SPOROČILO KOMISIJE SVETU IN EVROPSKEMU PARLAMENTU
OKREPITI EVROPSKI VPLIV:
SKUPNI OKVIR ZA IZDELAVO DRŽAVNIH STRATEŠKIH DOKUMENTOV IN SKUPNO VEČLETNO NAČRTOVANJE
1. Uvod
Eden od bistvenih ciljev agende Evropske unije (EU) je okrepiti učinkovitost pomoči. Mednarodna dinamika, sprožena na mednarodni konferenci v Monterreyu (18.–22. marec 2002), je privedla do sprejetja Pariške deklaracije o usklajevanju in prilagajanju pomoči (2. marec 2005). V zvezi s tem je Evropska unija vedno poudarjala na eni strani nujno potrebo po skupnem napredku v smislu učinkovitosti in vpliva ter na drugi strani svojo dolžnost gonilne sile na tem področju.
V tem okviru je upoštevanje vseh ciljev zunanje politike in drugih instrumentov EU bistvenega pomena za zagotovitev skladnosti in okrepitev učinkovitosti pomoči. Razvojna politika je namreč eden od elementov, ki poleg drugih instrumentov, kot so obrambna in varnostna politika, trgovinska, okoljska ali druge politike, prispeva k uresničevanju zunanjepolitičnih ciljev EU.
1.1. Skupni okvir in skupno večletno načrtovanje: prispevek Evropske unije
EU je na Forumu na visoki ravni februarja in marca 2005 v Parizu predstavila delovni načrt, ki obsega konkretne zaveze za hitro in skupno izvajanje načel Pariške deklaracije. Eden od stebrov tega prostovoljnega prispevka je zaveza, da se z revizijo okvira za državne strateške dokumente (DSD) iz leta 2000 postopoma uvede skupno večletno načrtovanje. To je eden od sestavnih delov akcijskega načrta EU za učinkovitost pomoči.
Načelo, narava in časovni potek takega procesa so bili izdelani na zasedanjih Sveta za splošne zadeve in zunanje odnose (GAERC) novembra leta 2004 ter nato aprila in novembra leta 2005.
Pred položitvijo temeljev za skupno večletno načrtovanje je bilo najprej treba dopolniti razpoložljive informacije, da bi dobro razumeli različne sisteme načrtovanja držav članic (in drugih donatorjev), prevzeli obstoječe dobre prakse (kot jih priznava OECD) in realnost takega pristopa v celoti prenesli na teren.
V ta namen so bile leta 2005 izvedene tri poglobljene študije v Ugandi, Tanzaniji in Zambiji. Spoznanja so bila pridobljena tudi iz izkušenj in rezultatov, dobljenih v okviru programa usklajevanja, ki ga je EU izvedla v štirih pilotnih državah: Vietnamu, Nikaragvi, Maroku in Mozambiku.
Te tri študije, rezultati katerih so bili analizirani s sodelovanjem držav članic, so zagotovile trdno podlago za dodatno analizo za revizijo okvira za DSD, ki je predmet tega dokumenta.
1.2. Ozadje okvira za državne strateške dokumente in skupnega večletnega načrtovanja
Okvir načrtovanja za DSD Skupnosti (običajno imenovan „okvir za DSD“) je bil sprejet leta 2000 v okviru reforme RELEX kot instrument večletnega načrtovanja. Služiti bi moral kot podlaga za sestavo vseh DSD Skupnosti in biti vir informacij za izdelavo strateških dokumentov držav članic. Njegov cilj je bil izboljšati skladnost in kakovost načrtovanja zunanje pomoči, zagotoviti, da bi to postalo predvidljivejše in učinkovitejše, ter spodbuditi večje dopolnjevanje z državami članicami na področju razvojnega sodelovanja v skladu s členi 177 do 181 Pogodbe ES.
Komisija je nemudoma uporabila ta okvir pri načrtovanju DSD/RSD prve generacije (2002–2006) in vmesnih pregledov (2004) za vse države v razvoju, ki prejemajo podporo iz Evropskega razvojnega sklada in programov ALA, MEDA, TACIS in CARDS.
Poročila o napredku izvajanja okvira za DSD, ki jih je Komisija izdelala na zahtevo Sveta leta 2001, 2002 in 2005, so EU omogočili ugotovitev, da je stroga uporaba DSD/RSD učinkovito in ustrezno sredstvo za izboljšanje ravni kakovosti njenih procesov načrtovanja.
V zvezi s tem je Svet leta 2003 ugotovil, da je okvir za DSD dejansko pomembno prispeval k cilju večletnega načrtovanja ter k okrepitvi učinkovitosti in kakovosti zunanje pomoči EU.
Svet navaja, da sta se s tem izboljšala koordinacija in dopolnjevanje med pomočjo Skupnosti in dvostransko pomočjo, zlasti pomočjo držav članic, ki so bile veliko udeležene na terenu. V večini primerov so bili organi partnerskih držav tesno povezani s procesom načrtovanja, kar je povečalo občutek njegovega prevzemanja in skladnosti med strategijo Komisije in procesom nacionalnega razvoja.
