This action is funded by the European Union

Transcription

1 EN This action is funded by the European Union ANNEX of the Commission implementing Decision on the support measure in favour of Asia, Central Asia and the Middle East to be financed under the general budget of the European Union Action Document for the support measure in favour of Asia, Central Asia and the Middle East 1. Title/basic act/ CRIS number 2. Zone benefiting from the action/location 3. Programming document Support measure in favour of Asia, Central Asia and the Middle East CRIS numbers: ACA/2017/ , ACA/2018/ , ACA/2019/ financed under Development Cooperation Instrument (DCI) Asia: Afghanistan, Bangladesh, Bhutan, Cambodia, China 1, Democratic People's Republic of Korea (DPRK), India 1, Indonesia 1, Lao People's Democratic Republic, Malaysia 1, the Maldives 1, Mongolia, Myanmar, Nepal, Pakistan, Philippines, Sri Lanka, Thailand 1 and Vietnam. Central Asia: Kazakhstan 1, Kyrgyzstan, Tajikistan, Turkmenistan and Uzbekistan. Middle East: Iraq 1, Iran 1 and Yemen. The action shall be carried out at the following location: countries as listed above. Multiannual Indicative Programmes (MIPs) for the period for Afghanistan 2, Bangladesh 3, Bhutan 4, Cambodia 5, Kyrgyzstan 6, Mongolia 7, Myanmar 8, Nepal 9, Pakistan 10, Philippines 11, Sri Lanka 12, Tajikistan 13, Uzbekistan 14, Vietnam 15, Regional Asia 16, Regional Only benefiting in the context of the Regional projects/actions. C(2014) 7413 of C(2014) 5718 of C(2014) 5742 of C(2014) 9526 of C(2014) 5748 of C(2014) 5747 of C(2014) 9135 of C(2014) 5776 of C(2014) 5599 of C(2014) 5976 of C(2014) 5655 of C(2014) 5667 of C(2014) 7507 of

2 4. Sector of concentration/ thematic area 5. Amounts concerned 6. Aid modality(ies) and implementation modality(ies) Central Asia 17 ; MIPs for Iraq 18 and Turkmenistan 19 ; Joint programming for Lao People's Democratic Republic 20. Support Measures Total estimated cost: EUR 33,160,000 DEV. Aid: NO Total amount of EU budget contribution EUR 33,160,000 The contribution is for an amount of EUR 10,060,000 from the general budget of the European Union for 2017; for an amount of EUR 13,610,000 from the general budget of the European Union for 2018; for an amount of EUR 9,490,000 from the general budget of the European Union for 2019, subject to the availability of appropriations following the adoption of the respective draft budgets and the respective budgets. Project Modality Direct management: procurement of services 7 a) DAC code(s) Multi-sector aid b) Main Delivery Channel 8. Markers (from CRIS DAC form) 9. Global Public Goods and OTHER General policy objective Not targeted Significant objective Main objective Participation development/good governance Aid to environment Gender equality (including Women In Development) Trade Development Reproductive, Maternal, New born and child health RIO Convention markers Not targeted Significant objective Main objective Biological diversity Combat desertification Climate change mitigation Climate change adaptation Not applicable C(2014) 5824 of C(2014) 6112 of and C(2014) 9382 of C(2014) 5653 of C(2014) 5777 of C(2014) 7509 of C(2016) 3802 of

