Ref. Ares(2017)1012433-24/02/2017 ANNEX 1 SPECIAL MEASURE ON SUPPORTING SERBIA, THE FORMER YUGOSLAV REPUBLIC OF MACEDONIA AND OTHER IPA II BENEFICIARIES IN THE WESTERN BALKANS TO IMPROVE THEIR BORDER AND MIGRATION MANAGEMENT CAPABILITIES IN THE CONTEXT OF THE EUROPEAN REFUGEE CRISIS 1 IDENTIFICATION Beneficiary CRIS/ABAC Commitment references Total cost EU Contribution Budget line Management mode/ Entrusted Entity Final date for contracting including the conclusion of delegation agreements Final date for operational implementation Programming Unit Implementing Unit/ EU Delegation Albania, Bosnia and Herzegovina, the former Yugoslav Republic of Macedonia, Kosovo, Montenegro, the Republic of Serbia 2017 / 40253 EUR 30 million EUR 30 million 22.020101 Action 1: Indirect management by the entrusted entity listed below: International Organisation for Migration (IOM) Action 2: Direct management by the European Commission Action 3: Direct management by the European Commission at the latest by 31 December 2018 Action 1 and 2 at the latest by 31 December 2021 Action 3 at the latest by 14 December 2019 NEAR D2 Serbia (in association with other relevant units) Action 1: EU Delegations to Albania, Bosnia and Herzegovina, the former Yugoslav Republic of Macedonia, Montenegro, Serbia, EU Office in Kosovo Action 2: EU Delegation to Serbia Action 3: NEAR D2 Serbia This designation is without prejudice to positions on status, and is in line with UNSCR 1244/1999 and the ICJ Opinion on the Kosovo declaration of independence. 1
2 SPECIAL MEASURE 2.1 DESCRIPTION OF THE SPECIAL MEASURE Rationale for the selection of the specific sectors under this programme: In 2015 and 2016, around 1.5 million third-country nationals applied for international protection in the EU, Norway and Switzerland. The majority of these asylum seekers and migrants arrived via the Western Balkan route in 2015 and beginning of 2016, before the EU Turkey Statement entered into force. Although the route has been declared closed and the number of arrivals from Turkey have dropped by around 90 %, a continuous flow of people is still taking the route. The main route currently goes from Greece and Bulgaria, further onward through the former Yugoslav Republic of Macedonia and Serbia. At this point the flow is reduced, given the restrictions to entry put in place by Hungary and Croatia, countries through which these persons would cross to reach the preferred destination in the Schengen area. A smaller number of persons reaches the EU through alternative routes that lead from Greece to Albania, and further North. The refugee and migration crisis has exerted a particularly high pressure on Serbia and the former Yugoslav Republic of Macedonia, countries that have limited resources to cope with such high influx. Decisions taken in one country along the route, have a domino effect on the border of each of the countries downstream and on the number of migrants and refugees stranded in countries along the route. In 2016 migrant-smuggling activities and falsification of documents has increased, and the number of persons stranded, in particular in Serbia, has increased reaching an estimate of 7 000-8 000. Identification and registration of asylum seekers and migrants remains a challenge for all countries along the route. The assessment of the Commission is that such a situation is going to continue also in 2017 and therefore the continuation of EU support is considered essential. Particular efforts will be needed in strengthening the capabilites of the countries to control their borders, and to support them in adapting their response in terms of accomodation of migrants and refugees and related services to the evolving situation on the ground. Overview of past and on-going EU, other donors' and/or Instrument for Pre- Accession Assistance (IPA II) beneficiary's actions in the relevant sectors: This IPA II special measure is directly linked to existing EU support, in particular on enhancing Serbia's and the former Yugoslav Republic of Macedonia's border and migration management capabilities. Since the steep increase of arrivals in summer 2015, EU assistance has been allocated mainly through humanitarian aid and special measures in support of the Western Balkans, to increase control of migration flows at the border and to improve their reception capacity for migrants and refugees, among others. EUR 35 million has been allocated through IPA II in 2015 and 2016 to support Serbia (EUR 20.4 million) and the former Yugoslav Republic of Macedonia (EUR 14.6 million) in particular, through three special measures, in a display of solidarity with these countries. This funding supported costs incurred in managing the migration flow, including accommodation, healthcare and protection of migrants and refugees; it also 2
