Communication from the Commission to the Council, the European Parliament, the European Economic and Social Committee and the Committee of the Regions - Towards an EU response to situations of fragility - engaging in difficult environments for sustainable development, stability and peace - {SEC(2007) 1417}
Date: 2007-10-25
Institutions: European Commission
Subjects: common foreign and security policy, cooperation policy, development aid, humanitarian aid, international security, peacekeeping, sustainable development, the EU's international role

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 25.10.2007 
COM(2007) 643 final 

COMMUNICATION FROM THE COMMISSION TO THE COUNCIL, THE 
EUROPEAN PARLIAMENT, THE EUROPEAN ECONOMIC AND SOCIAL 
COMMITTEE AND THE COMMITTEE OF THE REGIONS 

Towards an EU response to situations of fragility 

- engaging in difficult environments for sustainable development, stability and peace - 

{SEC(2007) 1417} 

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TABLE OF CONTENTS 

1. 

2. 

3. 

4. 

4.1. 

4.2. 

4.3. 

4.4. 

4.5. 

4.6. 

4.7. 

5. 

List of Acronyms.......................................................................................................... 3 

Introduction .................................................................................................................. 4 

Background .................................................................................................................. 4 

Towards an EU response to situations of fragility ....................................................... 5 

Identifying fragility: triggers and features ................................................................... 5 

Engagement in situations of fragility: challenges ........................................................ 5 

Preventing fragility: dialogue and analysis to identify and tackle triggers of fragility 6 

Addressing fragility: strategies and priorities .............................................................. 7 

Post-crisis: Linking Relief, Rehabilitation and Development (LRRD) ....................... 8 

Security and fragility.................................................................................................... 8 

Democratic governance and human rights in situations of fragility ............................ 8 

Improving instruments ............................................................................................... 10 

5.1. 

Financial instruments and procedures........................................................................ 10 

5.1.1.  European Development Fund (EDF) ......................................................................... 10 

5.1.2.  Development Cooperation Instrument (DCI) and European Neighbourhood and 

Partnership Instrument (ENPI)................................................................................... 10 

5.1.3. 

Instrument for Stability .............................................................................................. 11 

5.1.4.  Humanitarian aid........................................................................................................ 11 

5.1.5.  European Instrument for Democracy and Human Rights (EIDHR) and Thematic 

Programme "Non State Actors and Local Authorities in Development"................... 11 

5.2. 

Budget support ........................................................................................................... 11 

6. 

The way forward: priorities and deliverables............................................................. 12 

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1. 

LIST OF ACRONYMS 

ACP: Africa, Caribbean and the Pacific 

AfDB: African Development Bank 

CFCSP: Common Framework for Country Strategy Papers 

CFSP: Common Foreign and Security Policy 

CSP: Country Strategy Paper 

DCI: Development Cooperation Instrument 

DDR: Disarmament, Demobilisation, Reintegration 

ENP: European Neighbourhood Policy 

ENPI: European Neighbourhood and Partnership Instrument 

EDF: European Development Fund 

ESDP: European Security and Defence Policy 

IMF: International Monetary Fund 

LRRD: Linking Relief, Rehabilitation and Development 

NIP: National Indicative Programme 

OECD/DAC:  Organisation  for  Economic  Co-operation  and  Development  /  Development 
Assistance Committee 

SSR: Security Sector Reform 

UN: United Nations 

WB: World Bank 

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2. 

INTRODUCTION 

Fragile situations constitute a particular challenge as an obstacle to sustainable development, 
equitable  growth  and  peace,  creating  regional  instability,  security  risks  at  global  level, 
uncontrolled  migration  flows,  etc.  The  EU  must  be  able  to  put  the  large  variety  of 
instruments,  both  at  Member  States  and  Community  level,  at  work  within  an  agreed  and 
coordinated response strategy covering such situations. This Communication aims to provide 
the basis for such an EU response strategy to be developed together with the Council and EU 
Member States. 

