report format (Annex 3). o Full Performance Assessment Framework template (Annex 1). - Projects Support templates, applicable to project support submissions only (and for reference only; as explained elsewhere in these Guidelines, the submission of project 13

14 documents will follow a post-approval project preparation and submission timetable and process). The project templates will include: Project Submission format, applicable to countries that are eligible for project support only (Annex 4 of the Guidelines). - Terms of Reference and evaluation forms for hiring the consultants. - Checklist for preparation of submissions (Annex 5 of the Guidelines). 6.2 Time-Plan and Stages in Submission Process A period of 90 days from the issuance of the Call for Submission will be given to Member States within which the PMR submissions shall be made. During this period and before the deadline, Member States shall be allowed to make amendments to their draft submission. In addition, about five months will be given to project based support eligible countries after the approval of their respective PMR submissions, for them to prepare, finalize and sign project documents. Broadly the sequencing and relative timelines for the submission process are as follows: - The Call for Submissions will be launched as the start of the process. The Launch will include the publication of ANA; - Country considerations of the Call and preparation of Submissions (Since all the eligible countries have established their respective RIIPs, PMRs including PAFs will be submitted), including clarifications and revisions, etc. will follow for 90 days after the Call for Submissions is issued; - During the preparation period of 90 days, Member States may seek technical assistance through the Secretariat and may request Secretariat to review draft submissions and make revisions to their submissions as advised by the Secretariat; - The deadline for requests for technical assistance will be 60 days after the launch of the Call for Submissions; - Country submissions will be transmitted to the COMESA Secretariat before or on the specified deadline of the Call for Submissions; - Country submission transmitted to the COMESA Secretariat after the deadline of the Call for Submissions will not be assessed for consideration by the COMESA Fund Ministerial Committee or its subcommittee, the RISM Advisory Committee (RAC); - The COMESA Fund Ministerial Committee or the RAC, in accordance with Section 13 of these Guidelines, will meet two months after the submission deadline to consider and approve the responses to the Call for Submissions; - Following the approval of the PMRs, project preparation, finalization and signature for countries eligible for project based support will follow for five months; - During the project preparation period of five months, Member States may seek further technical assistance through the Secretariat and may request Secretariat to review draft submissions. 7. Structure and Rationale of Submissions 14

15 The RIIP is the Member State s programme for transposition and implementation of regional commitments at level. Since all eligible countries have submitted and are implementing their RIIPs, these guidelines focus on the Progress Monitoring Report (PMR) which is the RIIP reporting structure. All countries applying for continued RISM/CAF resources regardless of whether they are eligible for budget support or for project support modality will, in response to the Call for Submissions and within the stipulated deadline, have to submit a PMR and PAF, whose structures are detailed in Annex 3 and 1 respectively. 7.1 Structure of PMR The RIIPs are monitored and formally revised yearly through a RIIP Progress Monitoring Report (PMR), which should be submitted by the Member State to COMESA Secretariat (Template for PMR attached in Annex 3 of these Guidelines) detailing progress in meeting the commitments measured against the targets agreed in the PAF. Since the presence of a PMR implies that the Member State is already implementing a RIIP, these Guidelines assume that a National Focal Point and an NIMCC (or equivalent structure) will already have been established and have the responsibility of preparing the PMR and its annexes. The Progress Monitoring Reports will be sent directly to the COMESA Secretariat. The Secretariat will assess them against the PAF and apply the RISM scoring system that is elaborated on in Section 8.2 below. Pursuant to any revisions in the performance indicators at the regional level, Member States will make revisions to their initial RIIP by specifying those revisions in the PMR and updated PAF which they submit. The COMESA Secretariat will assess and validate the Progress Monitoring Reports, taking into consideration the original RIIP submission of the country, the PAF and the Sources of Verification. The country-specific assessments will culminate in the compilation of a consolidated progress report which will be submitted to RMC and RAC/COMESA Fund Ministerial Committee. Based on its objective assessments, the COMESA Secretariat shall make recommendations to the RMC and RAC/COMESA Fund Ministerial Committee. 8. Performance Assessment Framework (PAF) and Scoring Mechanism 8.1 PAF and Performance Indicators in the PMR The PAF is a list of selected performance indicators that represent respective COMESA or EAC programmes for implementation by Member States. It is a tool that assists Member States to set specific targeted or time-bound commitments to COMESA and/or EAC programmes under 15

16 RISM. These guidelines present 21 PAF indicators in Annex 1. Each country is required to update the PAF template, elaborating the status of implementation of targets in the matrix. The PAF, as described in the Annex 1 template, will be applicable both to countries eligible for untargeted financial assistance and those eligible to project based support. Member States must include an updated PAF in their PMR as an integral component of their submission. The country PAF should be prepared in line with the Template provided in Annex 1 of these Guidelines. The PAF should include annual targets for a country-specified selection of the 21 indicators. In all cases, Sources of Verification as detailed for each indicator in the PAF (Annex 1) will have to be provided for the target or performance years (2015 and 2016) when these have elapsed. As a general principle, the failure to provide sources of verification will be interpreted to mean that the Member State has not achieved a given indicator, implying that the respective indicator will be an outstanding (targetable) indicator. In line with COMESA s variable geometry approach to regional integration, the sequencing and pace of implementation of the programmes underpinning the indicators was determined by the Member States in accordance with the conditions pertaining in respective countries keeping in mind ambitiousness of the PAF. This approach implies that Member States have varying timeframes and sequencings for implementing the 21 indicators, and are not expected to provide annual targets for each individual indicator, since: a. On some areas they might have already fulfilled their obligations b. On some areas, the indicators might not apply and c. The sequencing for fulfilling regional obligations is based on variable geometry approach. The PAF indicators that Member States have committed to implementing from 2017 onwards will constitute part of the medium/long term vision for regional integration of COMESA/EAC Member States. The PMR narrative could include this in describing the Member States longer term vision for regional integration. 8.2 Scoring Mechanism Disbursement will be determined by the Annual Nominal Allocation which determines the maximum funds available for performance tranches. The variable tranche will be determined against the assessment of performance against the set of annual targets which will be scored in line with the RISM scoring system. Scoring System 16

17 The scoring system will first compare realization or (actual) performance with the Target for each individual Indicator and assign each such comparative outcome a numerical value. In relation to the assignment of numerical values, the scoring system will grade every performance in two ways, depending on whether the indicator is a non-quantifiable or quantifiable indicator: Or - Yes and No classification for non-quantifiable indicators, with respective scoring of 1 and 0; - A proportion of 1 (expressed in percentages of 1) corresponding to the Actual performance as a proportion of the Target for quantifiable indicators. The scoring system thus includes: Individual performance score (IPS): for each indicator of the RIIP PAF an assessment shall be made to determine the degree of performance. Weight of each indicator (W): each indicator shall be given weights according to each Member State s expressed commitments to make progress on the given indicators, drawing on the principle of variable geometry (this means some indicators can assume a weight of zero (0) if the indicator is not one of those on which progress should be measured during the implementation period). Overall performance score (OPS): the overall performance score shall be the weighted average of the individual performance scores. Overall payment (OP): the overall payment shall be determined using aggregate performance categories, as defined below. Aggregate Performance Categories The simple average of the individual performance scores is grouped into three categories of performance as follows: Performance Category Average performance Percentage disbursement Category 1 Below 40% 0% Category 2 Between 40% and 70% 50% Category 3 Above 70% 100% The Aggregate Performance Categories provide three categories of percentage disbursement against budget allocation. Once the overall score is obtained, this will be placed in one of the three categories. Disbursement will then be made according to the indicated percentage disbursement. 17