3 Challenges (GPGC) thematic flagships SUMMARY The support measure in favour of Asia, Central Asia and the Middle East is a flexible instrument giving the European Commission the possibility to finance small-scale activities that are needed for the achievement of the objectives of the Development and Cooperation Instrument (DCI) Regulation 21, including its operational and policy priorities. 1 CONTEXT 1.1 Country/Regional context Asia Home to more than half of the world s population, Asia is characterised by a high diversity in terms of political, economic, social, security and environmental systems. Asia has surpassed North America by becoming Europe s main trading partner. Even in the wake of the global economic crisis, Asian economies have been growing on average at 7% or more. Fast economic growth has resulted in a sharp decline of poverty over the years. However extreme poverty remains over 20% in several economies, especially in South Asia, but also in Myanmar and Lao People's Democratic Republic. Despite overall impressive performance, poverty reduction and the achievement of sustainable and inclusive growth remain considerable challenges. At the same time the environment is under growing pressure as a result of population growth, economic development, urbanisation, land and soil degradation, deforestation, water scarcity, air pollution and climate change. South-East Asia, in particular, is a biodiversity hotspot including about 20% of global plant, animal and marine species, making the current threat against the biological resources in the area all the more important. Around one third of the world s coral reefs and a large part of the mangrove forests are South-East Asia. Asia emits now more than 30% of worldwide greenhouse gases which on the basis of current trends would reach over 40% in In the recent past, the degradation and burning of peat soils in South- East Asia represented 6-7% of global fossil fuel emissions. Asia also has the largest incidence of natural disasters worldwide. The anticipated effects of climate change imply a serious risk for future development in Asia. Central Asia There is an ongoing political dialogue and cooperation between the EU and Central Asia at both regional and national levels. The region is characterised by unequal development and significant diversity in terms of political, economic and social systems. Poverty reduction and sustainable and inclusive growth remain considerable challenges for this part of the world. 21 Regulation (EU) No 233/2014 of the European Parliament and of the Council of 11 March 2014 establishing a financing instrument for development cooperation for the period (JO L 77, p. 44) 3

4 Moreover, Central Asia is environmentally at risk and vulnerable to the adverse impact of climate change. EU development cooperation focuses on key areas for the social and economic development and policy reforms of the Central Asia countries and supports dialogue and cooperation for the common threats and challenges of the region. Middle East Nowadays, the Middle East region is particularly turbulent: Islamic extremism, political turnover, faltering oil prices and age-old sectarian tensions are contributing in different ways to the tumult. In Iraq, since the June 2014 takeover of territory by Da'esh, the humanitarian, political and economic situation has largely deteriorated. Across Iraq, 3.4 million people are internally displaced and more than 10 million people are in need of lifesaving assistance. The government announced a programme of reforms to address reconciliation, corruption, nepotism and the lack of social service delivery. However, this set of reforms has made little progress. The economic situation is precarious due to the security and humanitarian challenges combined with a decline in oil prices. Yemen is facing an unprecedented political, humanitarian and development crisis. Half of the 26.8 million population is below the poverty line and 8 million people were already receiving humanitarian assistance before the conflict. Yemen is the poorest country in the region. The full-blown civil war that erupted in March 2015 has resulted in an estimated 21.2 million people (more than 80% of the population) in need of humanitarian assistance. The conflict has caused damages to or destruction of health facilities, schools, factories, micro, small and medium enterprises, local authorities office buildings and houses. On Iran, part of the Commission's approach towards the country is to build trust with the authorities. This could translate into a balanced mix of instruments in order to potentially strengthen or explore cooperation and projects in various areas (inter alia: private sector, education, drug trafficking) Public Policy Assessment and EU Policy Framework Based on the Common rules and procedures for the implementation of the Union's instruments for external action (CIR) 22, in particular Article 3 on Support measures, the support measure in favour of Asia, Central Asia and the Middle East provides funding to cover expenditure for the implementation of the DCI and for the achievement of its objectives 23, including inter alia administrative support associated with the preparation, follow-up, monitoring, audit and evaluation activities directly necessary for such implementation, as well as expenditure at EU delegations on the administrative support needed to manage operations financed under the Instrument. The countries' and regional MIPs recognise the support measures as one of their key tools to cover expenditures associated with the activities necessary for the Regulation (EU) No 236/2014 of the European Parliament and of the Council of 11 March 2014 laying down common rules and procedures for the implementation of the Union's instruments for financing external action. (JO L 77, p. 95) See Article 2 of Regulation (EU) No 233/

