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

2. The Instrument for
Pre-accession Assistance (IPA II)
C'est Quoi Ça?

3. Regulatory architecture
IPA II architecture
Legal basis
Implementing acts
11 March 2014
2 May 2014
September 2014
December 2014 ✓
adoption
Regulations
Planning & programming
MULTI-COUNTRY PROGRAMMES
COMMON IMPLEMENTING REGULATION
IPA II REGULATION
IPA II IMPLEMENTING REGULATION
MULTI-COUNTRY STRATEGY
COUNTRY PROGRAMMES
COUNTRY STRATEGIES
Regulatory architecture
Framework
Agreements
Financing
Agreements

4. Regulatory architecture
IPA II regulation
A new framework for pre-accession assistance under the multi-annual financial framework
IPA II REG
… building on IPA I
similar general policy objective, specific objectives and policy areas
… but with a more strategic approach
accession as the overriding objective
assistance available irrespective of the status (candidate and potential candidates)
comprehensive country strategies
focus on reforms in key sectors
result/performance-oriented assistance
Regulatory architecture

5. Regulatory architecture
Common implementing regulation
Regulatory architecture

6. Regulatory architecture
Common implementing regulation (cont.)
A set of simplified and harmonised implementing rules and procedures applicable to all external action instruments
CIR
… particularly relevant for programming
forms and types of programmes/measures
rules for comitology
… and implementation
financing methods/types
protection of the financial interests of the Union
evaluation, reporting by the Commission …
Regulatory architecture

7. Regulatory architecture
IPA II implementing regulation
Completes the legal framework for IPA II by introducing specific rules establishing uniform conditions for implementing the IPA II Regulation (ref. Art.12 IPA II REG)
IPA II IR
Regulatory architecture
… focusing on implementation
indirect management by IPA II beneficiaries, incl. financial management, control, monitoring, evaluation, communication…
… and on specific types of programmes
cross-border cooperation programmes
rural development programmes

8. Regulatory architecture
Other relevant regulations
Example text
Main point of reference for the principles and procedures governing the establishment and implementation of the EU budget and the control of the European Union’s finances
Financial Regulation (No 966/2012) and its Rules of Application (No 1268/2012)
Cross-references re. provisions on CBC with Member States and participation of IPA II beneficiaries in transnational and interregional cooperation (ref. Art. 9.2 IPA II Reg.)
European Regional Development Fund (No 1301/2013) and European Territorial Cooperation Regulation (No 1299/2013)
Erasmus+
(No 1288/2013)
Contribution of external action instruments to the international dimension of Erasmus+ (ref. Art IPA II Reg.)
Regulatory architecture

9. SESSION 1
The regulatory framework –
scope of assistance

10. Scope of assistance Beneficiaries IPA II REG ANNEX I
Bosnia and Herzegovina 1
Serbia 2
Montenegro 3
Scope of assistance
Kosovo (*) 4
Albania 5
the former Yugoslav Republic of Macedonia 6
Turkey 7
Iceland 8
(*) This designation is without prejudice to positions on status, and is in line with UNSCR 1244/99 and the ICJ Opinion on the Kosovo declaration of independence

11. Objectives of assistance
IPA II REG.
art. 1
General objective
To support the beneficiaries in adopting and implementing the political, institutional, legal, administrative, social and economic reforms required in order to comply with the Union's values and to progressively align to the Union's rules, standards, policies and practices, with a view to Union membership
Scope of assistance
Specific objective
support for political reforms … 1
Specific objective
support for economic, social and territorial development, with a view to smart, sustainable and inclusive growth … 2
Specific objective
strengthening the ability of beneficiaries to fulfil the obligations stemming from membership and alignment to the EU acquis … 3
Specific objective
strengthening regional integration and territorial cooperation … 4
IPA II REG.
art. 2(1)

12. Scope of assistance Policy areas IPA II REG. art. 3
Socio-economic and regional development
Policy area 1
Reforms in preparation for Union membership and related institution- and capacity building
Policy area 3
Employment, social policies, education, promotion of gender equality, and human resources development
Scope of assistance
IPA II REG. art. 3
Policy area 4
Agriculture and rural development
policy area 5
Regional and territorial cooperation