The existing EU policy framework and instruments, the ongoing international debate and EU 
comparative  advantages  and  experience  form  the  basis  of  this  Communication.  A  technical 
Annex  draws  conclusions  from  engagement  in  situations  of  fragility.  In  addition,  the 
Commission  Services  and  the  Council  Secretariat  have  developed  a  Joint  paper  to  launch  a 
debate on "Security and Development" where issues of relevance to this Communication are 
more specifically addressed.  

This  Communication  integrates  the  outcome  of  an  open  debate  with  key  civil  society 
organisations and an informal meeting of EU Ministers of Development in September 2007. It 
is being forwarded to the other EU institutions with a view to launching a discussion aimed at 
consolidating a comprehensive EU strategy for addressing fragility and therefore contributing 
to  creating  conditions  for  sustainable  development,  stability,  peace  and  democratic 
governance.  

3. 

BACKGROUND 

The  international  community  is  increasingly  concerned  about  the  consequences  of  fragility, 
which  exacerbate  the  challenge  of  reaching  the  Millennium  Development  Goals,  harm 
people’s wellbeing and freedoms and may involve global security risks. The UN, donors and 
regional and continental organisations prioritise integrated approaches for engaging in fragile 
situations. The Paris Declaration on Aid Effectiveness recalls that principles of harmonisation, 
alignment and management-for-results must be adapted to environments of weak governance 
and  capacity.  The  OECD/DAC  endorsed  a  "Policy  Commitment  and  a  set  of  Principles  for 
Good  International  Engagement  in  Fragile  States  and  Situations",  emphasising  "Whole-of-
government  approaches",  which  require  close  cooperation  between  economic,  development, 
diplomatic and security actors. 

The Community and EU Member States together constitute the world’s largest development 
assistance  and  humanitarian  aid  donor.  The  EU  has  become  an  important  political  and 
security  actor.  It  has  special  responsibilities  in  addressing  challenges  posed  by  fragile 
situations,  but  also  comparative  advantages  such  as  the  worldwide  network  of  Commission 
Delegations.  

A  policy  framework  already  exists  for  addressing  the  different  dimensions  of  fragility.  The 
European  Consensus  on  Development  provides  guidance  on  a  comprehensive  response  to 
fragility. It is part of a broader external action framework which needs to be comprehensively 
activated, for the Union to address fragility in a timely and coherent fashion. This includes, 
the  European  Security  Strategy,  the  EU  Programme  for  Prevention  of  Violent  Conflict,  the 
European  Neighbourhood  Policy,  the  Linking  Relief,  Rehabilitation  and  Development 

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strategic framework, the Consensus on Humanitarian Aid and the EU approach to governance 
and  development.  The  enlargement  process  contains  instruments  that  can  be  useful  in  this 
context.  EU  commitments  on  Policy  Coherence  for  Development  and  the  EU  Code  of 
Conduct on Complementarity and Division of Labour are part of this framework. 

4. 

TOWARDS AN EU RESPONSE TO SITUATIONS OF FRAGILITY 

4.1. 

Identifying fragility: triggers and features 

Fragility  refers  to  weak  or  failing  structures  and  to  situations  where  the  social  contract  is 
broken due to the State’s incapacity or unwillingness to deal with its basic functions, meet its 
obligations and responsibilities regarding service delivery, management of resources, rule of 
law,  equitable  access  to  power,  security  and  safety  of  the  populace  and  protection  and 
promotion of citizens' rights and freedoms.  

Public  institutions,  political  processes  and  social  mechanisms  that  lack  effectiveness, 
inclusiveness or legitimacy drive fragility: conditions are not met for achieving a minimum of 
institutional and financial development, launching long-term strategies and gradually raising 
governance  standards.  In  this  context,  fragility  is  rooted  in  high  levels  of  poverty  or  in 
inequitable distribution of wealth.  

In most extreme cases, states can collapse or withdraw from parts of the territory, which can 
lead  to  permanent  insecurity,  chronic  violent  conflict  and  humanitarian  crises.  A  range  of 
trans-national security and instability threats may also result from these situations, which may 
undermine EU strategic objectives and interests.  