18 COMESA, through the RMC and RAC/COMESA Fund Ministerial Committee, will play the pivotal role of assessing the ambitiousness and feasibility of the PAFs submitted by Member States, specifically assessing the annual targets and determining the score and performance category. In line with the Decision of the 32 nd Council (Feb 2014), formal justification to the COMESA Secretary General will have to be provided in all cases where there are outstanding indicators which Member States have elected not to commit to during the lifespan of the RISM programme. The RMC and the RAC/COMESA Fund Ministerial Committee will also be responsible for assessing the performance of on-going RIIPs, as will be self-reported by Member States in the Progress Monitoring Reports. 9. Impact Indicators (Higher Level) Member States will be accorded the opportunity to report on a selection of higher level indicators called impact indicators. The impact indicators are described in Annexes 3. This will facilitate monitoring of trends in increase (or decrease) for each indicator on an annual basis. It should be noted that the impact indicators will not form part of the performance assessment and will not be linked to RISM disbursements. 10. Request for Technical Assistance The requirement to request for Technical Assistance is applicable both to countries eligible for general budget support and project based support. RISM provides for technical assistance to the Member States and their National monitoring mechanisms such as the National Inter-Ministerial Coordinating Committee (NIMCC) to support the in-country processes: of formulating submissions; and monitoring the progress of implementation in practice. Technical assistance can provide specialized inputs in trade and trade facilitation issues, COMESA programmatic issues, transpositions, statistics, analytical work in relation to regional integration, and monitoring and evaluation. All technical assistance will be provided upon request by the respective Member States. The support will be mainly in the form of short-term consultancy and ad hoc trainings or capacity building support, upon request by the Focal Point (Coordinating Ministry/NIMCC). The deadline for the request of technical assistance will be 60 days after the launch of each Call for Submissions. In order to make the process of seeking technical assistance easier, generic terms of reference for consultant will be provided by the Secretariat, which the Member States will be able to customize to their specific country contexts. A generic evaluation form for identifying and hiring of consultant at level will also be provided by the COMESA Secretariat for use by the Member States. 18

19 11. Submission in Response to the Call In response to the Call, Member States will submit a PMR and its attachments, including a fully updated PAF. Member States will also make submissions based on their respective financing modality eligibilities. Member States under budget support will be required to make only one submission while those under project-based support will be required to make two submissions at two separate points in time. The required documents for submission will include the following: - Submission Form (Annex 2 of these Guidelines); - Progress Monitoring Report, with its annexes; - Other annexes such as Official National Documents, may also be included; for progress monitoring reporting, official sources of verification are a necessary requirement; - Checklist (Annex 5 of these Guidelines) and - Where applicable, Project Document in accordance with the Project Submission Template (Annex 4 of these Guidelines) which should be prepared, finalized and signed within 5 months after the approval of the PMR The submissions will be made according to the timings described in Section 6, in particular noting the post-approval timetable for the submission of project documents, which is described in Section Review, Assessment and Approval of Submissions When the COMESA Secretariat receives the submission, it will: - Confirm receipt of the submission; - Verify the conformity of the submission to the application procedures and make preliminary assessments of the submissions. The Secretariat may invite external technical expertise to assist in the assessment of applications. - The Secretariat may also request for clarifications and minor amendments from the applicant Member State. Where major revisions are required to the PMR submission, the Secretariat may propose that the Member State makes a re-submission at the next Call for Submissions. If the Member State opts not to follow the Secretariat s proposition, its PMR submission, as long as it is within the respective deadline announced at the Call for Submission or at the RAC/COMESA Fund Ministerial Committee approval, will be forwarded to the Technical Committee for technical evaluation as received. 19

20 For PMR submissions, the Secretariat will review the final submissions and make recommendations to the RISM Management Committee (RMC), which will in turn make recommendations to the RISM Advisory Committee (RAC)/COMESA Fund Ministerial Committee for consideration and final decision. For submissions eligible for project based support, the RAC/COMESA Fund Ministerial Committee, once it approves the PMR, will direct the Member State to finalize its project document within 5 months of the approval, announcing a specific deadline for the finalization of the project document. 13. Decision Making Process of RISM Committees The RMC and RAC/COMESA Fund Ministerial Committee are, respectively, the advisory and decision making bodies for the RISM/CAF. The RMC is a technical advisor of the RAC. In consonance with the COMESA Fund Protocol, the RAC is a sub-committee of the COMESA Fund Ministerial Committee and it is technically supported by a Technical Committee of the RAC RISM Management Committee The RMC is constituted by the Chief Executives or their mandated representative of COMESA and EAC. It is chaired by the COMESA Secretary General. It meets at least once a year to conduct its activities. It acts as a technical advisor for the RAC. The EU has an observer status in the Committee but has the right reserved to proceed according to the provisions of Article 10.3 of the COMESA Fund Protocol RISM Advisory Committee The RISM Advisory Committee (RAC) is constituted by the members of the COMESA Fund Ministerial Committee and by the Ministerial nominee(s) proposed by EAC or their mandated representative. The RAC is a sub-committee of the COMESA Fund Ministerial Committee. It meets at least once a year. The EU has an observer status in the Committee but has rights reserved to proceed according to the provisions of Article 10.3 of the COMESA Fund Protocol 2. The RAC oversees the implementation of RISM, ensures overall guidance and orientation of the programme. The RAC considers the recommendations made by the RMC and takes final decisions. Member States, in relation to their respective submissions, cannot participate in the making of final decisions with regards to their own application. 14. Formulation, Finalization and Signature of Project submissions 1 Article 10.3 of the COMESA Fund Protocol states The Committee in conjunction with the co-operating partners sources providing funding to the Special Facility shall determine the conditions under which members will be eligible to receive funds from the Special Facility 2 Article 10.3 of the COMESA Fund Protocol states The Committee in conjunction with the co-operating partners sources providing funding to the Special Facility shall determine the conditions under which members will be eligible to receive funds from the Special Facility 20

21 Countries that will be eligible for project based support will be required to formulate an additional project document and agreement with all the necessary technical, administrative plans, logistical and governance details, including the project implementation modalities. This will be done within the specified timeframe of 5 months. When project based support is provided, the actions should be co-ordinated with the EU Delegation in the country concerned. In addition to the signature of a Project Agreement between COMESA and the beneficiary Member State, a Note will be signed between COMESA, the beneficiary Member State, the EU Delegation in that Member State and the EU Delegation accredited to COMESA, specifying the roles of each party in the implementation and monitoring of the project. Secretariat will provide technical support to the project support countries during the preparation period upon request. Once the period of project finalization and entering into project Agreements has expired, the allocated funds may be decommitted from the affected Member States and redistributed in line with RISM procedure. Annex 4 of the Guidelines presents the Project Submission format in detail. 15. Signing of Grant Agreement for Regional Integration Support Provision of support through RISM has been formalized through a legally binding Agreement for Regional Integration Support between the beneficiary country and the COMESA Secretary General. Where a PMR is approved, an Addendum to the Agreement will be prepared and signed by the Member State and COMESA Secretariat outlining the amendments made to the Agreement. Being a financial arrangement instrument, the Addendum to the Agreement will be signed between the Member State s Minister of Finance or its equivalent or duly authorized representative on the one hand and by the COMESA Secretariat on the other. 16. Disbursement of RISM/CAF Resources Disbursements for all approved submissions will be made from European Union (EU) to COMESA Secretariat. Thereafter, disbursements from COMESA Secretariat to the Member States will be based on the financing modalities as determined by the EU namely, (i) budget support and (ii) project based support. The method of disbursement for approved resources will be as follows: (i) Budget Support 21

22 Only Member States that are eligible to EU budget support at the moment of disbursement will be entitled to receive RISM funding through the budget support modality. Under the RISM/CAF programme, budget support transfers will be made to the central bank of the recipient Member State. (ii) Project based Support For project based support, disbursements will be made in line the procedures laid out in the project agreement. In both cases, disbursements will be limited to the approved Annual Nominal Allocation. List of Annexes Annex 1: Full Performance Assessment Framework (Template) Annex 2: Submission Form Annex 3: Annotated Progress Monitoring Report Template Annex 4: Project Submission format, applicable to project support only Annex 5: Checklist for preparation of submissions 22