13. Framework of assistance
IPA II REG
art. 4
Framework of assistance
Coherent with the ENLARGEMENT AGENDA, i.e.
with the enlargement policy framework defined by the European Council and the Council
with the relevant resolutions on enlargement of the European Parliament
with the Commission's Enlargement Strategy (Progress Reports)
Targeted and differentiated in SCOPE and INTENSITY, i.e
according to the efforts and commitment of the IPA II beneficiaries to reforms
according to the specific situation, needs and capacities of the IPA II beneficiaries
Scope of assistance

14. Thematic priorities (general)
complying with the principle of good public administration and economic governance
improving private sector environment and competitiveness of enterprises
promoting proper functioning of the institutions necessary for securing the rule of law
strengthening research, technological development and innovation
strengthening the capacities of civil society organisations and social partners' organisations
contributing to security and safety of food supply
Scope of assistance
investing in education, skills and lifelong learning
increasing ability of the agri-food sector to cope with competitive pressure and market forces
fostering of employment and supporting labour mobility
protecting and improving the quality of the environment
promoting social inclusion and combating poverty
promoting reconciliation, peace-building and
confidence-building measures
promoting sustainable transport and removing bottlenecks in key network infrastructures
IPA II REG. ANNEX II

15. Thematic priorities (territorial cooperation)
promoting employment, labour mobility and social and cultural inclusion across the border
investing in youth, education and skills
protecting the environment, promoting climate change adaptation and mitigation, risk prevention and management
promoting local and regional governance
Scope of assistance
promoting sustainable transport
enhancing competitiveness, business environment
encouraging tourism and cultural and natural heritage
strengthening research, technological development, innovation and ICT
IPAI II REG. ANNEX III

16. Scope of assistance Financial envelope
IPA II REG
art. 15
IPA II 2014–2020 (EUR millions) MFF data, Sept.2013
IPA 2007–2013 (EUR millions)
2014
2015
2016
2017
2018
2019
2020
1573.8
1605.2
1637.4
1670.1
1703.5
1737.6
1771.1
Total amount for IPA II
Scope of assistance

17. The regulatory framework –
relevance for programming

18. Relevance for programming
High level programming
art. 6
IPA II REG
CIR
art. 2
Assistance is provided on the basis of indicative strategy papers
including priorities for action per country towards meeting the objectives in the relevant policy areas
… indicative allocation of Union funds per policy area broken down per year
… and indicators to be used to measure progress
… prepared for 7 years
subject to annual assessment
… and to a mid-term review
Relevance for programming

19. Relevance for programming
Forms and types of programmes
art. 7 art. 9
IPA II REG
IPA II IR
art. 6 art. 31, 34, 49 art. 55
CIR
art. 2-3 art. 6
Action programmes (= standard forms of IPA II programmes)
country or multi-country
territorial cooperation (incl. CBC)
rural development (DG AGRI)
 annual or multi-annual (up to 3 years for recurrent actions / up to 7 years for multi-annual programmes with split commitments)
Individual / special measures
outside the action programme framework (e.g. single action) / in unforeseen and duly justified cases
Support measures
preparation, monitoring, evaluation, audit, information …
Relevance for programming

20. Relevance for programming
Programme content
art. 2(3)
IPA II REG
IPA II IR
art. 6(1)
CIR
art. 2(1)
Financing Decisions adopting action programmes or measures must be in line with the requirements of the Financial Regulation (Cf. Art. 84(3) FR and Art. 94 RAP)
objective, expected results, method of implementation, description of the actions, amounts, timetable …
… with the requirements of the CiR
associated support measures, performance monitoring arrangements …
… and the requirements of the IPA II Reg.
relevant performance indicators …
Relevance for programming

21. Relevance for programming
Sector approach
art. 4(2)
IPA II REG
CIR
art. 4(8)
A key cross-cutting principle and a strategic target
implementation of sector reforms on the basis of comprehensive sector policies and strategies
… taking the form of sector policy support programmes
Relevance for programming

22. Relevance for programming
Ownership and stakeholder involvement
art. 5(6)
IPA II REG
IPA II IR
art. 4(2) art. 8
CIR
art. 15
NIPAC
main counterpart of the Commission for the overall process of strategic planning, coordination of programming (but also implementation )
Civil society and other stakeholders
consultation with relevant stakeholders, incl. CSOs and local authorities
enhanced support to civil society in general
coordination among stakeholders encouraged
Relevance for programming

