1. EU external assistance in the Neighbourhood: ENPI (and other instruments) Jyrki Torni EuropeAid Cooperation Office 1

2. Presentations
Introduction on EC cooperation, the European Neighbourhood Policy and the ENPI
1. EC cooperation since 2007 – main characteristics
2. European Neighbourhood and Partnership Instrument (ENPI), Cooperation issues
3. Anticipating and answering to funding opportunities

3. EC Cooperation (since 2007): Key characteristics1
EC Cooperation (since 2007):
Key characteristics

4. EU and EC aid implementation
EU the largest donor in the world
donors together responsible for 60% of all official development aid (2007: €46,1 billion)
USA provides 21%
European Commission on its own:
Second largest donor of humanitarian aid
Third largest donor of development aid (11,3%, after USA and Germany)
Present in more than 150 countries
Based on OECD/DAC figures 2008

5. The EU: the biggest donor in the world Donor landscape 2007
EU Donor Atlas 2006, OECD/DAC

6. The EC and the external aid budget 2008
External aid: €12.3 bn (9%)
EuropeAid EDF fund: €4.7 bn (38%)
Non-EuropeAid Budget: €3.2 bn (26%)
Commission budget inside EU: €128 bn (91%)
EuropeAid Budget: €4.4 bn (36%)
EuropeAid implements external assistance. This excludes pre-accession aid, humanitarian aid, Common Foreign and Security Policy (CFSP) aid, and aid for trade. EC total budget includes European Development Fund (EDF). NB – 2008 provisional figures (Jan 09)

7. Political Framework of EU development cooperation
UN Millennium Development Goals (2000)
OECD Paris Declaration on Aid Effectiveness (2005)
Accra Agenda for Action (2008)
Cotonou Agreement (2000)
Monterrey commitments (2002)
Doha Declaration on Financing for Development (2008)
European Consensus on Development (2005)
Backbone Strategy (2008)

8. Millennium Development Goals (2000)

9. Paris Declaration on Aid Effectiveness (2005)
Ownership: partner countries exercise effective leadership and coordinate development actions
Alignment: donors base support on partner strategies, institutions and procedures
Harmonisation: donors actions are harmonised, transparent, and effective
Managing for results: improved resource management and decision making
Mutual accountability: mutual assessment of progress

10. Paris Declaration on Aid Effectiveness (2005)
EU Response: commitment to four targets in addition to the Paris Declaration
Provide all capacity building assistance through co-ordinated programmes with an increasing use of multi-donor arrangements
Channel 50% of government-to-government assistance through country systems, including by increasing the percentage of our assistance provided through budget support or sector-wide approaches
Avoid the establishment of any new Project Implementation Units (PIUs)
Reduce number of un-coordinated missions by 50%

11. Accra Agenda for Action (2008)
Ministers of developing and donor countries responsible for promoting development and Heads of multilateral and bilateral development institutions endorsed the Accra Agenda for Action in Ghana, on 4 September 2008 to accelerate and deepen implementation of the Paris Declaration on Aid Effectiveness.

12. Accra Agenda in a nutshell (1)
Strengthening Country Ownership over Development
Broaden country-level policy dialogue on development
Developing countries will strengthen their capacity to lead and manage development
Building More Effective and Inclusive Partnerships for Development
Reduce costly fragmentation of aid
Increase aid’s value for money
Welcome and work with all development actors
Deepen the engagement with civil society organisations
Adapt aid policies for countries in fragile situations

13. Accra Agenda in a nutshell (2)
Delivering and Accounting for Development Results
Focus on delivering results
More accountability and transparency to publics for results
Continue to change the nature of conditionality to support ownership
Increase the medium-term predictability of aid

14. The European Consensus on Development (2005)
Objective: Eradication of poverty in the context of sustainable development including pursuit of MDGs
Wider peace and stability – addressing global challenges
More effective aid – range of modalities based on needs and performance; where conditions are right use budget support
Reaffirm increased EU aid: 0.56 % of GNI by 2010 reaching 0.7% by 2015 (March 2002 Council Meeting, followed by May 2005 Council Meeting)