5 implementation of the indicative programmes, the organisation of meetings, working groups and related conferences as well as pilot activities in new areas of cooperation Stakeholder analysis The main stakeholders are the following DCI countries: Afghanistan, Bangladesh, Bhutan, Cambodia, China, Democratic People's Republic of Korea (DPRK), India, Indonesia, Iraq, Iran, Kazakhstan, Kyrgyzstan, Lao People's Democratic Republic, Malaysia, the Maldives, Mongolia, Myanmar, Nepal, Pakistan, Philippines, Sri Lanka, Tajikistan, Thailand, Turkmenistan, Uzbekistan, Vietnam and Yemen. If relevant, other partner countries not eligible under the Asia/Central Asia/Middle East region shall be associated to the activities foreseen by this action, in accordance with Article 16 of Regulation (EU) No 233/2014. The action is designed to support preparation, monitoring and follow-up of the EU cooperation programmes by the EU Delegations in the above mentioned countries and by the Commission Headquarters. The end beneficiaries are citizens in the partner countries, as projects will be better prepared, monitored and followed-up Priority areas for support/problem analysis The EU Delegations and the Commission services can use the support measure in favour of Asia, Central Asia and the Middle East to fund activities for the project cycle management such as preparation, monitoring and follow-up of programmes, for information and communication purposes and organisation of meetings related to DCI and other EU funded/supported programmes and activities. 2 RISKS AND ASSUMPTIONS Risks Risk level (H/M/L) N/A N/A N/A Assumptions Mitigating measures Given the experience from similar support measures since , it is assumed that there is a genuine need for this instrument that allows Commission Headquarters and Delegations to plan cooperation related activities in a flexible way. Due the specificity of this measure there are no major risks and assumptions. However a fully successful implementation will depend on: Willingness of the partner countries to continuing the process of improvement of their institutions; Keeping and improvement of the political, social and economic stability; Good use of this instrument by EU Delegations and Headquarters, which shall maintain the leading role in preparation and implementation of cooperation 24 C(2006) 5407 of , C(2006) 5555 of , C(2007) 2507 of , C(2007) 6486 of , C(2008) 2977 of , C(2008) 5933 of , C(2009) 2033 of , C(2009)5957 of , C(2010) 3926 of , C(2010) 6047 of , C(2010) 7241 of , C(2011) 5486 of , C(2012) 2717 of , C(2013) 2988 of , C(2013) 4075 of , C(2014) 5598 of , C(2014) 9161 of , C(2014) 9773 of

6 programmes and policy dialogue with the countries' governments; Provision of assistance to the Delegations interested in the tool; Good EU internal co-ordination; Good management of the various contracts; High quality of experts supplied; Full involvement and support of beneficiary countries and related stakeholders in the implementation of the activities. 3 LESSONS LEARNT, COMPLEMENTARITY AND CROSS-CUTTING ISSUES 3.1 Lessons learnt Experience has shown that the resources made available to run activities of shortterm technical assistance are vital to adequately prepare, implement, monitor, and evaluate bilateral and regional projects and programmes. In this way the support measures improve significantly the quality and efficiency levels of project identification, management and control, enabling the achievement of project and programme objectives and increasing the results and impact of EU assistance. To achieve similar objectives over the past years, the European Commission adopted several support measures which covered short term technical assistance 25. The resources made available under these decisions have been used to provide operational short-term technical assistance related to the financial and technical cooperation with developing countries in Asia, Central Asia and the Middle East. The large majority of these interventions concerned diagnostic and formulation missions, the preparation of studies (including environment country profiles) and finally activities of technical assistance of various nature (trainings, preparation of action plans, etc.). Activities financed through these facilities were essentially related to the identification and the formulation of projects and/or programmes included in the different multi-annual indicative programmes. 3.2 Complementarity, synergy and donor coordination The action aims at supporting the cooperation programmes in Asia, Central Asia and the Middle East, ensuring their proper execution in line with the Country Strategy Papers (CSP) and Multiannual Indicative Programmes (MIP) planning and commitments. The administrative technical assistance (ATA) budget complements the operational short-term technical assistance budget, as it also funds technical assistance but in the interest of the Commission. In the preparation of new actions, the other donors' activities will be assessed and possible synergies for joint co-operation will be explored. 25 See previous footnote. 6