strengthened the host communities' infrastructure and medical capacity; strengthened the countries' capacity to conduct systematic border checks and border surveillance, improve identification and registration of third-country nationals crossing their border in a regular and irregular fashion, and to combat and prevent migrant-smuggling, human trafficking and cross-border crime; provided additional vehicles and technical equipment to assist national authorities in controlling their borders. EUR 24.4 million in EU humanitarian aid has been allocated since the beginning of the refugee crisis to assist refugees and migrants in the Western Balkans, providing people in need with essentials such as temporary shelter, food, health, protection (with an emphasis on the protection of child migrants/refugees). The countries have furthermore received several bilateral donations from EU Member States and non-member States, for shelters, services, humanitarian relief, registration and border police equipment. EUR 8 million has also been allocated to enhance migration management capabilities at regional level in the Western Balkans, particularly in strengthening information mechanisms in the identification of migrants, strengthening voluntary and non-voluntary return systems and in improving national referral mechanisms for different types of assistance given to migrants and refugees. Since 2007, some EUR 191 million has been allocated though IPA to support the Western Balkans both at country and regional level, achieving important results in migration and border management: border controls standards have been raised allowing smoother controls with higher security standards; the countries have proper facilities to host asylum seekers; and the authorities are aligning their standards on asylum procedures with EU standards. These results contribute to the main objective of strengthening the capacity of the Western Balkans to manage migration flows across the borders and to ensure appropriate treatment of asylum seekers and refugees. List of Actions foreseen under the Special Measure: Action Implementation modality Action 1 Support to border and migration management Action 2 Support to national authorities to increase their operational capacity Action 3 Contribution to EU Regional Trust Fund in response to the Syrian crisis, the Madad Fund (EUTF for Syria). Amount Indirect management EUR 9 500 000 with International organisation Direct management EUR 500 000 Direct management EUR 20 000 000 TOTAL EUR 30 000 000 3
2.2 DESCRIPTION AND IMPLEMENTATION OF THE ACTIONS Action 1 Support to border and migration management Indirect management with international organisation EUR 9 500 000 (1) Description of the Action, objective, expected results and key performance indicators The overall objective of this Action is to continue supporting Serbia and the former Yugoslav Republic of Macedonia and, where needed, other IPA II beneficiaries in the Western Balkans, to improve their border and migration management capabilities in the context of the European refugees and migration crisis. The specific objective is to support border and migration management capabilities, including systematic border checks and border surveillance, the identification and registration of third-country nationals crossing the border in a regular or irregular fashion, effective return of irregular migrants not in need of international protection and combating and preventing migrant smuggling, human trafficking and cross-border crime, in full respect of the rule of law and fundamental rights. Expected results: Strengthened operational capacity of the border guard authorities of the beneficiary countries to carry out border control, in line with EU standards Knowledge and experience of EU border guards transferred to domestic border guards Improved border management capacities Improved management of the mixed migration flows, including registration and identification of new arrivals, in line with EU standards Improved ability to prevent and combat migrant smuggling, human trafficking and other cross-border crime, in line with EU standards. Key performance indicators: Number of staff (domestic border guards and guest officers) and man-days deployed at the border; Number of joint patrols; Pieces of technical equipment for border control procured and put at the disposal of the competent national authorities; Number of fraudulent identification and travel documents detected; Number of irregular border crossings detected along the green border; Number of trainings provided on border and migration management, in line with EU acquis and Schengen acquis. 4