15. Doha Declaration on Financing for Development (2008)
Member States adopted by consensus the Doha Declaration on Financing for Development at the closing of the Follow-up International Conference on Financing for Development to Review the Implementation of the Monterrey Consensus (Doha, Qatar, 29 November - 2 December 2008).
The declaration reaffirms the Monterrey Consensus and calls for a United Nations Conference at the highest level to examine the impact of the world financial and economic crisis on development. Officials from more than 160 countries, including nearly 40 Heads of State or Government, attended the four day conference

16. Responding to the call for simplification
Simplification: More than 35 instruments, replaced by 10
Harmonisation: same rules for all financing instruments regarding eligibility, financing mechanisms, procedures
Updating of the rules according to EU commitments: MDGs, untied aid, alignment, etc.
More flexible: regarding the types of beneficiaries, the actions to be funded and the co-financing rules.
Financing: budget support, SWAP, twinning, debt cancellation, pool funding, operational costs
More implication of the European Parliament: democratic control, right of scrutiny

17. New Financial Instruments – 2007
Policy driven instruments:
► Instrument for Pre-Accession Assistance (IPA)
► European Neighbourhood and Partnership Instrument (ENPI)
► Development Cooperation Instrument (DCI)
► European Development Fund (EDF)
► Instrument for Nuclear Safety Cooperation (INSC)
► Human Rights Instrument (EIDHR)
► Instrument for Stability
Before 2007
More than 30 instruments for delivering external relations assistance

18. Geographic and Thematic Programmes: the legal bases

19. Geographic and Thematic Programmes: differences
Geographic cooperation
Thematic cooperation
Main focus
Geographic location
Theme
Main partners
States
Civil Society Organisations
Main forms
(Sector) budget support
Projects
Means
Direct negotiations
Calls for proposals
Approx. share
80 % of EC cooperation ENPI: More than € 12 billion for the period from
20 % of EC cooperation

20. Complementarity between geographic and thematic instruments (a)
The New Financial Perspective , provides a rationalization of the various geographic and thematic instruments:
Greater Ownership
Budget Support Sector Policy Support
the geographic instruments provide the major mechanism for partnerships with recipient country governments, and focus on the development priorities of the country or region.
SHIFT
COMPLEMENTARITY
In addition to geographic instrument, the thematic instruments are meant to support actions in areas of work which are not included in an AAP.

21. Complementarity between geographic and thematic programmes (b)
Play on specific added value of instruments:
Them. programmes to be mobilised around governance components in the NIPs:
Geographic programmes should aim at enhancing dialogue between State and civil society on rather consensual issues …
Egypt, “Promotion and Protection of Human Rights and Civil Society in Egypt, 2008”. Institutional support intertwined with support to civil society (HR, gender, children, environment).
Possibility for thematic programmes to address sensitive/more specific issues, in principle not requiring government consent.
Egypt: EIDHR call, enforcing women and children’s rights

22. DG External Relations and EuropeAid: Budget of the European Commission
Programming €
Budget of the European Commission
Project 22

23. The programming process
Strategy Papers
Multi-annual Indicative Programmes
Action Programmes
► Analysis of the situation
► Response strategy
► Priority sectors
► 7 years
► revised at mid-term
►annual
► describe projects
identified for
financing
► define the
budget per
project
►lead to EC
decision &
commitments
of funds
►normally attached
to Strategy Papers
► set indicative allocations
(global & per priority)
► cover 3 – 4
years
Strategy Papers
7 years ( )
Long-term goals
Overview of all priorities of Commission assistance; contains all existing instruments and programmes
Multi-annual Indicative Programmes
4 years ( )
Attached to strategy papers
Details about target areas of ENPI support
Mid-term Rewiew on-going ( )
Action Programmes
annual
Attached to multi-annual indicative programmes
specific project areas / activities and budget

24. Programmation: documents
A financial instrument is a policy description with resources attached, and with very specific rules which describe how, where, when and for what the money can be spent.
AAPs set out the respective amounts of funding for each country or each thematic priority and give details about the initiatives to be financed with those funds. They can be consulted on EuropeAid's website (
"Annual" in this respect refers to the budget year.