Vmesni pregledi leta 2004 so omogočili še dodatno okrepitev kakovosti in učinkovitosti DSD, zlasti z izboljšanjem skladnosti med razvojno politiko ter drugimi zunanjimi in notranjimi politikami ES/EU in z okrepitvijo pristopa, temelječega na rezultatih, zahvaljujoč strožji vključitvi kazalnikov uspešnosti, ki omogočajo oceno dosežkov partnerskih držav, zlasti kar zadeva uresničevanje razvojnih ciljev novega tisočletja.
Okvir za DSD je treba šteti za stalen proces, ki ga je treba nenehno izboljševati in prilagajati, da bi lahko sledil razvoju agende učinkovitosti pomoči. V zvezi s tem je postalo vse bolj jasno, da lahko usklajeno in skupno načrtovanje na evropski ravni še bolj prispeva k učinkovitosti pomoči in k cilju uresničitve razvojnih ciljev novega tisočletja.
Leta 2004 je priložnostna skupina za usklajevanje, ki je bila pristojna za izdelavo predloga o prispevku EU k okrepitvi koordinacije, usklajevanja in prilagajanja, poudarila, da bi skupno večletno načrtovanje moralo olajšati koordinacijo politik, spodbuditi usklajevanje postopkov in ponuditi možnosti za sprejemanje odločitev o dopolnjevanju. Omogočiti mora, da se donatorji postopoma prilagodijo večletnim ciklusom načrtovanja partnerske države (strategije za zmanjšanje revščine in proračunski procesi), in povečati možnosti za časovno uskladitev procesov načrtovanja držav članic in Komisije ter tako dolgoročno spodbuditi znatno zmanjšanje transakcijskih stroškov.
Skupno večletno načrtovanje je svoj razmah na evropski ravni doživelo v sklepih Sveta iz novembra 2004, ko je bila Komisija izrecno pozvana, da revidira okvir za DSD iz leta 2000 in vanj vključi možnost takega načrtovanja.
Načelo skupnega načrtovanje je bilo znova potrjeno in okrepljeno v okviru novega „Evropskega soglasja o razvoju“, nove izjave razvojne politike EU iz decembra 2005.
1.3. Uvodne pripombe
V skladu s sklepi Sveta z novembra leta 2004 „bo moral biti revidiran okvir za DSD en od instrumentov za izvajanje večletnega načrtovanja za vso pomoč, ki jo zagotovijo države članice in Komisija. […] Zagotoviti bo moral [tudi] smernice za izvajanje skupnega večletnega načrtovanja na ravni države“
Sprejetje devetih bistvenih sestavnih delov za DSD s strani celotne EU, ki so opredeljeni v razdelku 2.2. in ki so podlaga skupnemu formatu, predlaganemu v Prilogi, je prvi ključni korak v smeri okrepitve učinkovitosti zunanje pomoči. Predstavlja temeljno oporno točko za usklajevanje in koordinacijo te pomoči.
Skupno večletno načrtovanje je prilagodljiv proces, ki ga je treba izvajati v skladu s hitrostjo razvoja posebnih razmer v partnerski državi. Njegova oblika in struktura se bosta od države do države razlikovali. Skupno večletno načrtovanje je predstavljeno v razdelku 2.3.
2. Revidiran okvir za okrepljeno načrtovanje
Ta dokument predstavlja posodobitev okvira za DSD iz leta 2000, ki opredeljuje osnovne elemente, ki jih je treba vključiti vanj, in fazi, po katerih mora potekati njihova izdelava.
Ta revidirani okvir je razdeljen na tri razdelke:
- Prvi (razdelek 2.1) ponovno navaja načela, ki morajo voditi načrtovanje.
- Drugi (razdelek 2.2) povzema devet bistvenih sestavnih delov za prihodnje DSD. Predlog skupnega formata je priložen k temu dokumentu.
- Tretji (razdelek 2.3) oriše glavni fazi postopka, v katerih mora potekati izdelava prihodnjih DSD, in pravila, ki jih je treba predvideti v pričakovanju skupnega večletnega načrtovanja.
2.1. Načela učinkovitega načrtovanja
Načrtovanje mora temeljiti na nekaterih načelih. Večina teh načel, ki so bila zadnja leta izoblikovana in izpiljena na evropski ravni, je kot partnerska zaveza vključena tudi v Pariško deklaracijo (prevzemanje, usklajevanje, prilagajanje, upravljanje na podlagi rezultatov in vzajemna odgovornost). Vplivajo na sestavo DSD in njihovih bistvenih sestavnih delov, kot so opisani v naslednjem razdelku:
- Partnerski okvir. Strategije morajo temeljiti na sporazumih o sodelovanju in partnerstvu ter biti v skladu z regionalnimi strategijami.
- Upoštevanje ciljev evropskega soglasja. Glavni cilji razvojne politike bodo odprava revščine v okviru trajnostnega razvoja, zlasti uresničitve razvojnih ciljev novega tisočletja, ter spodbujanje demokracije, odgovornega vodenja države in upoštevanja človekovih pravic. Ti cilji se bodo uresničevali v vseh državah v razvoju in uporabili v sestavnem delu „razvojna pomoč“ v vseh strategijah Skupnosti za sodelovanje s tretjimi državami.
-Skladnost. Strategija in dokumenti načrtovanja morajo biti izčrpni in upoštevati cilje razvojne politike in drugih politik, ki opredeljujejo odnose s partnersko državo.