Fragility  features  in  many  low  and  middle  income  countries  with  structurally  weak 
economies,  which  are  unstable  and  vulnerable  to  crises,  external  shocks,  epidemics,  drug 
trafficking,  natural  disasters  and  environmental  degradation,  as  well  as  endangered  cultural 
assets and diversity. It can also be a side effect of either globalisation in marginalised areas of 
the world economy, or over dependence on the import of conventional energy sources, which 
can hamper  stabilisation and development. Climate  change is  expected to  exacerbate fragile 
situations by introducing new and multiple impacts in low capacity contexts. Further work on 
these links will contribute to develop innovative responses or to adapt existing approaches.  

From a human security perspective, poor and vulnerable populations are the most affected in 
situations  of  fragility,  which  may  push  human  capital  to  leave,  through  voluntary  or  forced 
migration that may aggravate fragility. 

4.2. 

Engagement in situations of fragility: challenges 

Dealing effectively with fragility requires taking deliberately calculated risks that have to be 
weighed against risks inherent to non-action. Supporting partner countries' efforts to prevent 
fragility,  to  address  its  root  causes  and  to  tackle  its  consequences  is  integrated  in  EU 
partnerships. Even when the application of cooperation agreements is partially suspended, the 
EU remains engaged through a mix of Community instruments and EU action, for reasons of 
solidarity, security and aid effectiveness. 

Avoiding engagement in situations where there are no significant political barriers, may lead 
to situations of "aid orphans" and leave an entire country, a region or a sector without access 

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to financial resources. On the other hand, the international focus on a given crisis may involve 
massive and uncoordinated financial flows leading to overlaps and lack of effectiveness.  

The  ongoing  efforts  towards  complementarity  through  the  EU  Code  of  Conduct  will  help 
addressing  the  "aid  orphans"  issue.  In  order  for  EU  Member  States  to  effectively  channel 
additional funds to "orphan fragile states", concrete options should be discussed.  

As part of humanitarian aid, the Community addresses this issue through its Forgotten Crisis 
Assessment  methodology,  which  facilitates  provision  of  support  to  victims  of  crises  that 
receive little or no media or donors attention. 

Comprehensive  and  coordinated  engagement  in  fragile  situations  through  "Whole  of 
Government"  approaches  is  necessary.  Open  communication  of  data  and  other  information, 
synergies  and  good  articulation  must  be  ensured  between  institutional,  state  and  non-state 
actors  (humanitarian,  development,  diplomacy,  law  enforcement,  security),  the  multilateral 
and other donors involved. Important progress has been accomplished but key constraints are 
still to be removed. 

Further  coordination  is  needed  within  the  EU.  Joint  training,  planning  and  assessments 
involving staff from the Commission, the Council Secretariat and Member States should take 
place more systematically, not only in situations of crisis and post-conflict, but also when a 
joint analysis shows a deteriorating situation that may aggravate fragility.  

Desk-to-desk contacts on fragility related geographical and thematic issues should be further 
promoted  by  the  Commission,  the  Council  Secretariat  or  EU  Member  States,  as  well  as 
mutual  information  and  coordination  between  EU  Heads  of  Mission  in  a  given  country  or 
region. The UN, other multilateral partners, donors, civil society organisations and institutions 
other than central governments (parliaments, local and decentralised authorities, regional and 
continental organisations) should also be involved as appropriate in this coordination process. 
Preventing  and  addressing  fragility  features  in  the  EU/Africa  Joint  Strategy.  Dialogue  on  this 
issue  will  continue  with  China  and  other  non-OECD  partners  with  a  significant  presence  in 
countries concerned. 

4.3. 

Preventing  fragility:  dialogue  and  analysis  to  identify  and  tackle  triggers  of 
fragility 

Donors,  partner  countries,  regions  and  organisations,  international  institutions,  civil  society 
and governments have developed early warning, analytical, monitoring and assessment tools 
relevant  for  situations  of  fragility.  Very  often,  these  tools  need  to  be  supplemented  by  the 
appropriate instruments allowing for timely implementation of the outcome of the analysis. 