23. Relevance for programming
Donor coordination
art. 5
IPA II REG
Coordination with the donor community (in particular in the early stages of programming)
i.e. Member States, International Financial Institutions (IFIs), incl. EIB, UN organisations …
via regular consultations and inclusive meetings, especially at field level …
… in order to ensure coherence and complementarity of financial assistance + avoid duplication and double-funding
Relevance for programming

24. Relevance for programming
Committee
art. 13
IPA II REG
CIR
art. 16(3)
One single IPA II Committee for ALL policy areas taking over from the "IPA I" Committee
programmes managed by DG Enlargement and other DGs are submitted to the same committee
amendments to ALL programmes adopted under IPA I are submitted to the IPA II Committee
… whose opinion is not always required
Relevance for programming
Thresholds
Opinion?
Action Programme
YES
Individual Measure > EUR 5 million
Individual Measure < EUR 5 million NO
Support or Special Measure > EUR 10 million
Support or Special Measure < EUR 10 million

25. The programme architecture

26. Prorgamme architecture
Basic concepts
Prorgamme architecture

27. Prorgamme architecture
Basic concepts (cont.)
Prorgamme architecture

28. OPTION 1 Fully-fledged Sector Support OPTION 2 Sector Support oriented
Sector Support Action
Stand-alone Action
OPTION 1 Fully-fledged Sector Support
OPTION 2 Sector Support oriented
OPTION 3
Options for actions
Prorgamme architecture
An Action supporting a national Sector Programme (or part of it) owned by the Beneficiary and which fulfils the five key Sector Approach criteria.
An Action supporting a Sector which is not fulfilling all the conditions for the Sector Approach and based on a multi-annual Sector Planning Document specifically prepared in the context of IPA II.
An Action for which the Sector Approach is not appropriate or necessary or a horizontal / ad hoc Action.

29. OPTION 1 Fully-fledged Sector Support OPTION 2 Sector Support oriented
Sector Support Action
Stand-alone Action
OPTION 1 Fully-fledged Sector Support
OPTION 2 Sector Support oriented
OPTION 3
Options for actions (cont.)
Prorgamme architecture
Beneficiary-owned Sector Programme
(IPA specific) Sector Planning Document (*)
No underlying sector document
Action Document
Action Document (**)
Action Document
ACTION PROGRAMME
ACTION PROGRAMME
ACTION PROGRAMME
(*) Sector Planning Document: Part I = Sector Profile – Part II = Sector Support
(**) To be substituted with a Sector Operational Document in the case of a multi-annual programme with split commitments

30. Documents – Overview Final programme documents:
Commission implementing Decision – CiD (= Financing Decision)
Action Programme (= Financing Proposal under "IPA I")
Underlying programme documents:
Sector Planning Document (= combination of former SIF/SF)
Action Document (= former Project/Sector Fiche)
Sector Operational Document (= former Component III/IV)

31. Documents – Overview (cont.)
Programme documents

32. Documents – Overview (cont.)
Programme documents

33. The Sector Planning Document
A working and planning tool (i.e.NOT annexed to Decision!)
IPA II specific …
prepared by IPA II beneficiaries in collaboration with EU Delegations …
showing the sequence of actions with a multi-annual perspective …
updated as appropriate
… and NOT another national sector strategy:
Programme documents

34. Programme documents The Action Document A concise document:
only key elements included (NO ToRs!)
overall budget only (i.e. no details on procurement in particular!)
useful additional details as annexes only …
… more focused on the intervention logic:
logical framework AT THE CENTRE, and not as an annex!
more details on performance measurement (i.e. indicators) …
… more communication-oriented:
short summary on cover page
remember: wider circulation to external audiences + ELARG website! …
… NOT annexed to the Decision!
Programme documents

35. The Sector Operational Document
For multi-annual programmes with split commitments (indirect management by an IPA II beneficiary):
covering one or more sectors
in 2014, ONLY FOR the former Yugoslav Republic of Macedonia and Turkey!
…along the lines of programmes supported under IPA I Components III and IV
for "regional development" types: MAJOR and MINOR projects
… with specific 'underlying' approval procedures
… according to thresholds
… prepared for the entire programme period and used as reference (i.e. NOT annexed to Decision!)
Programme documents

