Explanatory Memorandum to COM(2011)845 - Instrument for Stability - Main contents
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| dossier | COM(2011)845 - Instrument for Stability. |
|---|---|
| source | COM(2011)845  |
| date | 07-12-2011 |
Crises and conflicts affect countries world-wide and pose a risk to global security and stability. Conflicts are often linked to state fragility and exacerbated by weak governance and poverty. In addition, some of the most critical security challenges have a worldwide scope, impacting on both developing and industrialized countries. Natural and man-made disasters, drug trafficking, organized crime, terrorism, cyber security challenges and threats and related disruptions increase insecurity, hamper development, weaken the rule of law and contribute to instability. The increasing challenge of climate change is a multiplier of existing threats that add a new dimension of man made natural hazards and security risks.
Responding to these structural challenges requires a significant collective effort, based on strong partnerships with other States, civil society actors, multilateral and regional partners to create the conditions for supporting countries to avoid the relapse into conflict. A comprehensive EU response to international crises beyond humanitarian assistance is therefore required in which EU capacity for crisis preparedness, preventive and response actions is fostered. Furthermore, a capacity to deploy experts for various civilian missions based on inter-operability among EU Member States and other international actors alongside a dialogue with non-state actors needs to be developed.
The new Treaty on the European Union (Article 21) has defined common overarching principles and objectives for the external action of the Union, inter alia to “preserve peace, prevent conflicts and strengthen international security”. This is also supported by various Council Conclusions concerning the effectiveness of external action (2004), Security and Development (2007) and General Conclusions (2010) the latter calling for further reinforcement of EU crisis management tools to support Common Security and Defense Policy. Additional political guidance was given by the Foreign Affairs Council Conclusions on conflict prevention of 20 June 2011. Climate and security nexus was identified as a key area for further work by the Foreign Affairs Council of 18 July 2011. The Commission also prepared in 2011 an implementation plan for the EU Strategy for supporting Disaster Risk Reduction in developing countries i, which identify the development of Post Disaster Needs Assessments (PDNAs) as a priority to integrate disaster risk reduction into the recovery frameworks of the affected countries and encourage resilience and crisis preparedness.
Accordingly the new Instrument for Stability replacing the earlier Regulation which expires on 31 December 2013, should capitalise on the opportunities presented for advancing coordinated EU efforts in all of the above areas.
Contents
Public Consultation
The European Commission held a public consultation on future funding for EU external action between 26 November 2010 and 31 January 2011. This process was based on an online questionnaire accompanied by a background paper 'What funding for EU external action after 2013’ prepared by Commission and EEAS. The 220 contributions received reflected a broad and diverse spectrum representing the variety of structures, views and traditions characterising the external action community.
Regarding EU external action on peace and international security, including EU peace-building and crisis preparedness, the importance of investing in long-term stability, human rights and economic development was also underlined by many respondents. The Instrument for Stability is highly valued and many respondents ask the EU to enhance its potential, referring in particular to the need to safeguard its advantages, namely the speed of delivery and direct financing.
Collection and use of Expertise
A 2011 evaluation of the Instrument for Stability’s crisis response and crisis preparedness components (Articles 3 and 4.3) concluded that the Instrument was unique within the EU peace, security and development architecture allowing the EU to support a broad range of critical crisis preparedness and response initiatives. EU capacity to intervene in crisis situations has been expanded while the coherence and effectiveness of crisis prevention and peace-building initiatives have been enhanced alongside partners’ capacity to prepare for and respond to crisis.
Evaluations of chemical biological radiological and nuclear (CBRN) materials risk mitigation actions (article 4.2) underlined the importance Member States attached to an EU programme to help build capacity in partner countries to fight proliferation of sensitive materials and expertise. CBRN risk mitigation actions enable the EU to collectively contribute to reducing the threat of malevolent uses of weapons of mass destruction (WMD) materials and know-how.
A 2009 scoping study of the crisis preparedness component (Article 4, the Peace-building Partnership) recommended increased focus on capacity building of local partners, policy dialogue with non-state actors while maximising thematic synergies with EU policy priorities and supported actions. A more flexible approach to funding to enable non-state actors and EU Member States to benefit from this assistance is required.
A 2009 publication of the EU Institute for Security Studies, providing the first comprehensive review of ESDP operations between 1999 and 2009 underlined the Instrument’s catalytic effect, recognizing its added-value in preparing and improving the delivery of EU long-term external assistance and CFSP actions
While largely positive about the implementation to date, several areas for improvements were highlighted. They specifically refer to speed of deployment of the Instrument, increasing its overall flexibility with regard to implementation timeframes of exceptional assistance measures and interim response programmes and threshold amounts and increasing financial and human resources.
Impact Assessment
The Commission carried out an Impact Assessment (IA) that considered 4 basic policy alternatives: (Option 0) discontinuing the IfS (Option 1) maintaining the Instrument’s current scope without any amendment (Option 2) revising the Instrument to increase its flexibility provisions and (Option 3) a new Instrument or new Instruments (s) incorporating the following considerations (a) to tackle separately crisis response and preparedness issues and security-related issues - terrorism, trans-regional threats and CBRN issues – (b) to encompass EU external actions tools currently carried out under other instruments (e.g. EU Electoral Observation Missions or the African Peace Facility).