Political dialogue with partner countries, regions and continental organisations is central in all 
Partnership  and  Cooperation  Agreements  concluded  by  the  EU.  Addressing  the  sources  and 
consequences of fragility in this dialogue may contribute to building country owned strategies 
leading to a durable exit from fragility.  

The  potential  of  Country  Strategy  Papers  (CSPs)  to  prevent  fragility  needs  to  be  enhanced: 
root  causes  of  conflict,  expressions  of  violence,  insecurity  and  risk  of  vulnerability  must  be 
more  systematically  addressed  through  development  programmes  and  ensuring  that  conflict 
sensitive approaches are applied. In the same vein, crisis management and risk reduction and 

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preparedness activities must be linked to development considerations and to the CSPs as the 
overall EU reference.  

4.4. 

Addressing fragility: strategies and priorities  

In  situations  of  fragility,  a  country,  a  region  or  a  particular  community,  is  exposed  to 
excessive  strains  and  threats.  Each  case  requires  a  differentiated,  articulated  and  holistic 
response,  articulating  diplomatic  action,  humanitarian  aid,  development  cooperation  and 
security. 

CSPs,  jointly  prepared  with  partner  governments,  are  the  preferred  framework  to  address 
fragility. In order to provide a better overview of the EU response, they should also refer to 
interventions  under  both  CFSP  and  the  Instrument  for  Stability.  CSPs  can  ensure  EU 
coordination in fragile situations, particularly through "joint programming", which enhances 
predictability  and  facilitates  synergies  to  fit  partners'  needs  and  priorities.  Engagement 
through Community instruments can have an added value because, in certain circumstances, it 
can be seen to be more neutral than bilateral cooperation. 

In  situations  that  have  deteriorated  so  much  that  long-term  development  cooperation  is  no 
longer possible or desirable, the EU tends to apply a mix of political and diplomatic action, in 
combination  with  a  certain  level  of  development  cooperation  and  crisis  management  tools. 
Humanitarian  aid  can  be  provided  in  but  is  not  triggered  by  a  situation  of  fragility  as  such, 
unless  there  is  a  slide  into  crisis  with  humanitarian  implications.  As  the  expression  of  EU 
solidarity  with  victims  of  man  made  and  natural  disasters,  it  is  neutral,  impartial  and 
independent:  it  does  not  imply  political  engagement  and  cannot  be  considered  as  a  crisis 
management tool.  

Regarding crisis management, the Union has strengthened its ability to act more quickly and 
flexibly  in  relation  to  crises  and  situations  of  fragility.  Political  dialogue  and  political 
measures  such  as  sanctions  are  also  part  of  the  EU  tool  box  in  situations  of  fragility. 
Engagement in situations of fragility should be open to a wide range of players, such as UN 
agencies, the Red Cross Movement or in-country actors. Parliaments, decentralised authorities 
and  civil  society  have  great  potential  for  driving  change,  which  can  be  maximised  by 
facilitating their access to funding.  

The initial response strategies should address the immediate needs of the population, even if 
strategic  responses  need  to  focus  on  the  long  term.  For  this,  it  is  crucial  to  understand  how 
fragility affects the different groups in a society, in particular women and vulnerable groups 
such as children, youth, disabled and minorities, in order to address their needs effectively.  

These  groups  can  also  act  as  "drivers  of  change".  Women,  in  particular,  must  not  be 
considered  only  as  passive  victims;  even  if  especially  in  situations  of  conflict  they  are 
particularly  vulnerable  to  sexual  crimes  and  exploitation.  Women  and  minorities  have  an 
important role in promoting sustainable peace and fostering security, but they usually do not 
have access to mechanisms, power and resources, and face discriminatory legal frameworks. 
Transition  periods  offer  windows  of  opportunity  to  address  gender  issues  and  minorities' 
rights,  through  constitutional  or  legal  reviews,  reform  of  the  judiciary,  and  involvement  in 
setting priorities in the reconstruction agenda.  