23 Annex I: Performance Assessment Framework The Performance Assessment Framework (PAF) was designed to be applied at both the regional and levels. It measures the performance of responsible institutions at the and regional levels in meeting their compliance targets on the domestication and implementation of the selected COMESA programmes underpinned by the PAF indicators specified herein. At the regional level, the Medium Term Strategic Plan (MTSP) Priority Areas and the Thematic Intervention Areas were identified from the regional level of the COMESA integration agenda for (i.e., from the MTSP ). The COMESA Target Indicators are indicators of the expected regional outcomes by the end of the RISM programme at the end of 2016, measured against regional targets. The expectation is that at least 70% of COMESA Target Indicators will be achieved by end-2016 under the RISM programme (Rider and Consolidation combined), with an average expected achievement per indicator of at least 70%. The PAF matrix also presents a column on regional baseline/status values, showing, for each performance indicator, the overall regional status of compliance with domestication and implementation as at end-2013, taking into account all participating COMESA Fund Member States. It is important to note, regarding the regional 2014 status values presented in the PAF, that some revisions or adjustment might become necessary during the implementation of the RISM Consolidation because an integral part of the RISM process involves the continuous validation and updating of information about domestication and implementation (including through surveys and other interactions with the Member States, which are specifically designed to inform and authenticate the status). At the level of the RISM programme, the PAF matrix provides descriptions of the: Indicator name; Required Actions (indicator definition and description); National Progress ( ); National Values on Status (2014); Target (2015; 2016; From 2017 onwards); Responsible institution; and Source of Verification (or documentary evidence of compliance). Member States are expected to specify the status (2014), set specific targets for 2015, 2016 and from 2017 onwards, and institutions responsible for the COMESA programmes underlying each indicator as well as to offer alternative specification on the Sources of Verification that will serve as evidence of achieving the specified targets. The Matrix also describes the Scoring Method for each indicator as well as the Total Score achievable per indicator. The Total Score will be applied to a separate Performance Assessment Methodology, which assesses performance at the level. Each COMESA Fund Member State participating in RISM is required to update the PAF annually through Progress Monitoring Reports (PMRs). 23

24 MTSP Priority Area: Priority Area IV Institutional Development Thematic Intervention Area: Sustainable Monitoring and Reporting Mechanisms at National Level COMESA Target Indicator: At least 9 additional Member States operationalize Inter-Ministerial Committees or equivalent structures as per the Committees Terms of Reference, by end Indicator # name 1 National Inter- Ministerial Coordinating Committee (NIMCC) officially constituted and operational in accordance with adopted COMESA/ EAC Terms of Reference (TORs) Required actions (indicator Regional definition and description) Status (2014) Member States will constitute As at 2014, 16 an NIMCC or COMESA identify/nominate an existing Fund Member equivalent structure, States had which will: a) adopt Committees in COMESA/ EAC TORs; and operation that b) take responsibility for the had adopted coordination of COMESA the COMESA (including Regional TOR. Integration Implementation Programme (RIIP)) & EAC programme implementation in accordance with the NIMCC terms of reference; particularly undertaking the following operations: (i) formulating an annual work plan for the operations of the NIMCC; (ii) holding RIIP/PMR formulation meetings and/or workshops; (iii) addressing the COMESA online M&E system; and (iv) involving non-state actors (private sector) in RIIP/PMR planning and reporting. Annually, each country s National Status (2014) state in which year the NIMCC was established]] Target target that it aimed to achieve by end-year ]] Actual describe actual achievement of target; Responsible institution From 2017 onwards NA NA State to institutional structure (government ministry or agencies) and division/ unit/departme nt within the institution that will be responsible for reporting on the indicator to the NIMCC]] **Regional level COMESA M&E Unit Source of Verification Official Government notification (minutes or letter) confirming the composition of the NIMCC and formal adoption of the COMESA/EAC TORs; AND Minutes of the NIMCC (or its equivalent s) meetings or, other evidence confirming that the NIMCC (or its equivalent) is operational in accordance with the particular required actions. Scoring Total Method Score Yes/No 1 (binary) or Quantita tive (as appropri ate) 3 Note: the indicator will be NA from 2016 onwards but will be continuo usly monitore d. 3 For countries that have not established an NIMCC by end-2013, the score will be in relation to the required actions for (a) adoption of COMESA/EAC TORs only, which shall carry 100% (or 1) out of the total score. Where an NIMCC or its equivalent is established as of end-2014, the required action will be in terms of the particular operational elements of the NIMCC described in the required action. Each element will carry 25% (or 0.25) of the score. 24

25 # Indicator name Required actions (indicator definition and description) performance will be assessed in relation to achievement of each of the four elements. Regional Status (2014) National Status (2014) From 2017 onwards Responsible institution Source of Verification Scoring Method Total Score Comments: 25

26 MTSP Priority Area: Priority Area IV Institutional Development Thematic Intervention Area: Sustainable Monitoring and Reporting Mechanisms at National Level COMESA Target Indicator: Self-determined numbers of regional harmonized statistical clusters (HSC) implemented and functional in at least 14 Member States by end-2016 Indicator # name 2 Selected regionally agreed harmonized statistical clusters (HSC) (or frameworks) implemented Required actions (indicator definition and description) Underpinned by Articles 139 and 140 of the COMESA Treaty, COMESA Regional statistical development aims to ensure the provision of regular, timely and harmonized statistics for monitoring the efficient implementation of the objectives of the Common Market.The 2010 Council adopted the COMESA Statistical Multiannual Work Plan in which a number of targets on the adoption of harmonized statistical frameworks 4 are set for implementation. To achieve this indicator, a Member State will Regional Status (2014) [Note: different baselines apply to different clusters] *HCPI adopted: Full implementation in 15 COMESA countries 5 ; * COMESA Infrastructure Statistics framework adopted: Data collection component undertaken in 17 COMESA countries 6 ; * FDI Statistics Regulation adopted: 9Member States 7 consistently undertaking FDI surveys; * Inter National Status (2014) Target describe the target that it aimed to achieve by end-year ]] situation as at end-2014; Member also progress made to reach the 2014 status]] target that will be achieved by end-year ]] From 2017 onwards [[The target described in this column will not be subject to PAF assessment; however member state must provide the details of commitments that fall outside the RISM period to reflect that the RIIP/PAF has a longer term vision for integration in this related area of intervention]] Responsible institution State to institutional structure (government ministry or agencies) and division/ unit/department within the institution that will be responsible for reporting on the indicator to the NIMCC]] **Regional level COMSTATS Unit Source of Verification HSC statistics submitted to COMESA Secretariat (COMSTATS), as evidence of implementing the Multiannual Work Plan; and submission confirmed by COMSTATS. Scoring Method Quantitative (%, i.e., number of HSCs implemented divided by number of HSCs that were targeted in a given year (or given period) multiplied by 100) Total Score 1 4 The statistical frameworks or clusters are: 1. Harmonized Consumer Price Index (HCPI); 2. COMESA Infrastructure Statistics; 3.Foreign Direct Investment (FDI) Statistics; 4.Inter Merchandise Trade Statistics; 5. Statistics on Inter Trade in Services 5 Burundi, Congo DR, Egypt, Ethiopia, Kenya, Madagascar, Malawi, Mauritius, Rwanda, Seychelles, Sudan, Swaziland, Uganda, Zambia and Zimbabwe 6 Burundi, Comoros, Congo DR, Djibouti, Egypt, Ethiopia, Kenya, Madagascar, Malawi, Mauritius, Rwanda, Seychelles, Swaziland, Sudan, Uganda, Zambia, and Zimbabwe 7 Egypt (2007 to 2013), Kenya (2007 to 2008), Madagascar (2007 to 2012), Malawi (2010), Mauritius (2006 to 2013), Rwanda (2010 and 2011), Swaziland (2002 to 2011), Uganda (2000 to 2012), and Zambia (2007 to 2014) 26

27 # Indicator name Comments: Required actions (indicator definition and description) determined the total number of harmonized statistical clusters (HSCs) it can implement in line with the multiannual work plan (which, among other things, guides on the formats, frequency and timeliness of providing harmonized statistics to the COMESA Secretariat) and will implement the selfdetermined number of frameworks. Thus, a Member State is assessed in terms of its technical compliances with the HSC implementation. Regional Status (2014) Merchandise Trade Statistics: Implementation of specific recommendations from United Nations Manual on Inter Merchandise Trade in 11 countries 8 ; Statistics on Inter Trade in Services: Pilot study on implementation of manual on statistics on inter trade in services (MSITS) conducted in 3 COMESA countries 9, but no country yet implementing. National Status (2014) Actual describe actual achieveme nt of target; describe actual achievemen t of target; this is only applicable during progress monitoring reporting (PMR), not during formulation of the RIIP]] From 2017 onwards Responsible institution Source of Verification Scoring Method Total Score 8 Burundi, Ethiopia, Kenya, Madagascar, Malawi, Mauritius, Rwanda, Seychelles, Swaziland, Zambia, and Zimbabwe 9 Kenya, Uganda and Zambia 27