7 3.3 Cross-cutting issues The European Commission recognises in full the importance of considering crosscutting issues (i.e. gender equality, environmental sustainability, good governance and human rights, conflict prevention, migration, security, climate change, etc.) during the design, formulation and implementation of projects. Cross-cutting issues as such are not directly built into the support measure. They are nevertheless built into the EU funded projects and other activities that this instrument supports. 4 DESCRIPTION OF THE ACTION 4.1 Objectives/results This measure is relevant for the Agenda It contributes primarily to the design and preparation and follow-up of programmes that aim at the progressive achievement of the SDG 26 's targets and goals, even though this does not imply a commitment by the countries benefiting from this action. The objective of this short-term technical assistance is to ensure a swift preparation of actions and projects in the DCI countries in Asia, Central Asia and the Middle East. It also enables the European Commission to act with flexibility by means of an instrument which is capable of adapting itself to evolving circumstances and/or dealing with unforeseen situations. The expected results are: 1: Improved policy dialogue and mutual cooperation on key policy issues relevant to the EU-partner countries strategic priorities. 2: Improved expertise in various areas provided to Asian, Central Asian and Middle Eastern countries. 3: Enhanced ownership among beneficiaries and therefore improved sustainability of the programmes and projects. 4: Reinforce preparation, implementation and monitoring of projects financed by the EU. The specific nature, content, objectives and expected results of each assignment will also be defined on a country by country level and on a case by case basis. 4.2 Main activities The short-term technical assistance will be used as a framework for financing activities in the following fields: (1) Support for programme/project cycle management: (a) Identification and formulation of bilateral and regional projects which may result in funding from DCI (e.g. sectorial/thematic studies, country or region studies, studies on cross-cutting issues or specific cooperation areas, preparatory activities, etc.); 26 Sustainable Development Goals. 7

8 (b) technical assistance expenditures, to back up major bilateral and regional projects during their implementation; (c) feasibility studies, preparation and exchange of lessons learnt and best practices; (d) audit, monitoring, evaluation and impact assessment of projects for which financing of such activities is not included or not sufficiently. (2) Studies and information activities: (a) information: publications, communication and awareness-raising activities, including the development of communication strategies and corporate communication to promote and enhance the visibility of EU's activities and political priorities in the region; (b) studies: inter alia research and studies on relevant issues, data collection and processing and the dissemination thereof. (3) Organisation of meetings and training activities: (a) organisation of different kinds of meetings in the framework of the DCI Asia/Central Asia/Middle East region, including seminars, workshops, working groups, civil fora, sectorial preparatory meetings, etc.; (b) training activities. If relevant, other partner countries not eligible under the Asia/Central Asia/Middle East region shall be associated to the activities foreseen by this action, in accordance with Article 16 of Regulation (EU) No 233/ Intervention logic The utilisation of the support measure funds by the EU Delegations in the DCI- Asia/Central Asia/Middle East countries mentioned above as well as Commission services depends on needs arising in the programme/project cycle management, follow-up and monitoring needs, information and communication activities and organisation of meetings and training activities arising throughout the year. Each beneficiary Delegation and Commission service makes its initial annual plan for using the support measure funds in the beginning of each year at the latest, and the plan is updated throughout the year when need occurs. 5 IMPLEMENTATION 5.1 Financing agreement In order to implement this action, it is not foreseen to conclude a financing agreement with the partner countries, referred to in Article 184(2)(b) of Regulation (EU, Euratom) No 966/ Indicative implementation period The indicative operational implementation period of this action, during which the activities described in section 4.2 will be carried out and the corresponding contracts and agreements implemented, is as follows: For actions financed under budget months from the date of adoption by the Commission of this Action 8

9 Document For actions financed under budget 2018 For actions financed under budget months from the date of adoption by the Commission of this Action Document 60 months from the date of adoption by the Commission of this Action Document Extensions of the implementation period may be agreed by the Commission s authorising officer responsible by amending this decision and the relevant contracts and agreements; such amendments to this decision constitute technical amendments in the sense of point (i) of Article 2(3)(c) of Regulation (EU) No 236/ Implementation modalities The programme will be implemented through direct management, using procurement contracts. This support measure is also meant to react with flexibility to evolving circumstances and unforeseen situations. Therefore, the amounts allocated per country and the number of contracts is provisional and indicative. Figures are based on previous years experience Procurement (direct management) Subject Type Indicative number of contracts Indicative trimester of launch of the procedure Ensure preparation of actions and projects Services, supplies 350 Between first trimester 2017 and 2nd trimester Scope of geographical eligibility for procurements The geographical eligibility in terms of place of establishment for participating in procurement and in terms of origin of supplies purchased as established in the basic act and set out in the relevant contractual documents shall apply, subject to the following provisions. The Commission s authorising officer responsible may extend the geographical eligibility in accordance with Article 9(2)(b) of Regulation (EU) No 236/2014 on the basis of urgency or of unavailability of products and services in the markets of the countries concerned, or in other duly substantiated cases where the eligibility rules would make the realisation of this action impossible or exceedingly difficult. 9