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4.5. 

Post-crisis: Linking Relief, Rehabilitation and Development (LRRD) 

Consistency  in  the  overall  response,  the  presence  of  adequate,  experienced  and  well 
coordinated  human  resources  and  sustained  funding  are  of  fundamental  importance.  Relief, 
crisis management, reconstruction assistance and long-term development cooperation must be 
properly  linked  as  part  of  an  integrated  approach  built  on  the  principle  of  sustainable 
development.  In  this  context,  the  Community  has  tried  to  implement  the  LRRD  strategic 
framework since the late nineties. This is a long and complex process which involves many 
different actors and financial instruments.  

The main focus of the LRRD approach has been to build long term strategies on sectors and 
actors that are key from the traditional relief perspective, with a view to ensuring continuity 
and facilitating synergies. However, governance, institutional development and security have 
to  be  better  integrated  in  the  strategic  framework.  Moreover,  funding  mechanisms  such  as 
trust funds managed by international agencies, often used in this context, are not always able 
to support the implementation of reconstruction and rehabilitation programmes as rapidly as 
expected,  and  although  they  could  in  principle  help  ensuring  donor  coordination  and 
coherence, they should not be used as a substitute for local ownership and EU's own presence. 

Efforts are still needed to both update the methods of implementation of the LRRD strategic 
framework,  with  due  integration  of  governance  and  security  concerns,  as  well  as  to  adapt 
procedures  and  financial  mechanisms  to  situations  where  flexibility  is  crucial.  The  purpose 
remains  to  try  and  achieve  better  harmonisation  of  analyses  and  policies,  integration  of 
strategies  (including  coordination,  coherence,  complementarity),  and  synergy  of  activities 
over  a  period  of  time,  covering  both  humanitarian  and  development  approaches  to  the 
situation.  

4.6. 

Security and fragility 

Linking  peace,  security  and  development,  within  a  country  and  across  borders,  is  often  a 
primary  concern  in  fragile  situations.  Development  cooperation  makes  an  essential 
contribution  to  promote  peace  and  stability  by  addressing  expressions  of  violence  and  root 
causes of insecurity and violent conflict. 

The EU has enhanced conflict prevention and crisis management capacities. It is able to act 
more quickly and flexibly in relation to crises and situations of fragility. A combined use of 
Community  instruments,  including  the  specific Peace  Facility  for  Africa  and  the  Instrument 
for  Stability,  and  CFSP/ESDP  tools,  facilitates  strengthening  national,  regional  and 
continental approaches to fragility. 

A  broad,  developmental  approach  to  security,  that  integrates  human  security  concerns  in 
governance related programmes such as SSR and DDR can ensure that the focus is placed on 
the  security  of  individuals  and  their  basic  needs  and  rights.  An  integrated  "Whole  of 
Government"  approach  to  SSR  forms  the  basis  for  state  building  strategies  and  political 
legitimacy in post-conflict settings.  

4.7. 

Democratic governance and human rights in situations of fragility 

Fragility is most often triggered by governance shortcomings and failures, in form of lack of 
political  legitimacy  compounded  by  very  limited  institutional  capacities  linked  to  poverty. 
Supporting democratic governance, state building, reconciliation processes and human rights 

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protection,  as  well  as  promoting  political  will  for  reform  through  dialogue  and  incentives, 
rather than through conditionality and sanction, should guide EU action.  

Ownership over reforms by all components of the society, including the most vulnerable, is 
crucial also in fragile situations. As a result of the programming dialogue, ACP countries have 
access  to  additional  funding,  according  to  the  relevance,  ambition  and  credibility  of  their 
governance action plans, which are assessed taken into consideration situations of post-crisis 
and  fragility.  This  approach  could  be  enlarged  to  other  regions  and  used  by  EU  Member 
States  in  their  bilateral  cooperation.  The  Community  has  also  developed  the  Governance 
Facility in the ENP context.  