25.  http://ec.europa.eu/europeaid/work/ap/index_en.htm

26. } } } Programming: Actors Strategy Papers DG RELEX Indicative Programs
DG EuropeAid
Annual Action Programmes }
Delegations
DG EuropeAid
Tenders
Projects 26

27. European Neighbourhood and Partnership Instrument (ENPI)2
European Neighbourhood and Partnership Instrument (ENPI)
Cooperation issues

28. Occupied Palestinian Territory
ENP partner
states
ENPI = ENP partner
states + Russia
East
Russia
Ukraine
Belarus
Moldova
Georgia
Armenia
Azerbaijan
South
Morocco
Algeria
Tunisia
Libya
Egypt
Occupied Palestinian Territory
Jordan
Lebanon
Syria
=17 Partner countries

29. Financial Instruments / Neighbourhood region
European Neighbourhood and Partnership Instrument (ENPI)
Instrument for Development Co-operation (DCI – only the 5 thematic programmes)
European Instrument for Democracy & Human Rights (EIDHR)
Instrument for Stability (IfS)
Nuclear Safety Co-operation Instrument (NSCI)

30. Thematic Programmes (part of DCI)
”Investing in people” Human and social development
Protection of the environment and sustainable planning / cultivation of natural resources, including energy
Non-state actors and local authorities in the process of development
Food security
Migration and asylum policies 

31. ENPI E uropean N eighbourhood and P artnership I nstrument 31

32. Occupied Palestinian Territory
ENPI
East
Russia
Ukraine
Belarus
Moldova
Georgia
Armenia
Azerbaijan
South
Morocco
Algeria
Tunisia
Libya
Egypt
Occupied Palestinian Territory
Jordan
Lebanon
Syria
=17 Partner countries 32

33. ENPI Goals Common space of stability, security and prosperity
Avoid new dividing lines in Europe
Increase efficiency of external assistance
Greater coherence through unified instruments
Simplified programming and administration 33

34. ENPI
Stimulating cooperation and economic integration of ENPI partners with EU member states
in order to support the achievement of
• Partnership- and cooperation agreements (East)
• Association agreements (South)
• and other agreements (ENP Action Plans) 34

35. ENPI 2007-2013 Almost €12bn (+32% increase in “real terms”)
European Neighbourhood & Partnership Instrument
Almost €12bn (+32% increase in “real terms”)
Much more flexible, policy-driven instrument
Supporting priorities agreed in the ENP Action Plans and Four Common Spaces (Russia)
Other features: cross-border co-operation, technical assistance
Plus increased EIB lending mandate: €12.4 bn (for Mediterranean/Eastern Europe / Southern Caucasus / Russia) 35

36. ENPI allocations 2007 – 2013: 11. 2 bn € ENPI & 0
ENPI allocations 2007 – 2013: bn € ENPI & 0.8 bn € on Thematic programmes and HR instrument
Country and multi-country programmes
Min. 95.0% (> € 10.6 bn)
CBC programmes
Up to 5.0%
(+/- € 550 million + additional +/- € 600 million from ERDF)
Earmarked funds under DCI and EIDHR
EIDHR € million and DCI € million (earmarked for ENP countries and Russia under five thematic programmes)

37. ENPI 17 country programmes
adapted to individual countries
17 country programmes
3 regional programmes (East, South, interregional)  37

38. ENPI
Priorities
Armenia: Vocational Education and Training (VET), Justice Reform
Azerbaijan: Energy, Justice
Belarus: Energy, Environment
Georgia: Public Finance, Justice, IDPs
Moldova: Social Assistance, Public Health
Russia: Higher Education, CBC
Ukraine: Energy

39. ENPI INTERREGIONAL PROGRAM (2007-10):
Promoting reforms through consultations and experts (TAIEX, SIGMA)
Promoting higher education and student mobility (TEMPUS, Erasmus Mundus II)
Promoting cooperation between local actors from partner countries and the EU (CIUDAD)
Support in realizing the European Neighbourhood Policies and the strategic partnership with Russia
Promoting Investment projects in ENP Partner Countries (NIF)
More info