The EU, Serbia, and the former Yugoslav Republic of Macedonia, and where needed, other IPA II beneficiaries in the Western Balkans, will agree reporting arrangements as regards these key indicators and any other issues relevant to the successful implementation of the action including any cases of non-compliance with relevant EU and international standards. (2) Assumptions and conditions The border guards of Serbia and the former Yugoslav Republic of Macedonia, and where needed, other IPA II beneficiaries in the Western Balkans, together with guest officers will continue respecting all relevant standards, in particular as regards respect for fundamental rights and human dignity, in carrying out operations supported by this Action. The countries will provide the necessary number of border guards, in order to accommodate guest officers from an operational perspective and maintain an appropriate ratio between domestic officers and guest officers. This Action will continue supporting the deployment of guest border guards only until the full deployment of the EBCG Agency teams on the basis of Status agreements. When such EBCG Agency deployment becomes fully operational, the Action will be revised accordingly to ensure relevant complementarities. Swift contracting of funds will ensure timely financial support for the joint operation and for delivery of equipment and training activities. Any support to operations on border not yet covered by ongoing activities will have to be agreed in advance with Commission services In case the evolution of the situation requires, the support can be re-directed or expanded to other IPA II beneficiaries in the Western Balkans. (3) Implementation arrangements for the action: Action 1 shall be implemented by indirect management with an international organisation in accordance with Article 58(1)(c)(ii) of the Financial Regulation and the corresponding provisions of its Rules of Application. This Action will be implemented through one or more delegation agreements. (3)(a) Entity entrusted with budget implementation tasks The International Organisation for Migration (IOM) is considered the most appropriate partner as it meets all below selection criteria, essential for bringing the action on the ground quickly and to the highest professional standards: It has offices and sufficient administrative capacities in Serbia, the former Yugoslav Republic of Macedonia and other Western Balkan countries. It has the capacity to respond quickly. 5
It has a proven track record and expertise in border and migration management related programmes in Serbia, the former Yugoslav Republic of Macedonia, as well as in other Western Balkan countries. It has experience with all tasks that are required under the action: logistical support, procurement, managing large and complex operations. It has successfully completed the EU 'pillar assessment', except for financial instruments. (3)(b) Short description of the tasks entrusted to the entity Contract management, coordinating with the EU and domestic authorities and reporting on the implementation of the action; Ensuring that running costs (accommodation, food, fuel) is provided to the guest officers and to the domestic officers re-deployed from other parts of the countries to work with the guest officers; Organisation of procurement procedures: to ensure the needed equipment is supplied and put in use as quickly as possible; Delivery of institutional capacity building activities. The implementation arrangements will include a clause to allow the assistance to the host countries to be suspended in case of serious concern as regards the respect for EU and international standards in carrying out the Action. Action 2 Support to national authorities to increase their operational capacity Direct management EUR 500 000 (1) Description of the Action, objective, expected results and key performance indicators The objective of this Action is to strengthen the capacity of the Serbian Commissariat for Refugees and Migration (Commissariat) as the specialised government agency responsible for operating the reception centres across the country and co-ordinating all services provided to refugees and migrants by other governmental and nongovernmental bodies. Expected results: Strengthened monitoring, information management and planning capacity of the Commissariat to support various needs of refugees and migrants; Increased capacity for management of reception facilities and coordination of the Commissariat; 6
Services are better tailored and targeted to the needs of women, men and children who are migrants and refugees. Key performance indicators: Degree of use of harmonised standard operating procedures (SOP) in management of accommodation centres. (2) Assumptions and conditions Given the experience so far, it can be assumed that the Commissariat will continue to offer professional, reliable and dedicated support in the reception facilities. The intervention will require enhanced humanitarian relief co-ordination by the Commissariat with other government and non-state stakeholders operating in the reception facilities, including international organisations and Non-Governmental Organisations (NGOs). (3) Implementation arrangements for the action: Direct management by the EU Delegation in Serbia (3)(c) Essential elements of