Human  rights  promotion  is  not  always  ensured  in  fragile  situations,  where  they  are  often 
violated. In addition to direct support to civil society organisations, to human rights defenders 
and  to  national  institutions  such  as  Human  Rights  Commissions  or  Ombudsman,  and 
engagement with Parliaments and decentralised authorities, dialogue is critical to identify and 
address constraints.  

Promoting  democratization  requires  prioritising  needs.  Elections  are  necessary  but  not 
sufficient  for  moving  towards  democratic  development.  An  upstream  work  to  promote  an 
inclusive  political  society  and  functioning  multiparty  systems,  with  a  focus  on  institutional 
development is needed as well as downstream work to promote effective functioning of newly 
elected 
institutions.  Moreover  focusing  exclusively  on  electoral  process  may  be 
counterproductive if it leads to an early donors' disengagement.  

In  the  most  extreme  cases,  the  central  government  is  not  committed  to  democratic 
governance. Engaging with other actors, such as civil society, local authorities or parliaments 
is necessary. In complement, dialogue on less controversial issues, such as service delivery or 
employment  generation,  should  continue  with  central  governments,  to  progressively  build 
political  will  for  reform.  Restoring  basic  service  delivery  and  job  creation  are  priorities  in 
fragile  situations,  where  there  is  often  tension  between  objectives  of  building  institutional 
capacities and ensuring access to services, and substitution cannot be avoided. 

Sustainable peace requires a legitimate and effective justice sector, which is particularly weak 
in situations of fragility. In post-conflict settings, a nationally-owned transitional justice and 
rule  of  law  system,  engaging  official  and  non-governmental  institutions  is  fundamental. 
Parallel  advancement  of  justice  and  reconciliation  initiatives  has  contributed  to  stabilizing 
divided  societies  after  a  conflict.  At  the  same  time,  the  EU  and  partner  countries  should 
jointly ensure that the most serious crimes of concern to the international community should 
not go unpunished and are prosecuted 

Environmental degradation and access to or control over natural resources play a central role 
in  some  conflicts,  with  implications  for  peace  making  and  post  conflict  reconstruction. 
Positive or negative impact of natural resource abundance in particular depends on capacities 
and development orientation of those who manage resources. While donors often have limited 
financial and political leverage over these issues, response strategies must be sensitive to them 
lest they trigger renewed conflict. The role of private sector actors can also prove crucial. The 
EU will continue promoting cooperation in the context of international initiatives against the 
illicit trade of natural resources and promoting their transparent and equitable management.  

Availability  of  key  statistical  information  is  often  essential  to  addressing  issues  of 
governance, the democratic process, basic service delivery and access to natural resources. An 

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effective  statistical  system  is  indispensable  for  poverty  reduction,  sustainable  development 
and equitable growth. 

5. 

IMPROVING INSTRUMENTS 

5.1. 

Financial instruments and procedures  

Dealing effectively with fragility involves taking risks and requires rapidity and flexibility in 
adopting  political  decisions  and  making  them  operational  in  the  field,  while  dealing 
simultaneously with partner countries’ constraints, often in terms of limited capacities. In this 
context,  more  flexible  and  accelerated  procedures  are  also  needed,  in  order  to  establish 
quicker  mechanisms  that  guarantee  transparency  and  accountability,  and  contribute  to  a 
management-by-results oriented approach.  

The  EU  must  improve  the  use  of  its  wide  range  of  instruments  in  order  to  put  policies  in 
practice, enable a comprehensive response to situations of fragility and fill the "implementing 
gap". Substantial efforts are still necessary to better link and articulate all possibilities offered 
by the range of Community instruments (geographic, stability, humanitarian, thematic), by the 
CFSP/ESDP  mechanisms,  but  also  by  EU  Member  States'  bilateral  aid  and  other  donors’ 
instruments.  

This Communication does not require new sources of funding to be mobilised in addition to 
the existing Financial Framework 2007-2013. It aims, however, at fostering a better synergy 
between  the  already  existing  financial  instruments,  and  at  establishing  an  appropriate  and 
balanced share of financing with the EDF when applicable. 