- Različnost je potrebna zaradi raznolikosti partnerjev in izzivov. Uporablja se pri splošni politiki in pri programih sodelovanja.
- Vprašanja z različnih področij je treba upoštevati v skladu z evropskim soglasjem (demokracija, odgovorno vodenje države, človekove pravice, otrokove pravice in pravice domorodnega prebivalstva; enakost spolov; trajnostno okolje; HIV/aids).
- Učinkovitost pomoči je odvisna tudi od drugih pomembnih elementov, kot so delitev dela, dopolnjevanje in usklajevanje. Vsa prizadevanja morajo biti usmerjena k čim večji možni delitvi informacij z vsemi zadevnimi akterji ter k dopolnjevanju z ukrepi držav članic in dejavnostmi drugih donatorjev in večstranskih agencij. Koordinacija mora po možnosti potekati v zadevni partnerski državi.
- Splošna in/ali sektorska proračunska podpora kot način izvajanja, če je možna, ostaja ključno načelo za povečanje učinkovitosti pomoči in jo je treba okrepiti.
- Osredotočenje (z ohranitvijo prilagodljivosti) pomeni izbiro omejenega števila področij v okviru procesa načrtovanja pomoči Skupnosti.
- Prevzemanje s strani partnerske države in prilagajanje. Agenda partnerske države bo v središču priprave strategije in načrtovanja, kateri se bosta postopoma prilagajala.
- Pristop, temelječ na rezultatih. Načrtovanje, izvajanje in ocenjevanje morajo sistematično vključevati ključne kazalnike rezultatov, opredeljene za dolgoročno merjenje vpliva pomoči.
- Sodelovanje civilne družbe in drugih akterjev: partnerstvo je treba razširiti na nedržavne akterje in zasebni sektor, ki bi morali biti vključeni v dialog o politikah, izdelavo strategije sodelovanja in izvajanje programov. Zagotoviti je treba vključenost drugih razvojnih akterjev, zlasti lokalnih organov in parlamentov.
- Pretekle izkušnje in načelo pregleda. Sistematično je treba upoštevati spoznanja, pridobljena iz preteklih izkušenj partnerske države, predstavništev donatorjev na terenu in služb sedeža donatorja, ter rezultate ustreznih zunanjih in notranjih ocen, ki morajo tudi vplivati na odločitve v okviru načrtovanja. Poleg tega so DSD učinkovito sredstvo, samo če se njihova uspešnost redno ocenjuje in če se strategija preusmerja glede na rezultate.
2.2. Devet bistvenih sestavnih delov za državne strateške dokumente
Novi okvir za DSD predlaga, da se v celoti ohrani logični pristop, ki je bil že izdelan v okviru iz leta 2000 in ki je dokazal svojo učinkovitost. Novi okvir je posodobljen glede na nove prakse, ki so se pojavile na mednarodnem prizorišču, in nove obveznosti EU, ki so bile obravnavane v prejšnjem razdelku. Uvaja elemente, ki so nepogrešljivi za skupno večletno načrtovanje po posameznih državah.
Podroben format za DSD je predlagan v Prilogi. Vključuje naslednje bistvene sestavne dele, ki, kakor kažejo izkušnje, zagotavljajo kakovostno načrtovanje:
- Okvir odnosov med donatorjem in partnersko državo
- Analiza (notranjih in zunanjih) političnih, gospodarskih, trgovinskih, socialnih in okoljskih razmer partnerske države
- Agenda partnerske države, vključno z razvojno strategijo
- Analiza sposobnosti preživetja sedanjih politik in srednjeročnih izzivov na podlagi analize položaja države in njene agende
- Pregled donatorjevega preteklega in sedanjega sodelovanja (spoznanja in izkušnje) ob upoštevanju vseh instrumentov zunanje pomoči, dopolnjevanja s programi drugih donatorjev ter skladnosti z drugimi instrumenti zunanje pomoči in politik
- Opis stanja partnerstva s partnersko državo, vključno s političnim dialogom in napredkom v smeri usklajevanja
- Donatorjeva strategija sodelovanja, njeni posebni cilji, njena skladnost z drugimi instrumenti zunanje pomoči in politik, njeno dopolnjevanje z drugimi donatorji
- Na podlagi zgoraj navedenih elementov, delovni program ali nacionalni okvirni program, ki opredeljuje cilje, merljive s kazalniki uspešnosti, poseben prispevek donatorja ter naravo in obseg najustreznejših mehanizmov podpore
- Priloge: zbirna preglednica države, kratek okoljski profil, predvidena finančna matrica donatorjev, migracijski profil (če je ustrezno), vključno z vidikom mednarodne zaščite, opis posvetovanja z nedržavnimi akterji in, če obstaja, načrt v zvezi z usklajevanjem.
Komisija namerava izdelati svoje DSD na podlagi teh devetih bistvenih sestavnih delov in formata, predlaganega v prilogi, v katerem se razvijejo. To bo storila postopoma: nemudoma za države AKP, nato (vmesni pregled) za azijske in južnoameriške regije ter države, ki jih zajema evropska sosedska politika, in Rusijo, kjer proces izdelave DSD (in DSR) druge generacije temelji na starem formatu in je skoraj dokončan.