10 5.5 Indicative budget Module Procurement EU Contribution (Amount in EUR million) Total Indicative third party contribution, in currency identified Budget line Bangladesh N.A. 2. Bhutan N.A. 3. Cambodia N.A. 4. Lao PDR N.A. 5. Mongolia N.A. 6. Myanmar N.A. 7. Nepal N.A. 8. Pakistan N.A. 9. Philippines N.A. 10. Sri Lanka N.A. 11. Vietnam N.A. 12. Regional Asia N.A. Budget line Kyrgyzstan N.A. 2. Tajikistan N.A. 3. Turkmenistan N.A. 4. Uzbekistan N.A. 5. Regional Central Asia N.A. Budget line Middle East N.A. Budget line Afghanistan N.A. Totals N.A. 10

11 5.6 Organisational set-up and responsibilities The EU Delegations and Commission services benefiting from this support measure will prepare after the approval of this Commission Decision an initial plan for the utilisation of the funds and they are responsible for their contracting. These activities will be identified on a country by country basis by the EU Delegations and/or by the Commission Headquarters in consultation with the EU Delegations in the region. Detailed terms of reference will be prepared and attached to each activity. 5.7 Performance monitoring and reporting The activities funded under this operation will be monitored by the European Commission services. Key indicators for measuring the performance of this operation will be: Short-term technical assistance activities delivered; Study and reports submitted; Identification and formulation missions funded; Meetings, specific events and trainings carried out; Communication, dissemination and publication activities delivered. Key indicators for measuring the performance of this operation will be derived from the Contractor Assessment Form to be completed at the end of the assignments covering performance of the contractor, performance of experts and overall performance. 5.8 Evaluation 5.9 Audit The Commission may, during implementation, decide to undertake an evaluation of this action or its components for duly justified reasons either on its own decision or on the initiative of the partner. Where relevant, evaluation reports shall be shared with the partner countries and other key stakeholders. The implementing partner and the Commission shall analyse the conclusions and recommendations of the evaluations and, where appropriate, in agreement with the partner country, jointly decide on the follow-up actions to be taken and any adjustments necessary, including, if indicated, the reorientation of the action. The financing of the evaluation shall be covered by another measure constituting a financing decision. Without prejudice to the obligations applicable to contracts concluded for the implementation of this action, the Commission may, on the basis of a risk assessment, contract independent audits or expenditure verification assignments for one or several contracts or agreements. 11

12 5.10 Communication and visibility Communication and visibility of the EU is a legal obligation for all external actions funded by the EU. This action may finance communication and visibility measures which shall be based on a specific Communication and Visibility Plan of the Action, to be elaborated at the start of implementation and supported with the budget indicated in section 5.5 above. In terms of legal obligations on communication and visibility, the measures shall be implemented by the Commission, the partner country, contractors and/or entrusted entities. Appropriate contractual obligations shall be included in, respectively, the financing agreement, procurement contracts, and delegation agreements. The Communication and Visibility Manual for European Union External Action 27 shall be used to establish the Communication and Visibility Plan of the Action and the appropriate contractual obligations. 6 PRE-CONDITIONS N/A