28 MTSP Priority Area: Priority Area I Removing Barriers to Factor Mobility Thematic Intervention Area: Consolidate the internal market (COMESA Free Trade Area (FTA)) COMESA Target Indicator: At least 2 additional Member States implement the COMESA FTA by 2016 Required actions (indicator definition and # Indicator name description) 3 Implementation of the COMESA Free Trade Area (FTA) 10 Comments: Article 46 of the COMESA Treaty makes provision for the establishment of the COMESA FTA. Establishing the FTA will entail Member States issuing legal notices mandating the customs authorities to reducing to zero tariffs on products traded within the Common Market. Regional Status National (2014) Status (2014) out of the 16 Target COMESA Fund Member States had fully situation as at target it aimed established the end-2014; to achieve by COMESA FTA in Member states end-year ]] their territories by to also December This indicator is progress made Actual therefore to reach the applicable to 2014 status]] describe DRC and actual Ethiopia achievement (Swaziland is not of target; an FTA Member as it is under a derogation tied to the establishment of the Tripartite Free Trade Area (TFTA)). target that will be achieved by end-year ]] describe actual achievement of target; this is only applicable during progress monitoring reporting (PMR), not during formulation of the RIIP]] From 2017 onwards [[The target described in this column will not be subject to PAF assessment; however member state must provide the details of commitments that fall outside the RISM period to reflect that the RIIP/PAF has a longer term vision for integration in this related area of intervention]] Responsible institution State to institutional structure (government ministry or agencies) and division/ unit/department within the institution that will be responsible for reporting on the indicator to the NIMCC]] **Regional level TCMA Division Source of Verification National legal notice instructing the customs authorities that COMESAoriginating products shall no longer be liable to customs duties. Scoring Method Binary (Yes/No) Total Score 1 MTSP Priority Area: Priority Area I Removing Barriers to Factor Mobility 10 To explore the reliability of measuring implementation in terms of compliance with the online publishing of COMESA Rules of Origin. 28

29 Thematic Intervention Area: Consolidate the internal market (COMESA Free Trade Area (FTA)) COMESA/EAC/Tripartite Target Indicator: At least 15 Member States resolve at least 70% of NTBs reported against them on the online system in each year Responsible Indicator Required actions (indicator Regional National From 2017 Source of Scoring Total # name definition and description) Status (2014) Status (2014) onwards institution Verification Method Score 4 At least 70% of Non-Tariff Target 1 Barriers situation as at target it aimed target that (NTBs) end- 2014; to achieve by will be resolved Member states end-year achieved by by to also end-year ]] (2015)]] Member State per progress made year 11 to reach the 2014 status]] Article 49 of the COMESA Treaty requires that Member States shall undertake to remove all (100%) of NTBs upon entry into force of the Treaty. Therefore, ideally Member States should aim to resolve 100% of the number of NTBs reported against them in a given year on the Tripartite Non-Tariff Barriers Reporting, Monitoring and Eliminating Mechanism (NTB RMEM). To achieve the target on this indicator a minimum elimination threshold, to resolve at least 70% of NTBs reported against each Member States in a given year (including all outstanding NTBs from previous years), will apply. Each Member State will thus have to strengthen its National (NTBs) Monitoring Committees (and report on such strengthening and operational activities in the PMRs) as well as strengthen the participation of non-state actors (in particular the private sector) in using and informing On average, the 16 COMESA Fund Member States resolved 76% (range %); 79% (range %); 73% ; and 50% of NTBs reported against them in 2011, 2012, 2013 and 2014 respectively. Actual describe actual achievement of target; describe actual achievement of target; this is only applicable during progress monitoring reporting (PMR), not during formulation of the RIIP]] [[The target described in this column will not be subject to PAF assessment; however member state must provide the details of commitments that fall outside the RISM period to reflect that the RIIP/PAF has a longer term vision for integration in this related area of intervention]] State to institutional structure (government ministry or agencies) and division/ unit/departm ent within the institution that will be responsible for reporting on the indicator to the NIMCC]] **Regional level TCMA Division Reports generated by the Tripartite NTB RMEM, which will be crosschecked by the relevant COMESA experts; OR confirmed reports of the NTBs National Monitoring Committees (NMCs). Quantitativ e (i.e., total number of resolved NTBs divided by total number of NTBs against a country multiplied by 100; (>70% 0 score; 70%-85% 0.5 score; 85.1%- 100% 1.0 score) 11 This indicator is only applicable to those countries with NTBs reported against them in a given year. 29

30 # Indicator name Required actions (indicator definition and description) the NTB RMEM. Regional Status (2014) National Status (2014) From 2017 onwards Responsible institution Source of Scoring Verification Method Total Score Comments: 30

31 MTSP Priority Area: Priority Area I Removing Barriers to Factor Mobility Thematic Intervention Area: Consolidate the internal market (COMESA Free Trade Area (FTA)) COMESA/EAC/Tripartite Target Indicator: At least 10 Member States adopt self-determined numbers of (COMESA and/or EAC) harmonized standards by 2016 Indicator Required actions (indicator definition Regional National Status From 2017 Responsible Source of Scoring Total # name and description) Status(2014) (2014) onwards institution Verification Method Score 5 Number of COMESA and/or EAC harmonized standards adopted by each Member State per year. Each Member State adopts COMESA and/or EAC harmonized standards, which it publishes, gazettes or otherwise approves at the level in line with country-specific processes. Each Member State will set a target of the number of standards to be adopted in each year. Achievement of the indicator will therefore be measured as the number of standards actually adopted against the target in the given year. In its progress monitoring reporting (PMR), the Member State will also report on the process for adopting harmonized standards as well as the dissemination and sensitization efforts of the relevant quality standards agencies and bureaus in publicizing Out of the 15 COMESA Fund Member States, 5 (50%) had adopted varying numbers of regional harmonized standards. situation as at end- 2014; Member also progress made to reach the 2014 status]] Target target it aimed to achieve by end-year ]] Actual describe actual achievement of target; target that will be achieved by end-year ]] describe actual achievement of target; this is only applicable during progress monitoring reporting (PMR), not during formulation of the RIIP]] 31 [[The target described in this column will not be subject to PAF assessment; however member state must provide the details of commitments that fall outside the RISM period to reflect that the RIIP/PAF has a longer term vision for integration in this related area of intervention]] State to institutional structure (government ministry or agencies) and division/ unit/departme nt within the institution that will be responsible for reporting on the indicator to the NIMCC]] **Regional level IPPSD Division official annual publication of Standards by National Standards Bureau (with shortlist of applicable standards/ Harmonized Standards, by year); [If applicable and different from the above: Parliamentary Act or Gazette Notice, General Notice, statutory instrument, etc (as the country case might be)]. Quantitative (number of COMESA harmonized standards adopted divided by number of COMESA harmonized standards targets) 1

32 # Indicator name Required actions (indicator definition and description) the adopted standards to the private sector. National Regional Status Status(2014) (2014) From 2017 onwards Responsible institution Source of Verification Scoring Method Total Score Comments: 32

33 MTSP Priority Area: Priority Area I Removing Barriers to Factor Mobility Thematic Intervention Area: Remove barriers to trade and business COMESA/EAC/Tripartite Target Indicator: At least 10 Member States implement the Simplified Trade Regime (STR) by 2016 Indicator Required actions (indicator # name definition and description) 6 Key elements The simplified trade regime (STR) of Simplified is a cross-border trade facility for Trade Regime small-scale traders importing and/or (STR) exporting goods worth US$2,000 or implemented less, which fall within a short-list of eligible STR cross-border products [which also serves as proof of origin]. The STR reduces costs for small traders and increases the speed of crossing the border by replacing the requirements for traders to use a Certificate of Origin and the regular customs documentation with a Simplified Customs Document (SCD), which is obtained through a Trade Information Desk Officer (TIDO) at the border crossing. To achieve this indicator, a Member State must determine the specific number and types of activities it will undertake in a given year in relation to any or all of the following elements: i) establish bilateral STR agreements (at least one), ii) establish a TIDO in at least one border post, and iii) record the STR transactions in the special STR code on the Customs data system. Member States will be assessed against progress in achieving the specified number and types of activities in relation to each of the 3 broad elements. Regional Status (2014) As of Nov 2013, 7 countries (Burundi, Kenya, Malawi, Rwanda, Uganda, Zambia and Zimbabwe) out of the 11 eligible COMESA Fund Member States (i.e., excl. island States and Swaziland) were implementing the STR at selected borders National Status (2014) Target situation as at target it end-2014 ; aimed to Member states achieve by to also end-year )]] progress made to reach the 2014 status]] Actual describe actual achievement of target; target that will be achieved by end-year ]] describe actual achievement of target; this is only applicable during progress monitoring reporting (PMR), not during formulation of the RIIP]] From 2017 onwards [[The target described in this column will not be subject to PAF assessment; however member state must provide the details of commitments that fall outside the RISM period to reflect that the RIIP/PAF has a longer term vision for integration in this related area of intervention]] Responsible institution State to institutional structure (government ministry or agencies) and division/ unit/department within the institution that will be responsible for reporting on the indicator to the NIMCC]] **Regional level TMCA, IPPSD and Legal (Peace & Security) Divisions Source of Verification As the case may be: Bilateral STR agreements signed; Commerce/Tr ade Ministry Reports on STR/TIDO establishment ; Cross Border Traders Association (CBTA) surveys by COMESA Secretariat and reports; authenticated data on small trader transactions from the special STR code of the Customs data system, spot surveys, etc. Scoring Method Quantitative (number of STR activities undertaken out of total number of specific STR activities targeted ) Total Score 1 33