Komisija ugotavlja, da večino teh sestavnih delov vsebujejo že strateški dokumenti, ki so jih države članice izdelale na dvostranski ravni. Zato meni, da bi lahko države članice novi okvir za DSD, ki vsebuje te bistvene sestavne dele, uporabile tudi za svojo dvostransko pomoč, ne da bi jim bilo treba bistveno spremeniti svoje postopke, saj je okvir dovolj prožen, da ga lahko prilagodijo posebnim razmeram v državi. Poleg tega bi lahko države članice, ki trenutno uvajajo instrumente načrtovanja, neposredno uporabljale novi okvir za svoje DSD.
Vendar poleg možnosti, da države članice oprejo svoje dvostranske strategije na teh devet sestavnih delov in novi okvir za DSD, Komisija meni, da format, predstavljen v Prilogi, nedvomno pomeni najustreznejšo podporo za napredek v smeri skupnega večletnega načrtovanja, zlasti glede delitve nekaterih vidikov načrtovanja (razdelek 2.3.2.). Zato bi ga države članice, kjer je to mogoče, prav tako morale uporabljati.
Nazadnje je prav tako pomembno, da so mehanizmi načrtovanja čim bolj prilagodljivi, da se lahko postopoma medsebojno časovno uskladijo ter prilagodijo politični in proračunski agendi partnerske države.
2.3. Postopek izdelave državnega strateškega dokumenta z vidika skupnega večletnega načrtovanja
Novi okvir za DSD mora omogočiti lažji začetek skupnega večletnega načrtovanja med Komisijo, državami članicami in morebitnimi drugimi partnerji.
Naloga ES/EU je olajšati ta pristop, pospeševati čim širše sodelovanje in spodbuditi sodelovanje partnerske države.
2.3.1. Osnovna načela
Skupno načrtovanje mora biti prilagodljiv, postopen in odprt postopek, kjer ima partnerska država vodilno vlogo, in izhajati mora iz razmer na terenu.
- Prilagodljiv, tako da lahko prevzame različne oblike, prilagojene razmeram v partnerskih državah [zlasti v smislu institucionalnih zmogljivosti in torej kakovosti nacionalne razvojne politike (PRSP, …) ] in donatorjev, ki so lahko bolj ali manj pripravljeni, politično in/ali v smislu postopkov, za usklajevanje.
- Postopen, tako da predvideva postopne faze „vključevanja“ glede na razvoj razmer. Lahko vključuje vse ali nekatere države članice.
- Odprt, tako da ni strogo omejen na države članice. Skupno načrtovanje je del mednarodnega gibanja, ki si ga prizadeva poživiti. Če že poteka postopek, ki si prizadeva vpeljati skupno načrtovanje, se mora biti evropsko skupno načrtovanje sposobno vključiti vanj in mu dati zagon s skupno evropsko koordinacijo in vizijo.
- Vodilna vloga partnerske države je bistvenega pomena pri pripravi in koordinaciji skupnega načrtovanja, ker mora temeljiti na strategiji za zmanjševanje revščine ali na drugih enakovrednih strategijah in na proračunskem ciklusu zadevne države. Prav na tej podlagi se bodo partnerji lahko dejansko uskladili in usmerili k boljšemu dopolnjevanju (delitev dela) ter dolgoročnemu zmanjšanju transakcijskih stroškov. Če država nima zmogljivosti za to vodilno vlogo, ji je treba zagotoviti potrebno podporo, da bi jih lahko pridobila. Medtem bodo lahko donatorji sami razvili skupno načrtovanje v skladu z nastajajočimi prednostnimi nalogami in ciklusi načrtovanja po načelu uradnega prilagajanja („shadow alignment“ – države z nizkim dohodkom ali šibke države) ali v skladu z obstoječimi prednostnimi nalogami in ciklusi (države s srednjim dohodkom).
- O smotrnosti, obliki in smernicah skupnega načrtovanja bodo za vsako državo odločale delegacije Komisije in drugi razvojni partnerji na terenu. Prav na tej ravni se morata organizirati tudi koordinacija in usklajevanje. Skupno načrtovanje bo element, ki ga bo po potrebi treba vključiti v načrt za koordinacijo in usklajevanje, izdelan v državah. Pogoste izmenjave med sedežem in lokalnimi uradi ter redno spremljanje bodo potrebni, da bi proces dosegel najvišjo politično raven.
2.3.2. Različne faze skupnega večletnega načrtovanja
Prilagodljiva in postopna narava skupnega večletnega načrtovanja se mora izraziti v razdelitvi na faze na podlagi skupne ali usklajene zasnove DSD, tj. uporabe s strani držav članic, s potrebno prilagodljivostjo, devetih bistvenih sestavnih delov DSD, kot jih vsebuje revidiran format, predstavljen v Prilogi.
Prva faza: skupna analiza
Izkušnje in opravljene analize kažejo, da je ne glede na uporabljene modele, različnim donatorjem, ki posredujejo v državi, skupen niz elementov, ki veljajo za bistvene za opredelitev strategije sodelovanja. Da bi zmanjšali transakcijske stroške za partnersko državo, je očitno, da je treba te elemente deliti med seboj in jih poenotiti.