Option 0 was immediately disregarded as no successor to the current Instrument would imply the loss of EU international credibility as well as failure to fulfil its obligations under Article 21 of the Treaty. Option 1 would imply missing an opportunity to improve and enhance the Instrument’s value on the basis of experience. Option 3 to establish new Instruments providing for split between crisis response and preparedness, on the one hand, and global and trans-national threats on the other, was not advised. Besides running against the overall aim of rationalising the number of existing instruments, it could result in a less coherent and complementary interaction in addressing drivers of conflict. Option 2, to retain the main features and characteristics of the Instrument while streamlining its provisions to increase its flexibility was the preferred choice as it enables the EU to respond more effectively and rapidly to future international peace and security challenges. Option 2 will particularly allow for the possibility to extend and re-conduct exceptional assistance measures in response to crises and protracted conflicts and allow the Commission to rapidly approve initial response measures so as to enhance the EU’s strategic position in responding to a given crisis.
The policy options considered are intended to consolidate and wherever possible, improve the current functioning of the Instrument.
Legal Basis
Part V, Title III, Chapters 1 and 2 of the Treaty of the Functioning of the European Union (the Treaty), provide the legal framework for cooperation with third countries, regional and international organisations, state and non-state actors. The proposed Regulation is based in particular on Articles 209 i and Article 212.2 of the Treaty, and is presented by the Commission in accordance with the procedure laid down in Article 294 of the Treaty.
Subsidiarity and Proportionality
The Instrument has worldwide scope, a double Treaty legal basis (“development cooperation” and “economic, financial and technical cooperation with third countries”) and not being bound to ODA-eligibility criteria, allows the EU to properly tackle the security and development nexus.
As a global player, the EU has credibility and a perception of neutrality that provides a competitive advantage to intervene in many conflict areas to avoid escalation or to offer good offices in preventing conflict. An increased level of impact is achieved when the response is provided at EU level, as combined efforts provide increased leverage over authorities and international partners. Crisis response actions at EU level maximise the coherence of response and aid efficiency. Synergies and cooperation are increasingly needed at international level, as donors are facing similar problems in terms of scarce resources. In this regard, it should be noted that a very limited number of EU Member States operate a crisis response or peace-building facility comparable in scope to the Instrument for Stability
Choice of Instrument
The Instrument for Stability addresses needs that cannot otherwise be tackled under any other instrument either because of (a) the urgency of the response, (b) the global or trans-regional nature of the problem, exceeding the scope of a geographic instrument; (c) the exclusion of the supported area from funding under ODA-bound instruments (e.g., counter-terrorism), or (d) the non-country specific nature of the assistance (e.g. projects to develop international standards or policies in the field of conflict prevention and peace-building).
Moreover, it has demonstrated a catalytic effect in preparing and improving the delivery of EU long-term external assistance and actions adopted by the EU in pursuit of Common Foreign and Security Policy objectives within the framework of Title V of the TEU
The Commission proposes to allocate €70 billion for the 2014-2020 period for the external instruments i. The foreseen allocation for IfS is € 2.828,9 million for the 7 years.
5. OPTIONAL ELEMENTS
Simplification
A priority for the Commission in this new Regulation, as in other programmes within the context of the Multiannual Financial Framework (MFF), is to simplify the regulatory environment and facilitate the access of Union assistance to partner countries and regions, civil society organisations, etc to the extent that these pursue the objectives of the Regulation.
Simplification will be delivered through a clearer delineation and a reduction of overlaps between all the external instruments, so as to identify them individually with clearly defined policy objectives. Simplification of rules and procedures for the delivery of EU assistance is proposed, notably for derogation from Commitology for the adoption of a second Exceptional Assistance Measure under Article 7 and an additional new provision enabling the Commission to adopt Exceptional Assistance Measures up to EUR 3 million without prior information to Council under the same Article.
Furthermore, the revision of the Financial Regulation, which is particularly substantial with regard to the special provision on external actions, will contribute to facilitate the participation of civil society organisations in funding programmes, for example by simplifying rules, reducing the costs of participation and accelerating award procedures The Commission intends to implement this Regulation using the new flexible procedures provided for in the new Financial Regulation.
Delegated Acts
It is considered that democratic scrutiny of external aid must be improved. While the elements under the current IfS are kept, it is proposed that democratic scrutiny is reinforced through the use of delegated acts in accordance with Article 290 of the Treaty for certain aspects of the programmes. Provisions detailing assistance under Articles 3, 4 and 5 are subject to use of delegated acts.
The new structure of the Union instruments to implement external development assistance under the 2014-2020 financial perspectives is presented by the Commission's communication A Budget For Europe 2020 i. Further information on the general objectives, the specific objectives and the conditions governing the implementation of the financial instrument for stability are given in the financial statement annexed to the Regulation.