34 Indicator # name Comments: Required actions (indicator definition and description) Regional Status (2014) National Status (2014) From 2017 onwards Responsible institution Source of Verification Scoring Method Total Score 34

35 MTSP Priority Area: Priority Area I Removing Barriers to Factor Mobility Thematic Intervention Area: Remove barriers to trade and business COMESA Target Indicator: At least 15 Member States improve their performance in Trading Across Borders (exporting and importing) by 2016 Indicator # name 7 Documents to export (number): reduction in the total number of documents to export a consignment 12 Required actions (indicator definition and description) Improving the performance of trading across borders requires, among other things, reducing the total number of documents to export a consignment (e.g., as captured in the Ease of Doing Business (EODB) framework). In order to achieve this indicator, a Member State will firstly set a targeted number of documents by which it will reduce the documentation required to export a consignment and will then accomplish this commitment within the target year. Regional Status (2014) On average across the 15 COMESA Fund Member States, the number of documents required in order to export a consignment in 2014 was 7.2. National Status (2014) Target NA NA situation as at end- 2014; Member states to also progress made Actual NA NA to reach the 2014 status]] From 2017 onwards Responsible institution Source of Verification Scoring Method Total Score 12 The indicator is non applicable for all countries as no country set a target. Most countries have already made substantial progress in reducing the number of documents to export and do not envisage further improvements. A key concern expressed by countries was that the methodology used by the World Bank in assessing the ease of doing business indicators included other parameters outside the control of governments. 35

36 # Indicator name Required actions (indicator definition and description) 8 Documents to import (number): reduction in the total number of documents to import a consignment. 13 Improving the performance of trading across borders requires, among other things, reducing the total number of documents to import a consignment (e.g. as in the EODB framework). In order to achieve this indicator, a Member State will firstly set a targeted number of documents by which it will reduce the documentation required to import a consignment and will then accomplish this commitment with the target year. Regional Status (2014) On average across the 15 COMESA Fund Member States, the number of documents required in order to import a consignment in 2014 was 8.5. National Status (2014) Target NA NA situation as at end-2014; Member states to also progress made Actual NA NA to reach the 2014 status]] From 2017 onwards Responsible institution Source of Verification Scoring Method Total Score Comments: 13 The indicator is non applicable for all countries as no country set a target. Most countries have already made substantial progress in reducing the number of documents to import and do not envisage further improvements. A key concern expressed by countries was that the methodology used by the World Bank in assessing the ease of doing business indicators included other parameters outside the control of governments. 36

37 Indicator # name 9. COMESA Common Tariff Nomenclature (CTN) adopted by Member States MTSP Priority Area: Priority Area I Removing Barriers to Factor Mobility Thematic Intervention Area: Operationalize the COMESA Customs Union COMESA Target Indicator: COMESA Fund Member States adopt and implement the provisions of the Customs Union in accordance with decisions of the 32 nd COMESA Council of Ministers: at least 4 eligible Member States adopt the COMESA CTN by 2016; at least 4 eligible Member States adopt the COMESA CMR by 2016, and at least 4 eligible Member States submit draft final schedules of commitments in the liberalization of services by 2016 Required actions (indicator definition and Regional Status National description) (2014) Status (2014) A Common Tariff As at end-2014, Target Nomenclature is a none of the description of a tradable eligible COMESA product with a numeric Fund countries situation as at target it code (HS code). It allows (i.e., excluding end-2014; aimed for common EAC Members Member states achieve by understanding and and Swaziland) to also end-year comparability in the had migrated to (2015)]] description of trade, thus the COMESA progress made removing limitations to CTN through the to reach the trade. Member States are issuance of a 2014 status]] required to align to the legal instrument Actual COMESA CTN (which is sanctioning the based on 2012 version of use of the CTN in describe the HS Code) and then to their territories; actual domesticate the CTN by However, 6 had achievement legally pronouncing the achieved of target; establishment of the alignment to the COMSA CTN as their CTN, based on nomenclature, the gap analysis. through the issuance of a legal instrument in accordance with processes. The indicator can be targeted/achieved separately from the indicator on alignment of tariffs to the COMESA CET (in that case, the tariff book would use CTN target that will be achieved by end-year ]] describe actual achievement of target; this is only applicable during progress monitoring reporting (PMR), not during formulation of the RIIP]] From 2017 onwards [[The target described in this column will not be subject to PAF assessment; however member state must provide the details of commitments that fall outside the RISM period to reflect that the RIIP/PAF has a longer term vision for integration in this related area of intervention]] Responsible institution State to institutional structure (government ministry or agencies) and division/ unit/departme nt within the institution that will be responsible for reporting on the indicator to the NIMCC]] **Regional level TMCA Division Source of Verification Gap analysis showing alignment of the tariff nomenclature to the CTN; Legal instrument domesticating the CTN (including statutory instrument, specific CTN provisions in law etc.). _ Scoring Method Quantitative (0.5 for alignment; 0.5 for final domestication) Total Score 1 37

38 # Indicator name Required actions (indicator definition and description) Regional Status (2014) National Status (2014) From 2017 onwards Responsible institution Source of Verification Scoring Method Total Score trade descriptions but would not necessarily simultaneously apply the CET structure). Comments: 10. COMESA Customs Management Regulations (CMR) adopted by Member States The CMR is a set of customs regulations, procedures and measures that govern the administration of customs matters in the COMESA Customs Union. Substantial (more than 90%) alignment will mean having matching and consistent provisions in the customs laws as what is in the CMR in more than 90% of provisions (as confirmed through a gap analysis). Domestication will mean incorporating, adopting, transforming, referencing or publishing/gazetting (or any other means that gives the Regulations the force of law and the necessary legal effect within the Member States territories) all omitted provisions of CMR in the legislations of the Member State and issuance of a legal instrument to the extent of bringing CMR into force in the Member State. As at end 2014, 1 out of the eligible COMESA Fund countries (i.e., excluding EAC Members and Swaziland) had fully domesticated the COMESA CMR; base on the gap analysis, all eligible COMESA Fund countries complaint with the COMESA CMR in terms of alignment. situation as at end-year Member states to also progress made to reach the 2014 status]] Target target it aimed to achieve by end-year (2015)]] Actual describe actual achievement of target target that will be achieved by end-year ]] describe actual achievement of target; this is only applicable during progress monitoring reporting (PMR), not during formulation of the RIIP]] [[The target described in this column will not be subject to PAF assessment; however member state must provide the details of commitments that fall outside the RISM period to reflect that the RIIP/PAF has a longer term vision for integration in this related area of intervention]] State to institutional structure (government ministry or agencies) and division/ unit/departme nt within the institution that will be responsible for reporting on the indicator to the NIMCC]] **Regional level TMCA Division Legal instrument bringing the CMR into force of law in the Member State; specific CMR provisions in law; confirmed gap analysis, reflecting more than 90% alignment in law provisions to the CMR. Quantitative (0.5 for alignment; 0.5 for final domestication) 1 38