40. ENPI REGIONAL PROGRAM EAST (2007-10):
Priority 1: Establishment of networks (25-35%)
Sub-priority 1: Transport
Sub-priority 2: Energy
Sub-priority 3: Regional cooperation SME
Priority 2: Environmental protection and forestry (25-35%)
Priority 3: Border security, migration, fight against international crime as well as customs (20-30%)
Priority 4: Civil society contacts, information and development actions
(10-15 %)
Priority 5: Landmine cleansing, not exploded war relics, small arms and light arms (5-10%)

41. ENPI REGIONAL PROGRAM SOUTH (2007-10): Priority Nr. 1:
COOPERATION IN THE AREAS OF POLITICS, JUSTICE, SECURITY AND MIGRATION
Priority Nr. 2:
SUSTAINABLE ECONOMIC DEVELOPMENT
Priority Nr. 3:
SOCIAL DEVELOPMENT AND CULTURAL EXCHANGE

42. ENPI
Governance Facility additional financial support for partner countries with strongest development potential for the realization of leadership priorities of the respective action plan
Neighbourhood Investment Facility (for the enrichment of IFI-loans in partner countries – grants, to support the loan activities of such institutions in conjunction with the priorities of the EU)
 € 450m to foster the areas of Governance and Investments 42

43. Cross-Border Cooperation Programs for land borders (9) and sea crossings (3) 43

44. CBC Sea Basin Programs (3)44

45. Anticipating and answering to funding opportunities3
Anticipating and answering to funding opportunities

46. Grant
Contract
If you are looking for money to fund your project, then you will be interested in a grant.
If you are looking for opportunities to sell your services or goods, then you will compete for a public contract.
A grant is a direct payment of a non-commercial nature by the Contracting Authority (e.g. the EC) to a specific beneficiary to implement an action (or in some cases to finance part of its budget) in order to promote an EC policy aim.
Grants, as a general rule, require co-financing by the grant beneficiary.
The EU receives the product or service it needs in return for payment.
Grants are concluded following calls for proposals.
However, some grants are exceptionally awarded directly to certain beneficiaries without a call for proposals. This may be due to their specific competences or characteristics which meant that they are the sole beneficiaries for certain actions (situations of monopoly), or to the emergency nature of the action (humanitarian aid in particular).
Procurement procedures are governed by specific rules which vary depending on the nature of the contract (supply of goods, implementation of works or provision of services) and its amount. These public contracts are concluded following calls for tender.
The purpose of competitive tendering is twofold:
• to ensure the transparency of operations; and
• to obtain the desired quality of services, supplies or works at the best possible price.

47. Key characteristics and trends of thematic calls for proposals
Competitive – which tendencies ?
Right to initiative
Procedural obligations – in order to maximise equality of chances of all applicants and transparency
Budget obligations: no core financing, but activity related financing; obligation of co-financing
Technicalities are important: HQ or local calls? Amounts? Eligibility?
Pooling of funds

48. Good to keep in mind Experience Added value
Partnership - In many cases it makes sense to build a consortium. A potential applicant may thus want to involve suitable partners (also from other countries) and discuss plans with them. It can also be useful to involve local partners, depending on the kind of action one is aiming for. It is always an advantage to start building a consortium as early as possible, meet the partners in person and distribute the responsibilities as clearly as possible.
Sustainability
Impact/multiplier effect

49. NSA definition in DCI How broad is the concept
The non-State, non-profit making actors eligible for financial
support under this Regulation operating on an independent
and accountable basis include: non governmental organisations,
organisations representing indigenous peoples, organisations
representing national and/or ethnic minorities, local traders'
associations and citizens' groups, cooperatives, trade unions,
organisations representing economic and social interests, organisations fighting corruption and fraud and promoting good
governance, civil rights organisations and organisations
combating discrimination, local organisations (including
networks) involved in decentralised regional cooperation and
integration, consumer organisations, women's and youth organisations, teaching, cultural, research and scientific organisations, universities, churches and religious associations and communities, the media and any non governmental associations and independent foundations, including independent political foundations, likely to contribute to the implementation of the objectives of this Regulation.