the action (for direct management) Grant - Direct grant award 'Support to national authorities to increase their operational capacity': a) Objectives and foreseen results: to strengthen the capacity of the Commissariat. The main results will be: strengthened monitoring, information management and planning capacity of the Commissariat to support various needs of refugees and migrants; increased capacity for management of reception facilities and coordination of the Commissariat; services are better tailored and targeted to the needs of women, men and children who are migrants and refugees. b) Justification for the use of an exception to calls for proposals: Action 2 shall be implemented through direct grant award in line with Article 190 (f) of the Rules of Application "for actions with specific characteristics that require a particular type of body on account of its technical competence, its high degree of specialisation or its administrative power, on condition that the actions concerned do not fall within the scope of a call for proposals". The International Organisation for Migration (IOM) is considered the most appropriate partner as it meets all below selection criteria, essential to carry out the activity in a timely and high quality manner: The IOMs mandate covers all categories of migrants including refugees, asylum seekers and irregular migrants, It has a proven track record and specialised expertise in all the tasks that are required under the action and experience in relevant programs in Serbia, 7
The activities under Action 2 are part of the IOMs core mandate in terms of analysing migration management and recommending improvement, It has offices and sufficient administrative capacities in Serbia, It has the capacity to respond quickly c) the name of the beneficiary: International Organisation for Migration (IOM) d) The essential selection criteria are financial and operational capacity of the applicant. The essential award criteria are relevance, effectiveness and feasibility, sustainability and cost-effectiveness of the action. e) indicative amount of the grant: EUR 500 000 f) Maximum rate of EU co-financing: The maximum possible rate of EU financing will be 100 % of the total cost of the action. Full financing of the action is essential for the action to be carried out because of the importance of the action in terms of improving migration management in Serbia at a critical time and the urgent need to better tailor and target assistance to refugees and migrants. The end beneficiary of the action has underlined the importance of this action. g) Indicative date for signing the grant agreement: Q1-Q2 2017 Action 3 Contribution to EU Regional Trust fund in response to the Syrian crisis, the 'Madad Fund' (EUTF for Syria). Direct management EUR 20 000 000 (1) Description of the Action, objective, expected results and key performance indicators The objective of this Action is to support the authorities in the Western Balkans in responding to resilience needs of migrant or refugee populations on their territory, including enhancing shelter capacity and delivery of services. The operation consists of a financial contribution to the EUTF for Syria. Expected results: This contribution shall be swiftly transferred to the EUTF for Syria to maximise coherence and synergies among activities supporting the authorities in the Western Balkans in responding to resilience needs of migrant or refugee populations on their territory. The activities to be supported will be approved by the EUTF for Syria Operational Board, in line with the objectives of the EUTF for Syria and the needs identified by 8
representatives of the host country. The sustainability of the results of the support will be ensured by the improved international cooperation and particularly by showing the added value and results of first response programmes financed through EUTF for Syria. Key performance indicator: Amount of funds and adopted actions contracted by the EUTF for Syria for the Western Balkans within 12 months of the adoption of this Special Measure. (2) Assumptions and conditions Main risks are linked to the overall volatility of the situation along the Eastern Mediterranean/Western Balkan Route. It is clear that several external constraints may affect the implementation of projects channelled through the EUTF for Syria, such as a sharp increase in the refugee and migrant population or developments on the situation on borders along the route. (3) Implementation arrangements for the action The action shall be implemented under direct management by the European Commission Directorate-General for Neighbourhood and Enlargement Negotiations. This action will be implemented through a direct contribution to the EUTF for Syria. The EUTF for Syria shall implement the contribution as follows: (a) directly (i) by the Commission s departments, including its staff in the EU Delegations/Office under