39 # Indicator name Required actions (indicator definition and description) Regional Status (2014) National Status (2014) From 2017 onwards Responsible institution Source of Verification Scoring Method Total Score Adoption of the CMR will mean alignment and then domestication; Alignment will be objectively verified by COMESA Secretariat through an assessment and confirmation that CMR has indeed been aligned with law (gap analysis); full domestication will be verified through the legal instrument bringing CMR into force. Comments: 11. Draft final schedule of commitment in 7 key priority services sectors (communicati on, transport, financial services, tourism, energy, business, and construction and related engineering services) are submitted to COMESA and confirmed by COMESA. Trade in services is defined as the supply of a service through four modes of supply; the commitments are therefore recorded in a schedule for each sector and mode of supply, in accordance with Article 26 and 27 of the COMESA Regulations on Trade in Services. Member States are required to finalize their schedules of specific commitments, to facilitate the COMESA negotiations. The submitted schedules of commitment by COMESA- WTO Member States should improve on those at the WTO. Although a As at 2014, 9 countries (Burundi, Comoros, Kenya, Mauritius, Rwanda, Sudan, Swaziland, Uganda and Zambia) of the eligible COMESA Fund countries had submitted draft schedules of commitments in the 4 first stage situation as at end-2014; Member states to also progress made to reach the 2014 status]] Target target it aimed to achieve by end-year)]] Actual describe actual achievement of target target that will be achieved by end-year)]] describe actual achievement of target; this is only applicable during progress monitoring reporting (PMR), not during formulation of [[The target described in this column will not be subject to PAF assessment; however member state must provide the details of commitments that fall outside the RISM period to reflect that the RIIP/PAF has a longer term vision for integration in this related area of intervention]] State to institutional structure (government ministry or agencies) and division/ unit/departme nt within the institution that will be responsible for reporting on the indicator to the NIMCC]] **Regional level TMCA Division Draft final Schedule of Commitments submitted to COMESA Secretariat;. (MEMBER STATES TO SUGGEST ADDITIONAL SOURCES OF VERIFICATI ON FROM NATIONAL PERSPECTI VE) Quantitative 1 (i.e., 0.5 for 4 first stage sectors; 0.5 for 3 second stage sectors) 39

40 # Indicator name Required actions (indicator definition and description) Regional Status (2014) National Status (2014) From 2017 onwards Responsible institution Source of Verification Scoring Method Total Score CU relates only to trade in goods, some concomitant liberalization of services, especially in key priority areas, help advance the objectives of a CU. COMESA has identified 4 first-stage (communication, transport, financial services and tourism) and 3 second-stage (energy, professional business, and construction and related engineering services) key priority services to be liberalized. MS are to submit a draft final schedule of intraregional services to be liberalized and a timetable for their liberalization. Schedules of commitments will be reviewed/confirmed by COMESA Secretariat. the RIIP] Comments: 40

41 Indicator # name 12 Provisions of the Protocol on gradual relaxation and eventual elimination of Visa requirements implemented MTSP Priority Area: Priority Area I Removing Barriers to Factor Mobility Thematic Intervention Area: Launch of the COMESA Common Market COMESA Target Indicator: 15 COMESA Fund Member States implement the provisions of the instruments on Gradual relaxation and eventual elimination of visa requirements by 2016 Required actions (indicator definition and description) The Protocol on Gradual relaxation and eventual elimination of visa requirements was approved by Council as a salient step in the establishment of the COMESA Common Market. Member States (MS) are required to ratify the Protocol on Gradual relaxation and eventual elimination of visa requirements, which is currently in force. A MS therefore achieve s this indicator by: i) signing and ratifying the protocol; and ii) implementing key measures of the protocol (namely that the MS shall not require the citizens of other COMESA Member MS holding valid travel documents to obtain visas before travelling to their territory and shall, on reciprocal basis, grant visas to enter into its territory Regional Status (2014) As at end 2014, 13 out of the 15 COMESA Fund countries had ratified the protocol (i.e., all except Mauritius and Seychelles) and were poised to gradually relax and eventually eliminate visa requirements. National Status (2014) Target situation as at target it aimed end-year ] to achieve by Member states end-year ]] to also progress made to reach the 2014 status] Actual describe actual achievement of target; target that will be achieved by end-year)]] describe actual achievement of target; this is only applicable during progress monitoring reporting (PMR), not during formulation of the RIIP]] From 2017 onwards [[The target described in this column will not be subject to PAF assessment; however member state must provide the details of commitments that fall outside the RISM period to reflect that the RIIP/PAF has a longer term vision for integration in this related area of intervention]] Responsible institution State to institutional structure (government ministry or agencies) and division/ unit/departme nt within the institution that will be responsible for reporting on the indicator to the NIMCC]] **Regional level Legal Division Source of Scoring Verification Method Instrument of ratification of the Protocol on Gradual Relaxation; Surveys of foreign (partner State) missions in the COMESA Member States; Immigration surveys; Chiefs of Immigration annual reports. Binary (Yes/No) or Quantitative (as appropriate) 14 Total Score 1 14 For countries that have not signed and ratified, the score will be a combination of two required actions or elements, namely: a) signing and ratification of the protocol (only for MS that have not signed and ratified), which shall assume 50% of the annual compliance performance score; b) implementation of the provisions of the visa protocol (i.e., issuance of visas at the border to all COMESA citizens that hold valid travel documents), which shall assume 50% of the annual compliance performance score. In all other cases, the required action will be only the implementation of the protocol s provisions, which will carry 100% of the score. 41

42 # Indicator name Required actions (indicator definition and description) Regional Status (2014) National Status (2014) From 2017 onwards Responsible institution Source of Verification Scoring Method Total Score upon the presentation of valid travel documents at official entry points of the MS). Comments: 42

43 MTSP Priority Area: Priority Area II Building Productive Capacity for Global Competitiveness Thematic Intervention Area: Common Competition Regulations are adopted (Common Competition Policy) COMESA/EAC Target Indicator: At least 10 Member States adopt COMESA Common Competition Regulation/Law by 2016 Indicator # name 13 COMESA Competition Regulations (CCR) adopted Required actions (indicator definition Regional and description) Status (2014) COMESA As at end Competition 2014, 3 Regulation is binding COMESA on all Member countries had States; achievement domesticated of the indicator the COMESA therefore relates to Competition compliance with the Regulations. Regulation and legally bringing the Regulation into force at Member State level. Domestication has been fully defined below 15. National Status (2014) Target states to target it aimed to situation as at achieve by endyear end-year (2015)]] Member states to also progress made to reach the 2014 status]] Actual states to describe actual achievement of target; target that will be achieved by end-year)]] describe actual achievement of target; this is only applicable during progress monitoring reporting (PMR), not during formulation of the RIIP]] From 2017 onwards [[The target described in this column will not be subject to PAF assessment; however member state must provide the details of commitments that fall outside the RISM period to reflect that the RIIP/PAF has a longer term vision for integration in this related area of intervention]] Responsible institution State to institutional structure (government ministry or agencies) and division/ unit/departmen t within the institution that will be responsible for reporting on the indicator to the NIMCC]] **Regional level CCC Source of Verification National Law or legal instrument (Act of Parliament, Statutory Instrument, Government Gazette Notice of publication or any other legal instrument recognized in the respective Member State) that brings Regulation into force of Law state to customize this field based on appropriate sources of verification that are key for confirming achievement of Scoring Method Yes/No (binary) Total Score 1 15 Competition regulations adopted: Following the legal advice of the Division for Legal and Institutional Affairs, it was noted that the Regulations made under the COMESA Treaty are binding on all Member States by virtue of Article 10 (2) of the Treaty. There is still need for Member States to domesticate the Regulations in order to give them the force of law and the necessary legal effect within the Member States territories. This is meant to ensure that the regional integration agenda and its benefits are brought to the Member States s who constitute the market for COMESA. The Indicator on Competition should therefore be understood as follows: COMESA Competition Regulations domesticated. Member States can be considered to have met the target where there is domestication of the Regulations through the adoption, incorporation, transformation, reference, publication/gazetting or any other means that gives the Regulations the force of law and the necessary legal effect within the Member States territories. The verification of whether a Member State has met the target would then be the production of the related Act of Parliament, Statutory Instrument, Government Gazette Notice of publication or any other legal instrument recognised in the respective Member State, which achieves the said domestication. 43