13 Programme purpose Overall objective APPENDIX - INDICATIVE LOGFRAME MATRIX (FOR PROJECT MODALITY) 28 The activities, the expected outputs and all the indicators, targets and baselines included in the logframe matrix are indicative and may be updated during the implementation of the action, no amendment being required to the financing decision. When it is not possible to determine the outputs of an action at formulation stage, intermediary outcomes should be presented and the outputs defined during inception of the overall programme and its components. The indicative logframe matrix will evolve during the lifetime of the action: new lines will be added for including the activities as well as new columns for intermediary targets (milestones) for the output and outcome indicators whenever it is relevant for monitoring and reporting purposes. Note also that indicators should be disaggregated by sex whenever relevant. Results chain Indicators Sources and means of verification Assumptions To ensure a swift preparation of actions and projects, while enabling the European Commission to act with flexibility by means of an instrument capable of adapting itself to evolving circumstances and/or dealing with unforeseen situations. To provide: Socio-economic and political 1) Support for programme/project stability of the partner countries. cycle management: CRIS (a) identification and formulation Quality of the political dialogue of bilateral and regional projects Budget execution and amount of with partner governments. which may result in funding from RAC (Reste à contracter). DCI (e.g. sectorial/thematic Quality of the dialogue with citizens studies, country or region studies, External Assistance Management and non-governmental studies on cross-cutting issues or Reports (EAMR) as well as other organisations. specific cooperation areas, Commitments rate of available yearly reports at HQ level. preparatory activities, etc.); budget to finance programmes Quality of the past support (b) technical assistance through the DCI in the Asia/Central Mid-term evaluations of the provided to partner countries. expenditures, to back up major Asia/Middle East region. programming documents. bilateral and regional projects Relevance of the activities in the during their implementation; socio-economic and political (c) feasibility studies, preparation context of the partner countries. and exchange of lessons learnt 28 Mark indicators aligned with the relevant programming document mark with '*' and indicators aligned to the EU Results Framework with '**'. 13

14 Expected results and best practices; (d) audit, monitoring, evaluation and impact assessment of projects for which financing of such activities could not be foreseen due to the N+1 rule or is no longer available. 2) Studies and information activities: (a) information: publications, communication and awarenessraising activities, including the development of communication strategies and corporate communication to promote and enhance the visibility of EU's activities and political priorities in the region; (b) studies: inter alia research and studies on relevant issues, data collection and processing and the dissemination thereof. 3) Organisation of meetings and training activities (a) organisation of different kinds of meetings in the framework of the DCI Asia/Central Asia/Middle East region, including seminars, workshops, working groups, civil fora, sectorial preparatory meetings, etc.; (b) training activities. Projects funded from DCI Asia/Central Asia/Middle East (e.g. sector studies, country or region studies, studies on horizontal and cross-cutting issues or in specialised areas, preparatory activities, etc.) identified and Knowledge of the EU and of its development and cooperation policies programmes in particular in partner countries (institutions, organisations, citizens, etc.). Number of identification and feasibility studies. Number of projects identified and prepared in cooperation with institutions and organisations in the partner countries. Number of publications sold and visits to EU Delegations websites. Participation of partner countries institutions, organisations and citizens in events organised by the EU Delegations. Feedback from participants in meetings and training activities. CRIS Budget execution and amount of RAC (Reste à contracter). External Assistance Management Reports (EAMR) as well as other Socio-economic and political stability of the partner countries. Good quality of dialogue and cooperation between Delegations and counterparts in partner countries. 14

15 formulated. Technical assistance expenditures to back up major projects during their implementation are provided. Feasibility studies are carried out and lessons learnt and best practices are exchanged. Audits, evaluations and impact assessment of projects for which financing of such activities could not be foreseen due to the N+1 rule, or is no longer available funded. Design and formulation of good quality programmes within the set deadlines. Number of studies, audits and evaluations carried out and that cannot be financed with the allocated budget of the programmes. Number of publications Number of events promoting visibility of the EU. yearly reports at HQ level. Delay for the approval and comments by HQ on the action documents going through quality review. Minutes of the meetings with the counterparts on the implementation of the programmes. Programmes implementation reports. Result-oriented monitoring (ROM) reports. Good quality of terms of reference and work of experts in charge of the studies and of the technical assistance. Capacity and willingness of a constructive and substantial participation of the counterparts in dialogues, meetings, events, training, etc. Information and communication activities to (i) raise awareness and visibility of the EU and its development policies; (ii) to enhance the visibility of EU-funded activities; and (iii) to improve the understanding of EU cooperation policies in the Asia/Central Asia/Middle East region implemented. Number of meetings, workshops, seminars, conferences, etc. organised and number of participants. Number of trainings and number of participants. Programmes evaluation reports. Feedback from participants in meetings and training activities. Organisation of meetings and training activities, thematic workshops and working groups, civil fora, sectorial preparatory meetings, etc. 15