Ti elementi ustrezajo poglavjem 1, 2 in 3 dela I skupnega formata (glej prilogo) in so: ocena splošnih političnih razmer, ocena makroekonomskega, socialnega in okoljskega okvira države (s seznamom makroekonomskih kazalnikov in kazalnikov revščine, usklajenih na podlagi vladne agende), navedba prednostnih nalog partnerske države, analiza izkušenj iz predhodnega sodelovanja, analiza skladnosti z drugimi politikami v partnerski državi, analiza dopolnjevanja z ukrepi različnih partnerjev in navedba agende usklajevanja.
Druga faza: po skupni analizi skupen strateški odziv
Če je za skupno načrtovanje treba deliti med seboj vse elemente analize (glej prvo fazo), pa to ne izključuje večjih ambicij, ki se za vse ali del držav članic, zastopanih na ravni države, kažejo v prizadevanjih za izdelavo strategije skupnega odziva.
Ta bo vsebovala elemente iz poglavja 4 dela I skupnega formata v Prilogi: skupno opredelitev ciljev sodelovanja s partnerjem, opredelitev področij osredotočenja z delitvijo dela med partnerji (finančna matrica donatorjev), podatke o finančnih dodelitvah in analizi tveganj ter obveznosti partnerskih držav na podlagi skupnega sporazuma. Kazalniki uspešnosti bodo opredeljeni skupaj in bodo po možnosti temeljili na strateških dokumentih zadevnih držav ter bili predmet dialoga z vlado. Uvedeni bodo skupni pristopi v zvezi s spremljanjem in ocenjevanjem, skupnimi letnimi pregledi rezultatov in izvajanje strategije za zmanjšanje revščine
ANNEX: Common format for country strategy papers (CSPs)
PART 1: COUNTRY STRATEGY PAPER
1. CHAPTER 1: framework for relations between the donor and the partner country
For the EC/EU
1.1. General objectives of the donor’s external policy
1.2. Strategic objectives for cooperation with the partner country
Strategy papers must reflect the policy guidelines set out in the “European Consensus on Development”. They must also reflect the EU’s commitments with regard to the effectiveness of aid (Paris Declaration, additional EU commitments).
They will also set out the donor’s main objectives in its dealings with the partner country in the regional context (in the case of the EU, these include the European Neighbourhood Policy, the Cotonou Agreement, the Asia, Latin America and Africa Strategies and the European Programme for Reconstruction and Development in South Africa).
1.3. Main bilateral agreements
Describe the association and partnership agreements (e.g. the Economic Partnership Agreements – EPAs) binding the donor and the partner country, stating the fields covered and the objectives pursued.
2. CHAPTER 2: COUNTRY DIAGNOSIS
2.1. Analysis of the political, economic, social and environmental situation in the partner country
This analysis should include all major domestic policy developments and issues and all significant external factors.
2.1.1 Political situation
The CSP must analyse the country’s political, institutional and security situation in a broad context, including governance, progress towards democracy, the rule of law and observance of human rights. The regional context must be specifically addressed here. This section should therefore examine the following aspects:
- The main obstacles at national level to progress towards a situation in which human rights are respected, protected and promoted. The analysis will identify the priorities and objectives permitting progress towards respect for fundamental human rights in all circumstances.
- The content and any shortcomings of the partner country’s plans/policies concerning social cohesion, employment and gender equality; the gender representativeness of the administration and the position with regard to international commitments on gender equality. Commitments and compliance under international conventions concerning children’s rights must also be described. Special attention must be paid to child labour and to trafficking and violence against women and children. The protection afforded for the rights of minorities and indigenous peoples must also be examined.
- Observance of democratic principles, including in particular an assessment of the electoral process and public participation in the democratic process (free elections by universal suffrage, multiparty system, equal access to political activity, participatory decision‑making process, the role of the media, civil society and other non-state actors, etc.), the possibility of changing the government without violence, etc.
- The organisation of government, the authorities’ decision-making procedures. Particular attention must be paid to examining the various levels of power and the division of powers between central, regional and local tiers of government and the effectiveness of their interaction (decentralisation and devolution). The main constraints faced by “key institutions” in fulfilling their respective mandates (including the capacities the national statistical system to provide statistics and indicators in the different domains), institutional transparency and accountability for the management of public resources and affairs; the institutional capacity to draw up and implement measures against corruption money laundering, fraud and tax avoidance; the rule of law and the independence of the judiciary. The role of parliaments in their dual function of making law and overseeing the executive must be examined, as must the degree to which civil society is involved in the political and social debate.
- The government’s position with regard to the key international conventions, especially those concerning the environment, human rights, gender equality, refugees, labour law, the International Criminal Court, terrorism, organised crime and corruption.
- Potential factors for conflict, the risk of national or regional conflict breaking out, continuing or flaring up again, and key cultural and social factors directly influencing the political process (e.g. ethnic tensions or migratory flows).
- The security system, including the division of powers between the difference agencies, and the decision‑making procedure and democratic and civilian oversight over the security system.
- The overall security situation. The following questions must be posed: Are there signs of violent conflict in the country and/or region? Is the country’s stability threatened by armed violence? What is the influence of neighbouring countries? Is there a national small‑arms manufacturing industry? Does the level of crime in the country threaten its development? What is the situation with regard to the various forms of organised crime and illegal drugs? Is there a threat of terrorism in the country or region?