44 targets]] Comments: 44

45 MTSP Priority Area: Priority Area II Building Productive Capacity for Global Competitiveness Thematic Intervention Area: Foreign Direct Investment, Cross-Border Investment and Domestic Investment COMESA/EAC Target Indicator: At least 7 Member States sign and ratify the CCIA Agreement by 2016 Indicator # name 14 COMESA Common Investment Area Agreement signed and ratified (CCIA) Comments: Required actions (indicator definition and description) Regional Status (2014) The CCIA is envisaged As at end to free up the movement 2014, none of of capital and investors the COMESA across the COMESA countries had regions with a view to signed or attract FDI and ratified the domestic investment to CCIA countries in the region. To achieve the CCIA indicator, MS are expected to sign and ratify the CCIA in accordance with their respective government and/or parliamentary processes. This indicator depends on progress with the regional roadmap for updating the CCIA Agreement 16. National Status (2014) Target NA situation as at end- year Member states to also progress made Actual NA or activities undertaken to reach the 2014 status]] target that will be achieved by end-year)]] describe actual achievement of target; this is only applicable during progress monitoring reporting (PMR), not during formulation of the RIIP]] From 2017 onwards [[The target described in this column will not be subject to PAF assessment; however member state must provide the details of commitments that fall outside the RISM period to reflect that the RIIP/PAF has a longer term vision for integration in this related area of intervention]] Responsible institution State to institutional structure (government ministry or agencies) and division/ unit/department within the institution that will be responsible for reporting on the indicator to the NIMCC]] Source of Verification Signed CCIA Agreement; Ratification document of the CCIA Agreement Scoring Method Quantitative (0.5 for signing and 0.5 for ratification) Total Score 1 MTSP Priority Area: Priority Area II Building Productive Capacity for Global Competitiveness 16 In accordance with 10 th Ministerial Committee of the COMESA Fund decision, Member States will not set targets for this indicator in 2015, pending a regional level solution to the review, update, finalization and signing of the CCIA Agreement. 45

46 # Indicator name 15 Double Taxation Agreements (DTAs) negotiated, signed and ratified among COMESA Member States Thematic Intervention Area: Foreign Direct Investment, Cross-Border Investment and Domestic Investment COMESA/EAC Target Indicator: At least 10 Member States enter into or update existing Double Taxation Agreements by Required actions (indicator definition and description) In order to promote crossborder investment in the region, COMESA has been encouraging the negotiation, signing and ratification of Double Taxation Agreements (DTAs) among Member States. This should preferably be based on the COMESA Double Taxation Model (DTM), which is a tool (not a Protocol) for guiding and facilitating the negotiation of DTAs (or DTA revisions) by COMESA Member States amongst themselves and with 3 rd country partner states, on a bilateral or group basis. DTAs generally attempt to promote cross-border investment by minimizing the incidence of double taxation payments 17. Therefore, to achieve this indicator, a Member State will firstly commit to successfully negotiating at least one DTA or DTA revision/amendment with at least one other Regional Status (2014) As of 2014, 8 (53%) out of the 15 eligible COMESA Fund countries [i.e., Kenya, Mauritius, Rwanda, Sudan, Swaziland, Uganda, Zambia and Zimbabwe] had successfully negotiated a DTA with at least one other COMESA Member State. National Status (2014) Target target it aimed to achieve by end-year ]] situation as at end-year Member also progress made to reach the 2014 status]] Actual describe actual achievement of target; target that will be achieved by end-year)]] describe actual achievement of target; this is only applicable during progress monitoring reporting (PMR), not during formulation of the RIIP]] From 2017 onwards [[The target described in this column will not be subject to PAF assessment; however member state must provide the details of commitments that fall outside the RISM period to reflect that the RIIP/PAF has a longer term vision for integration in this related area of intervention]] Responsible institution State to institutional structure (government ministry or agencies) and division/ unit/department within the institution that will be responsible for reporting on the indicator to the NIMCC]] **Regional level IPPSD Division Source of Verification Signed/ ratified DTAs or signed/ ratified DTA Amendments, as necessary 18. Scoring Method Yes/No (binary) Total Score 1 17 Double taxation arises when governments generally tax the same income and capital gains in both the investing and host economies. This means that the income or capital is taxed twice, once in the territory where it is generated and once in the country where the taxpayer originates from. The DTA can also enable countries to fight the tax evasion and set a platform for mutual assistance among member States for tax collection. 18 Depending on the nature of the DTA, ratification might not be a requirement. The requirement for ratification as a source of verification will therefore be on a case-by-case basis 46

47 # Indicator name Required actions (indicator definition and description) Regional Status (2014) National Status (2014) From 2017 onwards Responsible institution Source of Verification Scoring Method Total Score COMESA Member in a given year and preferably based on the COMESA DTM, will then sign the said agreement(s) including revised agreements. Comments: 47

48 # Indicator name 16 Harmonized Road Transport Charges (HRTC) implemented Comments: MTSP Priority Area: Priority III Addressing supply-side constraints related to infrastructure Thematic Intervention Area: Implementation of Transit Transport Facilitation Instruments COMESA Target Indicator: At least 9 of the eligible Member States implement the COMESA Harmonized Road Transport Charges (HRTC) instrument by 2016 Required actions (indicator definition and description) HRTC are agreed road user charges based on size of vehicle and distance moved. Vehicles are classified in three groups: light, medium and heavy. HRTC is a user charge for the use of pavement (road and shoulders) to replace the multiple individual charges that exist. To achieve the indicator, a Member State domesticates or legislate the HRTC instrument through appropriate legislation processes and on that legal basis implements harmonized charges. Regional Status (2014) As of 2014, 4 (33%) of the 12 eligible COMESA Fund countries had provided confirmed sources of verification of having adopted legal instruments in relation to this indicator. National Status/ Baseline Value (2014) situation as at end-year Member also progress made to reach the 2014 status]] Target target it aimed to achieve by end-year ]] Actual describe actual achievement of target; states to target that will be achieved by end-year)]] states to describe actual achievement of target; this is only applicable during progress monitoring reporting (PMR), not during formulation of the RIIP]] From 2017 onwards [[The target described in this column will not be subject to PAF assessment; however member state must provide the details of commitments that fall outside the RISM period to reflect that the RIIP/PAF has a longer term vision for integration in this related area of intervention]] Responsible institution State to institutional structure (government ministry or agencies) and division/ unit/ department within the institution that will be responsible for reporting on the indicator to the NIMCC]] **Regional level Infrastructure Division Source of Verification National legislation adopting the HRTC; or official guidelines on Transport Charges, as issued by the Roads/ Transport Authorities to implementing agencies Scoring Method Yes/No (binary) Total Score 1 48

49 MTSP Priority Area: Priority III Addressing supply-side constraints related to infrastructure Thematic Intervention Area: Implementation of Transit Transport Facilitation Instruments COMESA Target Indicator: At least 9 of the eligible Member States implement the COMESA Harmonized Axle Load Limits (ALL) by 2016 Indicator # name 17 Harmonized Axle Load Limits (ALL) implemented Required actions (indicator definition and description) The Harmonized Axle Load Limits is an agreed configuration of maximum axle weights 19. The maximum Gross Vehicle Mass (GVM) is 56 tonnes 20. The Overload Certificate is issued to a loaded vehicle by upon weighing by a weighbridge authority and the vehicle needs to produce such certificate on request along its route across Member States. On the basis of the certificate, the authorities should let the vehicle pass without reweighing unless there are doubts in which case they may reweigh the vehicle. To achieve the indicator, a Member State will legislate or domestic the COMESA Regional Status (2014) As of Dec 2014, 8 (67%) of the 12 eligible COMESA Fund countries had provided confirmed sources of verification of having adopted legal instruments in relation to this indicator. National Status (2014) Target situation as at target it end-year aimed Member states achieve by to also end-year]] progress made to reach the 2014 status]] Actual describe actual achievement of target; target that will be achieved by end-year)]] From 2017 onwards [[The target described in this column will not be subject to PAF assessment; however member state must provide the details of commitments that fall outside the RISM period to reflect that the RIIP/PAF has a longer term vision for integration in this related area of intervention]] Responsible institution State to institutional structure (government ministry or agencies) and division/ unit/ department within the institution that will be responsible for reporting on the indicator to the NIMCC]] **Regional level Infrastructure Division Source of Verification National legislation adopting the COMESA Harmonized ALL. Scoring Method Yes/No (binary) Total Score 1 19 Axle Load Limits are as follows: Single Steering axle 8.0 tonnes; Single axle/drive axle 10.0 tonnes; Tandem axle groups 16.0 tonnes; Triple axle group 24.0 tonnes 20 Although the maximum was agreed at 56 tonnes, in some countries, segments of the Regional Road Trunk Networks still need to be upgraded in order to cope with this weight limits. 49