the authority of their respective Head of Delegation/Office, (ii) or through executive agencies; or (b) indirectly with third countries or the bodies they have designated, international organisations and their agencies, public law bodies or bodies governed by private law with a public service mission to the extent that the latter provide adequate financial guarantees. The Constitutive Agreement signed in December 2014 between the European Commission and Italy, the first donor, defines the rules and procedures applying to the management and governance of the EUTF for Syria. Establishment of the EUTF for Syria was decided by Commission decision of 10 December 2014 (C/2014/9615 final). The rules of governance for the EUTF for Syria are laid down in the above mentioned Constitutive Agreement. Subsequently, it is for the Operational Board of the EUTF for Syria to discuss and adopt Actions financed by the EUTF for Syria. The Operational Board will only consider the aforementioned funding decisions on the basis of proposals submitted by the Manager of the EUTF for Syria. In addition, the Commission, in its role of representative of the EU (the donor) in the EUTF for Syria, acts as Chair of this Board. 9
3 BUDGET 3.1 INDICATIVE BUDGET TABLE SPECIAL MEASURE FOR SERBIA, THE FORMER YUGOSLAV REPUBLIC OF MACEDONIA AND OTHER IPA II BENEFICIARIES IN THE WESTERN BALKANS EU Contribution IPA II beneficiary Co-financing Total expenditure Management Mode Total programme Objective 1 Special measure 30 000 000 30 000 000 mixed 30 000 000 Action 1 9 500 000 9 500 000 Indirect management International Organisation 9 500 000 Action 2 500 000 500 000 direct 500 000 Action 3 20 000 000 20 000 000 direct 20 000 000 TOTAL 30 000 000 30 000 000 30 000 000 10
4 IMPLEMENTATION MODALITIES AND GENERAL RULES FOR PROCUREMENT AND GRANT AWARD PROCEDURES DIRECT MANAGEMENT: Part of this programme shall be implemented by direct management by the Commission / by the EU Delegations/Office in accordance with article 58(1)(a) of the Financial Regulation and the corresponding provisions of its Rules of Application. Procurement shall follow the provisions of Part Two, Title IV Chapter 3 of the Financial Regulation No 966/2012 and Part Two, Title II, Chapter 3 of its Rules of Application. Grant award procedures shall follow the provisions of Part Two Title IV Chapter 4 of the Financial Regulation No 966/2012 and Part Two Title II Chapter 4 of its Rules of Application. Under the Financial Regulation, Parts One and Three of the Financial Regulation and its Rules of Application shall apply to external actions except as otherwise provided in Part Two, Title IV. The Commission may also use services and supplies under its Framework Contracts concluded following Part One of the Financial Regulation. INDIRECT MANAGEMENT: Part of this programme shall be implemented by indirect management with entrusted entities other than the IPA II beneficiary in accordance with Article 58(1)(c) of the Financial Regulation and the corresponding provisions of its Rules of Application. The general rules for procurement and grant award procedures shall be defined in the relevant delegation agreements between the Commission and the entrusted entity implementing such action. 5 PERFORMANCE MONITORING ARRANGEMENTS As part of its performance measurement framework, the Commission shall monitor and assess progress towards achievement of the specific objectives set out in the IPA II Regulation on the basis of pre-defined, clear, transparent measurable indicators. The progress reports referred to in Article 4 of the IPA II Regulation shall be taken as a point of reference in the assessment of the results of IPA II assistance. The Commission will collect performance data (process, output and outcome indicators) from all sources, which will be aggregated and analysed in terms of tracking the progress versus the targets and milestones established for each of the actions of this programme, as well as the Country Strategy Paper. In the specific context of indirect management by IPA II beneficiaries, National IPA Coordinators (NIPACs) will collect information on the performance of the actions and programmes (process, output and outcome indicators) and coordinate the collection and production of indicators coming from national sources. 11
The overall progress will be monitored through the following means: a) Result Orientated Monitoring (ROM) system; b) IPA II beneficiaries' own monitoring; c) self-monitoring performed by the EU Delegations/Office; d) joint monitoring by the Directorate-General for Neighbourhood and Enlargement Negotiations and the IPA II beneficiaries, whereby the compliance, coherence, effectiveness, efficiency and coordination in implementation of financial assistance will be regularly monitored by an IPA II Monitoring committee, supported by Sectoral Monitoring committees, which will ensure a monitoring process at sector level. 12