- Any evidence pointing to a fragile state, e.g. the incapacity to perform the basic functions of government (security, basic social services, human rights); identify support measures, such as government reform.
- The regional context of the country, its relations with its neighbours and the impact of these factors on the political, institutional and security situation in the country.
This analysis should serve to identify the type of partnership: efficient, difficult/fragile state, post-conflict.
Accordingly, in fragile states, post‑conflict countries and specific cases of countries that have yet to achieve “structural stability” or are showing signs of increasing instability, greater attention should be given to analysing measures taken to ensure security and stability, including conflict prevention and management, post-conflict intervention strategies (demobilisation, disarmament, re-integration (in particular of women and child soldiers), rebuilding, humanitarian mine clearance, support for action against illegal arms trafficking and dissemination of small arms and light weapons, etc.), and the introduction of the rule of law and democracy (including broader participation of civil society and a more equitable distribution of power). The issues of transition and LRRD will have to be taken into account.
A chronology of recent events and the national and regional agenda will be annexed as basic information.
2.1.2. Economic and social situation
The CSP must include an analysis of macroeconomic performance, covering both the public and the private sectors, an analysis of structural change and of important sectoral changes. It must also include an analysis of the structure of the country’s trade at bilateral, regional and multilateral levels, including the foreseeable impact of economic partnership agreements.
It must analyse issues of good governance in the financial, tax and legal fields. The aim is to gauge the extent to which the country is implementing international recommendations on transparency and the effective exchange of information to prevent and counter financial and corporate malpractice, including in the tax field.
Economic situation, structure and performance
This part must analyse the partner country’s economic performance in a manner permitting comparison with other countries. It will identify the principal economic sectors contributing to gross domestic product and assess trends in their competitiveness, especially in the light of the prospects for the liberalisation of bilateral, regional and multilateral trade. Particular attention should be given to analysing the respective roles of the public and private sectors and the state of infrastructure, especially as regards transport, water, energy and information and communications technologies. The analysis must also address variations in the terms of trade, the external debt burden, the degree of diversification of export earnings and dependency on public and private external transfers, including remittances from migrants. The importance of service activities, especially financial services, and in particular those specifically offered to non‑residents (offshore centres), will also be addressed. The employment situation will be studied with particular attention to equal economic opportunities for men and women.
The analysis should also highlight the potential sources of macro-economic and social instability in order to make the EC/EU planning process flexible enough to deal with such instability if and when it occurs.
A table with key macroeconomic indicators will be annexed to facilitate and structure the overview of the situation and any forecasts for the years ahead.
Structure and management of public finances
This section will examine the state of public finances and the external debt, analyse the quality of public finances and the structure of budget revenue and expenditure, point out any imbalances and indicate whether measures have been taken to remedy them.
Assessment of the reform process
As a general rule, the objectives of economic reform programmes, and in particular economic stabilisation and structural adjustment programmes, are to balance the economy, eliminate distortions, introduce appropriate incentives and create favourable conditions for the development of the private sector, while allowing and guaranteeing the effective and efficient working of the public sector. A key aspect of such programmes is the need to ensure that markets are open and that the economy is able to profit from, and manage successfully, external competitive forces (including those generated by regional integration initiatives).
The analysis must check the overall consistency of the policy pursued and identify possible weaknesses and inconsistencies. It is important to analyse the impact and viability (including the issue of institutional capacities) of the main sectoral reforms and to consider how these reforms might influence growth and development. In this context, the impact of reforms aimed at increasing transparency, effective information exchange and international administrative and judicial cooperation in the field of services, especially financial services, will also be examined, among others, in relation to the fight against money laundering, fraud and tax avoidance and corruption.
Particular attention must be given to reforms in the fields of political, administrative and fiscal decentralisation and issues relating to regional planning, given their potential impact on poverty, especially in rural areas.
Trade policy and external environment, in particular regional cooperation agreements
The country’s trade policy must be analysed, especially the country’s openness (tariff and non-tariff) and the regulatory framework’s consistency with the country’s commitments. Consistency with the country’s development aims and foreign trade agreements, especially regional integration schemes involving the country, the impact of such schemes on the economy and actual progress towards the creation of a regional market will also be examined.
This analysis could, where relevant, use the results of trade‑policy reviews by the World Trade Organisation (WTO).
Particular attention must be paid to the demands of economic transition, regional convergence and trade opening. The assessment of reform must take such undertakings or obligations into account. It must include an analysis of the country’s economic performance in the framework of the regional integration process to which it belongs (e.g. macroeconomic convergence criteria) and its influence on the country’s economy. This section also includes an analysis of the scope for integration, ways of increasing the benefits, and related issues such as infrastructure, regional markets and financial and economic structures.
2.1.3. Social situation, including decent work and employment
CSPs must analyse the situation, trends and progress or delays in the social sectors and in terms of food security. They must therefore cover demographic factors (population growth, breakdown by age, relationship between rural and urban population and trends, the existence and nature of migratory flows) and such sectors/fields as education, research, health (including sexual and reproductive health, HIV/AIDS, malaria and tuberculosis), social protection, including social security networks, support programmes for disadvantaged and vulnerable groups, including the disabled, employment opportunities and working conditions and housing, rural development and access to agricultural markets. All these aspects, and in particular employment policy and the fairness of the tax system, are crucial to achieving a satisfactory level of social cohesion.