50 instrument as the basis for implementation. Comments: 50

51 MTSP Priority Area: Priority III Addressing supply-side constraints related to infrastructure Thematic Intervention Area: Implementation of Transit Transport Facilitation Instruments COMESA Target Indicator: At least 9 of the eligible Member States implement the COMESA Harmonized Vehicle Dimensions (HVD) by 2016 Indicator # name 18 COMESA Harmonized Vehicle Dimensions (HVD) implemented Comments: Required actions (indicator definition and description) Maximum Vehicle Dimensions specifies the maximum length, height and width of vehicles 21. In some countries, full implementation will be subject to the adjustment of physical infrastructure to accommodate the agreed limits. To achieve the indicator, a Member State will legislate the COMESA instrument as the basis for implementation. The legislation should include compliance by trucks at importation or fabrication at country level. Regional Status (2014) As of Dec 2014, 7 (58%) of the 12 eligible COMESA Fund countries had provided confirmed sources of verification of having adopted legal instruments in relation to this indicator. National Status (2014) Target situation as at target it aimed end-year to achieve by Member states end-year to also (2015)]] progress made to reach the 2014 status]] Actual describe actual achievement of target; states to target that will be achieved by end-year)]] states to describe actual achievement of target; this is only applicable during progress monitoring reporting (PMR), not during formulation of the RIIP]] From 2017 onwards [[The target described in this column will not be subject to PAF assessment; however member state must provide the details of commitments that fall outside the RISM period to reflect that the RIIP/PAF has a longer term vision for integration in this related area of intervention]] Responsible institution State to institutional structure (government ministry or agencies) and division/ unit/department within the institution that will be responsible for reporting on the indicator to the NIMCC]] **Regional level Infrastructure Division Source of Verification National legislation adopting the COMESA HVD Scoring Method Yes/No (binary) Total Score 1 21 Maximum Dimensions of Goods Vehicles: Lengths: Rigid chassis single vehicle trailer = 12.5 m; Articulated vehicle = 17.0 m; Truck and draw bar trailer = 22.0 m; Articulated vehicle with articulated or inter-link trailer = 22.0 m. Width = 2.65 m 51

52 MTSP Priority Area: Priority III Addressing supply-side constraints related to infrastructure Thematic Intervention Area: Implementation of Transit Transport Facilitation Instruments COMESA Target Indicator: At least 8 additional eligible Member States implement the COMESA Carrier License instrument by 2016 Indicator # name 19 COMESA Carrier License (CCL) implemented Required actions (indicator definition and description) The CCL is a license issued by the designated authority in a country to a transporter who is eligible to undertake transit and cross-border transport operations. (The Carrier License includes the Transit Plates). To achieve the indicator, a Member State passes the relevant legislation which adopts the carrier license at level and provides the legal framework for the issuance and (reciprocal) recognition of COMESA carrier licenses. Regional National Status (2014) Status (2014) As of Dec Target 2014, 7 (58%) of the 12 eligible situation as at target it COMESA end-year aimed to Fund Member achieve by countries had also end-year provided (2015)]] confirmed progress sources of made to Actual verification of reach the having 2014 status]] describe adopted legal actual instruments in achievement relation to this of target; indicator. target that will be achieved by end-year)]] describe actual achievement of target; this is only applicable during progress monitoring reporting (PMR), not during formulation of the RIIP]] From 2017 onwards [[The target described in this column will not be subject to PAF assessment; however member state must provide the details of commitments that fall outside the RISM period to reflect that the RIIP/PAF has a longer term vision for integration in this related area of intervention]] Responsible institution State to institutional structure (government ministry or agencies) and division/ unit/departme nt within the institution that will be responsible for reporting on the indicator to the NIMCC]] **Regional level Infrastructur e Division Source of Scoring Verification Method National Yes/No legislation (binary) adopting the CCL Total Score 1 Comments: 52

53 MTSP Priority Area: Priority III Addressing supply-side constraints related to infrastructure Thematic Intervention Area: Implementation of Transit Transport Facilitation Instruments COMESA Target Indicator: All 12 eligible Member States implement the COMESA Yellow Card scheme by 2016 Indicator # name 20 (COMESA) Yellow Card adopted and used where applicable Comments: Required actions (indicator definition and description) This is a region third party motor vehicle insurance cover issued by designated insurers within the region. To achieve the indicator, a Member States will legislate through specific legal instruments, and will implement. Regional Status (2014) As of 2014, 11 of the 12 eligible COMESA Fund countries had provided confirmed sources of verification of having adopted legal instruments in relation to this indicator. National Status (2014) Target situation as at target that it end-2014 aimed to Member states achieve by to also end-year ]] progress made to reach the 2014 status]] Actual describe actual achievement of target; target that will be achieved by end-year ]] describe actual achievement of target; this is only applicable during progress monitoring reporting (PMR), not during formulation of the RIIP]] From 2017 onwards [[The target described in this column will not be subject to PAF assessment; however member state must provide the details of commitments that fall outside the RISM period to reflect that the RIIP/PAF has a longer term vision for integration in this related area of intervention]] Responsible institution State to institutional structure (government ministry or agencies) and division/ unit/department within the institution that will be responsible for reporting on the indicator to the NIMCC]] **Regional level Infrastructure Division Source of Verification i) Technical Management Committees Council of Bureaux reports (iii) National legislation adopting the yellow Card (MEMBER STATES TO SUGGEST ADDITIONAL SOURCES OF VERIFICATION FROM NATIONAL PERSPECTIVE ) Scoring Method Yes/No (binary) ii) Total Score 1 53

54 MTSP Priority Area: Priority III Addressing supply-side constraints related to infrastructure Thematic Intervention Area: Implementation of Air Transport Liberalization by Member States by 2015 COMESA Target Indicator: At least 13 Member States liberalize air transport services by domesticating COMESA Legal Notice No.2 of 1999 as the basis of implementing the provisions of the Legal Notice by 2016 # Indicator name 21 Air transport liberalization in compliance with COMESA legal notice No.2 of Required actions (indicator definition and description) Air transport liberalization is undertaken in accordance with COMESA legal notice No.2 of 1999, which is the legal instrument providing for liberalization of air transport services in accordance with Implementation of the Yamoussoukro Decision (YD) on Air Transport Liberalization. To achieve this indicator in compliance with the legal notice, each Member State will be required to implement the legal notice or its provisions as the basis for granting airspace freedoms (5 th Freedom or better) to COMESA air carriers. Legal Notice No.2 provides that Freedoms will no longer be granted through Bilateral agreements (commonly called BASA), except in cases where Member States to not have legal framework for air transport services and only use policy frameworks (in such cases BASAs will still be permissible). Thus Member States will achieve this indicator either by issuance of a legal instrument or policy domesticating Legal Regional Status (2014) As of 2013, 14 (93%) out of the 15 eligible COMESA Fund countries had liberalized their airspaces and were granting 5 th Freedoms, although this was mainly within BASAs. However, no Member State had domesticated the Legal Notice by National Status (2014) Target NA describe situation as at the target it end-year aimed to Member states achieve by to also end-year (2015)]] progress made to reach the 2014 status]] Actual describe actual achieveme nt of target; From 2017 onwards Responsible institution State to institutional structure (government ministry or agencies) and division/ unit/department within the institution that will be responsible for reporting on the indicator to the NIMCC]] **Regional level Infrastructure Division Source of Verification National legislation or policy domesticating Legal Notice No.2 and analytical reports; remote surveys of COMESA air carriers; OR samples of BASAs with COMESA carriers. Scoring Method Binary (Yes/No) Note: the indicator will be consider ed NA from 2016 onwards and will not be scored Total Score 1 54

55 Notice No.2 22 or through the establishment of BASAs or both Comments: 22 Member States will be considered to have met the target where there is domestication of the Legal Notice through the adoption, incorporation, transformation, reference, publication/gazetting or any other means that gives the Regulations the force of law and the necessary legal effect within the Member States territories. The verification of whether a Member State has met the target would then be the production of the related Act of Parliament, Statutory Instrument, Government Gazette Notice of publication or any other legal instrument recognized in the respective Member State, which achieves the said domestication. 55

56 Annex 2: Submission Form COMESA Adjustment Facility (CAF)/EU Regional Integration Support Mechanism (RISM) RISM Submission Form Regional Integration Implementation (RIIP)/Progress Monitoring Report (PMR) Prepared by Member State: Responsible Ministry: Designation of Authority in Responsible Ministry: Reference no. of Call for Submission (e.g., 3 rd Call): Date of Submission: For economical and ecological reasons, we encourage applications to be sent via Dossier No. (for official COMESA Secretariat use only) 56