50. Evaluation full proposal
Financial & Operational Capacity (20 points – pass threshold 12)‏
Relevance (25 points – pass threshold 20)‏
Methodology (25 points)‏
Sustainability (15 points)‏
Budget & cost-effectiveness (15 points)‏ 50

51. Steps
Register in PADOR – Potential Applicant Data Online Registration system
Check the main features of the Call – priorities? Eligibility criteria (nature of the applicant, nationality, experience)? deadlines? partnership requirements (number, nationality)?
Prepare application – description of activities, including a working plan and a presentation of partners, logical framework and budget
Evaluation, selection and contracting – criteria in the Guidelines. Open and restricted Calls. Timeline.
Action implementation
Reporting and final payment

52. Checklist:
Get an idea of the types of actions the European Commission funds by browsing EuropeAid's website ( and the websites of the EC Delegations
Consult the lists of those who have already received a grant or contract with the EU (
Check funding priorities in the multiannual and annual programmes of each instrument. The annual programmes and appropriate action fiches provide a good indication of upcoming funding opportunities (
Check the appropriate European Commission website which publishes all calls for proposals and calls for tender ( and the websites of the European Commission's Delegations in the countries of your interest
International calls for tenders are simultaneously published in the supplement S of the Official Journal of the European Communities available from the TED (Tenders Electronic Daily) at
Learn about the European Commission's external assistance procedures (
- Check the annual work programmes for grants which are published by 31 March each year (

53. Evaluation full proposal
Financial & Operational Capacity (20 points – pass threshold 12)‏
Relevance (25 points – pass threshold 20)‏
Methodology (25 points)‏
Sustainability (15 points)‏
Budget & cost-effectiveness (15 points)‏ 53

54. Open call for proposals: steps
1. Publicity
2. Receipt and registration
3. Opening and administrative check
4. Assessment of the quality of the concept notes
5. Assessment of the technical and financial quality of the proposal
6. Eligibility
7. Committee’s recommendations
8. Approval of the Evaluation Report with list
9. Contract preparation
10. Publicity
PRAG 6.4 54

55. KEY reference links and documents
Guidelines of the Call – priorities, eligibility criteria and contacts to ask questions on a specific call
Practical Guide – all the procedures
The European Commission's "Practical Guide" explains the contracting procedures applying to all EC external assistance contracts (grants and public procurement contracts) financed from the European Communities general budget and the European Development Fund (EDF).
2009, launching of the Civil Society Helpdesk (CISOCH) – interactive platform based on a Wiki software for Delegations & Civil Society Organisations.

56. How to award a grant? Call for Proposals: Open or restricted
International or local
Exceptions where direct award may be allowed:
urgency or crisis situation
de jure or de facto monopoly
mention in basic act
actions with specific technical characteristics requiring a specific entity
joint management with an international organisation
grants of low amount (less than €) in decentralised management
PRAG 6.3 56

57.  EuropeAid website

58.  http://ec.europa.eu/europeaid/work/funding/index_en.htm

60. KEY reference links and documents
Calls for proposals and calls for tenders:
Programmation documents: Instrument (Regulation), Strategy, Annual Action Programme
Stakeholder meetings (DCI)

61. Thank you! EU external assistance in the Neighbourhood EuropeAid Cooperation Office
Jyrki Torni Geographical coordination and supervision for Europe 61

62. Abbreviations AAP Annual Action Programme CBC Cross-Border Cooperation
CFSP
Common Foreign and Security Policy
DCI
Instrument for Development Cooperation EC
European Community
EDF
European Development Fund
EIDHR
European Instrument for Democracy and Human Rights
ENP
European Neighbourhood Policy
ENPI
European Neighbourhood and Partnership Instrument EU
European Union
IBPP
Institution Building Partnership Programme
MDG
Millennium Development Goals
NIP
National Indicative Programme
NSA
Non-state Actors
NSA-LA
Non-State Actors and Local Authorities
ODA
Official Development Aid SC
Civil Society
SCO
Civil Society Organisations
SWAP
Sector-wide approach