A major part of the analysis will involve reviewing the fairness of access to services and their use for disadvantaged and vulnerable groups, such as children, women and indigenous peoples, and determining whether the policies pursued address the concerns of these groups, gender equality or HIV/AIDS issues and the needs of indigenous communities.
The strategy papers will examine the country’s progress towards eradicating poverty in terms of the MDGs, analyse the reasons for the trends observed, in particular gender differences, and review the main challenges and issues, their magnitude and their breakdown (by age, sex and geography).
To facilitate and structure this overview, a table setting out the key social development indicators will be annexed. This table will include at least the 10 key indicators chosen for monitoring the MDGs, which gauge the country’s performance and progress in the matter of poverty reduction and social development. Where possible, it will provide data for the reference year 1990, data for the most recent years, estimates for the years ahead and intermediate and final objectives for 2015. These indicators can be supplemented by other indicators monitored in the PRSP.
Comments must be made on the quality of data and the frequency with which it is updated. To ensure comparability in time, data sources must be used as consistently as possible and any change in indicators and/or sources accounted for.
2.1.4. The country in the international context
Where relevant, this section will refer to any regional or international developments that might affect cooperation between the donor and the country concerned.
These include the country’s political relations in the region, and in particular international and/or regional agreements, regional policies and any progress towards regional integration, or the existence of armed conflicts in the region.
It is also important to highlight the role actually or potentially played by the country in the regional and multilateral context (beacon, pole of stability), its capacity to play a leading role in the provision of public goods (e.g. peacekeeping, managing water resources in cross‑border water basins to protect the environment, etc.) and its capacity to take part in international cooperation on such issues as terrorism, non‑proliferation of weapons of mass destruction and their means of delivery, trafficking and dissemination of small arms and light weapons, people trafficking, illegal migration, etc., which have a tendency to spill over.
2.1.5. Environmental situation
This chapter will be based on an analysis of the environmental conditions in the country and the recommendations made in the “Country Environmental Profile”, a summary of which will be annexed.
This section will give an overview of trends in the availability and use of environmental/natural resources and in pollution in the country and, possibly, the region that directly affect or influence poverty reduction (link with MDG 7) and food security. It will show clearly the main environmental challenges facing the country and the main obstacles to be overcome. Particular attention will be given to problems and needs arising from climate change.
The country’s institutional situation and its specific capacities in the area of managing the environment and natural resources will be described along with the legislative framework. The CSP will also examine the existence or lack of regulatory reforms in the area. Lastly, the environmental impact, if any, of national sectoral policies will be described.
Achievements in the area of the environment and the management of natural resources will be examined, either as cross-cutting issues in major cooperation programmes (including their environmental impact) or as specific projects or programmes.
Stock will be taken of the country’s accession to international agreements in the different domains (climate change, biodiversity, desertification, chemical products, etc.) and the measures actually taken to apply them. The country’s specific needs in the matter will also be indicated. The “Country Environmental Profile” will take account of vulnerability to natural disasters (risk profile) accompanied, where appropriate, by a specific analysis identifying needs and measures in relation to prevention and preparedness, etc.
2.2. Development strategy of the partner country
This section must provide a summary of the aims and objectives of the government of the country concerned, as defined (a) in the official documents presenting the range of policies implemented, (b) in any national plan, reform strategy or medium‑ or long‑term development programme and (c) in any sectoral development programme. This statement should be supplemented by an indication of how the government proposes to achieve these objectives.
This section must review the country’s commitments under the framework of the regional integration process of which it is a member (e.g. creation of a customs union, economic convergence, common market, sectoral policies, including those relating to security matters, partnership with the EU) and multilaterally (e.g. African Union, WTO, etc.).
Particular attention must be given, where relevant, to the policies pursued by the country to develop ties with the diaspora and foster its involvement, to channel remittances, to promote economic emigration or to limit the impact of the brain drain.
2.3. Analysis of the viability of current policies and the medium-term challenges
In the light of the analysis of the country’s situation and political agenda, and especially its poverty reduction strategy (PRSP), a critical summary will be provided of the viability of the country’s current policies and medium-term prospects, showing both strengths and weaknesses.
This section will help clearly identify future challenges facing the government and the budgets it will be making available to tackle them, with due regard for complementarity. The most promising fields for future cooperation between the partner country and the donor will be chosen with a view to reducing poverty, i.e. fields in which national priorities realistically and viably match the objectives of the donor and the donor’s specific comparative advantages compared to other donors.
In the case of low-income countries, e.g. those eligible for IDA, especially the HIPC initiative, the national agenda will be linked to, or treated as, a poverty reduction strategy paper (PRSP). Under the principle of ownership, the CSP will support the partner country’s PRSP and its strategy of development or reforms in pursuit of the MDGs and align itself as far as possible on the systems and procedures of the country’s other partners. This principle of ownership must be adapted in the event of difficult partnerships or post-crisis situations in particular, and alternative approaches must be sought (shadow alignment, work with civil society, etc). Where this foundation exists, the EC, Member States and, possibly, other donors will harmonise their cooperation aid as far as possible.