36. The Action Programme … and the Decision
is prepared by the Commission on the basis of the Action Documents (is made up of several Actions)
is submitted for opinion to the IPA II Committee (i.e. Member States)
describes general background, nature, scope, objectives and implementation arrangements for the planned actions, as well as indications on the funding planned
… is an annex to the Commission implementing Decision (Financing Decision) which
is a legal act of the Commission (implementing act)
ref. Art. 84 FR & Art. 94 RAP
Programme documents

37. Past, Present & Future Participation in FP7 and Horizon 2020
SEE2020 Strategy
Western Balkan R&D Strategy for Innovation – WISE (drafted with World Bank / RCC to monitor progress)
Contribution of R&D to industrial competitiveness
Knowledge triangle in national & multi-country strategies

38. Pillar Dimension Measures
Pillar Target: GDP/per person employed increase by 32%
Pillar
Pillar Target: Add 300,000 highly qualified people in workforce
D. Education & Competences
E. R&D and Innovation
F. Digital Society
G. Cultural and Creative Sectors
Objectives
Reduce early education & training drop-out as % of population aged 18-24
Increase tertiary educational % of population aged 30-34
Objectives
Increase expenditure on R&D in % of GDP
Objectives
Increase regional networked readiness
Objectives
Increase share of creative industries in GDP and employment
Dimension
Create Research Excellence Fund to strengthen capabilities and promote excellence
Develop regional broadband high-speed internet access
Continue developing common approaches to rehabilitating regional heritage - Ljubljana Process II
Policies to increase equitable access, and participation in, high quality education
Promote Networks of Excellence on a particular topic
Develop cross border eServices with priority given to health, education, commerce, and trade
Introduce a Technology Transfer programme on industry-science collaboration, marketable research and value-creation
Encourage active cooperation between film policy bodies, public broadcasters, production & distribution companies
Measures anti early drop-out and improve completion rates
Measures
Provide access to IT training as acquiring digital skills expand employment opportunities
Standardise qualifications and remove obstacles for recognition
Implement a regional Design Incubator based on a design network composed of relevant actors from the region
Create an early stage start-up programme using both non-financial and financial instruments to support a viable long-term market for innovation finance
Ensure education meets needs
Entrepreneurship as key in education and training

39. Education/ Competences Cultural & Creative Sectors
Pillar
Smart growth
Pillar targets
vi. Increase GDP per person employed by 32%; vii. Add 300,000 highly qualified people to the region's workforce
Pillar Dimensions
Education/ Competences
R&D and Innovation
Digital Society
Cultural & Creative Sectors
Dimension co-ordinator
ERI SEE
Regional Research Platform
e-SEE
RCC TFCS
Other regional platforms involved
Novi Sad Initiat.,
SEECEL
WBIF/EDIF
SEEIC
CeGD
CoMoCoSEE
External partners
ETF, DG EAC, WBPET
World Bank, DG RTD / JRC
UNDP, ITU, EC (DG Connect)
CoE, ICOM
Monitoring system
RCC/OECD
National administration participants
Ministry of education; Employment bureaus
Ministry of Science; Ministry of Economy
Ministry of Information Society
Ministry of Culture; Economy;

40. Next steps
R&D key for economic growth
R&D integral part of all socio-econ policies
R&D support well co-ordinated between different stakeholders, notably donors and countries
R&D support to those with highest spin off
In short : make the case for the cause R&D high on (aid support) strategy

41. Looking at the work yet to be done
Key tasks/milestones
JAN
FEB
MAR
APR
MAY
JUNE
JULY
AUG
SEPT
OCT
NOV
DEC
Framework Agreement
Multi-Country Strategy
Country Strategies
Programmes
EC Inter-Service Consultation
Adoption
IPA II Committee meeting

42. Thank you for your attention
Henk Visser
DG Enlargement
D - REGIONAL COOPERATION AND ASSISTANCE;
TURKISH CYPRIOT COMMUNITY
D.3 - REGIONAL COOPERATION AND PROGRAMMES