3. CHAPTER 3: OVERVIEW OF COOPERATION AND POLITICAL DIALOGUE, COMPLEMENTARITY AND CONSISTENCY
3.1. Overview of the donor’s past and present cooperation (lessons learned)
In the event of joint programming, each donor will draw up a separate chapter providing an overview of its cooperation with the partner country.
The CSP must contain a summary of the results of the donor’s past and present cooperation with the partner country and of the lessons learned in order to update knowledge and incorporate best practices. It is important that this statement should cover all external aid instruments for the country, including regional cooperation, issue‑based programmes, global initiatives and humanitarian aid.
The previous CSP’s sectors of intervention must be evaluated in the light of the results obtained so far on the basis of progressive qualitative and quantitative performance indicators, with due regard for the requisite flexibility.
Account will be taken of general recommendations specifically made in evaluations of strategies by the partner country, if there are any, evaluations of specific sectors and projects and annual reports.
3.2. Information on the programmes of other donors (complementarity)
This section must provide as accurate and comprehensive a picture as possible of the programmes of the Member States and other donors, indicating how they complement each other. Specify as far as possible the amounts involved and their breakdown by intervention sector. Where they exist, the partner country’s analytical instruments (PRSP, etc.) will be used.
This section should also discuss what type of instruments the donors are using in their cooperation and whether there is a sectoral or regional focus to their efforts.
A prospective financial matrix of donors will be annexed for detailed information.
3.3. Description of the political dialogue between the donor and the partner country
This section will cover the development of the political dialogue between the government and the donor, in particular concerning aspects such as the human rights situation, governance, the rule of law, etc.
3.4. Description of the state of the partnership with the partner country and progress towards harmonisation
The CSP must describe progress towards improving the coordination of policies, the harmonisation of procedures for programming rounds and the alignment on the partner country’s budget cycles. This analysis will be based inter alia on the progress indicators laid down in the Paris Declaration.
More specifically, this section will report on the progress of any coordination/harmonisation process in the country at European level, and in particular on the dialogue between the Commission and the Member States and the existing coordination system, briefly describe the guidelines in the “road map” on the EU’s harmonisation and alignment in the partner country, describe the application of the common framework at European level and explain the stage/type of joint programming chosen for the country. It will state the future guidelines and implementation plan for joint programming. Where relevant, it will describe the other harmonisation processes under way in the country and the donors’ position on these initiatives, and their complementarity and links with the harmonisation process at European level.
This section will provide information on the donors’ initiatives to align on the partner country’s multiannual programming rounds (poverty reduction strategies and budget processes).
It will describe the role, attitude and position of the partner country in the harmonisation and alignment process and its capacity/willingness to play a leading role.
3.5. Analysis of consistency with the donor’s other policies
It is widely recognised that development policy alone will not enable the developing countries to progress.
Policies other than aid policy are at least as important in so far as they contribute or affect developing countries in their efforts to achieve the Millennium Development Goals.
The principle of consistency with other EU policies requires special attention. This section must, where relevant, address the following areas: trade, the environment, climate change, security, agriculture, fish, the social dimension of globalisation, employment and decent work, migration, research and innovation, the information society, transport and energy.
The objective is to promote the possible synergies between other EU policies and development policy in the response strategy.
4. CHAPTER 4: THE DONOR’S RESPONSE STRATEGY
This section should set out the strategic choices for cooperation in the partner country on the basis of its needs, strategies, priorities and resources and according to the evaluation of:
- the partner country’s development strategy and the viability of interventions in the light of the country’s political and institutional, economic, trade, social and environmental situation;
- the objectives of the donor’s development policy, other aspects of external action and other policies;
- the country’s needs and progress towards the MDGs and its commitment to achieving them, referring where possible to indicators and statistics delivered by the national statistical system;
- the relative magnitude of the financial and administrative resources to be made available and their potential impact (for example, in terms of improved country economic performance and poverty reduction);
- the comparative advantages of the donor in relation to complementarity/the division of labour between development partners, especially vis-à-vis the Member States and/or the Commission;
- where relevant, the results of the analysis of the consistency between the donors’ other policies and the development objectives;
- any risks associated with the strategy that could jeopardise its success (political, economic, security, environmental impact).
The programming process must be guided by the principle of concentration. This means selecting a limited number of sectors of intervention rather than scattering efforts across too many different sectors. This is crucial to the effectiveness of aid.
The choice of implementation method must also be explained, given the principle of switching from a project-based to a programme-based approach, accompanied, wherever possible, by structural/sectoral aid.
For each selected focal area, the CSP should define overall and specific objectives.
If there is a joint response strategy, this section must contain a division of labour between development partners. If not, it must provide a specific justification of the value added by the EC as compared to other donors.
Cross‑cutting issues must be mainstreamed in each priority area: i) democracy, good governance, human rights, the rights of the child and the rights of indigenous peoples; ii) gender equality; iii) environmental sustainability; iv) HIV/AIDS.
The partner country’s commitments, drawn up in cooperation with the government, will be listed and the risks of the response strategy analysed.
In order to determine whether the priority sectors have a potential environmental impact, a reference will be made to a clear commitment to carry out a strategic environmental assessment.
PART 2: WORK PROGRAMME
All the aspects examined in the CSP feed into a work programme or NIP.
The NIP is essentially a management tool covering a period of several years to identify and def