5.1.1.  European Development Fund (EDF) 

The  Cotonou  Agreement  provisions  on  humanitarian  and  emergency  assistance  foresee 
"flexible  mechanisms"  for  post-emergency  action  and  transition  to  the  development  phase. 
They  have  been  successfully  applied  in  a  number  of  cases.  The  Commission  is  currently 
working  on  a  set  of  more  flexible  implementation  procedures  to  be  applied  in  situation  of 
fragility.  The  new  provisions  on  the  use  of  country  allocations  for  unforeseen  needs  offer 
additional  opportunities  for  further  flexibility.  Furthermore,  the  ACP  disaster  facility  (under 
approval) aims to reduce the vulnerability of disaster prone countries, in conformity with the 
"Hyogo framework for action 2005-2015". 

5.1.2.  Development  Cooperation  Instrument  (DCI)  and  European  Neighbourhood  and 

Partnership Instrument (ENPI) 

"Post-crisis  situations  and  fragile  States"  are  explicitly  mentioned  among  the  geographic 
programmes  for  implementing  Community  assistance  in  the  DCI.  In  circumstances  such  as 
crises,  post-conflict  or  threats  to  democracy,  the  rule  of  law,  human  rights  or  fundamental 
freedoms,  a  special  emergency  procedure  foresees  the  review  of  geographic  strategy  papers 
and multi-annual indicative programmes to make the transition to long term cooperation and 
development.[. In addition, special measures not foreseen in these strategies and programmes 
can  be  implemented  in  case  of  natural  disasters,  civil  strife  or  crises,  when  neither  the 
Instrument  for  Stability  nor  Humanitarian  aid  can  intervene.  The  ENPI  includes  similar 
provisions.  

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5.1.3. 

Instrument for Stability 

The short-term component of the Instrument for Stability enables the Commissionto provide 
strategic support in relation to potential or real crisis situations and kick-start assistance that 
will then be followed up with long-term support under other community instruments. It can be 
used  in  response  to  situations  of  crisis  or  emerging  crisis,  initial  post-crisis  political 
stabilization,  and  early  recovery  from  natural  disasters,  complementing  or  spearheading 
support  under  the  mainstream  Community  external  instruments.  The  long-term  component 
deals with trans-regional threat including non-proliferation and organised crime. 

5.1.4.  Humanitarian aid 

Humanitarian  aid  aims  at  saving  lives  and  providing  immediate  relief  for  victims  of  crises, 
regardless of the level of fragility and the causes of the crisis. Existing procedures to mobilise 
humanitarian aid are adapted to this approach. 

5.1.5.  European  Instrument  for  Democracy  and  Human  Rights  (EIDHR)  and  Thematic 

Programme "Non State Actors and Local Authorities in Development" 

In  the  most  difficult  situations,  donors  shift  from  direct  engagement  with  governments  to 
support  other  actors  that  can  drive  change.  Procedures  established  under  the  thematic 
programme  "Non-State  Actors  and  Local  Authorities  in  Development"  and  the  EIDHR  are 
well  adapted  to  situations  of  fragility,  which  support  alternative  actors  in  situations  that  are 
not favourable to participatory development or to respect for human rights. Support to human 
rights defenders and to the relevant international framework are also foreseen.  

The EIDHR is very relevant to fragile situations, due to a special focus on situations where 
there is a serious lack of fundamental freedoms and human security, where civil society and 
human  rights  defenders  in  particular  are  under  most  pressure,  and where  political  pluralism 
is reduced.  The  EIDHR  will  aim  at  assisting  democratic  political  participation  and 
representation,  and  contribute  to  the  peaceful  conciliation  of  group  interests.  Transnational 
and  regional  support  will  focus  on  dialogue  and  practical  cooperation  activities  aimed  at 
addressing  the  sources  of  deep-seated  conflict  or  potential  violent  conflict. One  of  the 
specificities  of  the  EIDHR  is  that  can  fund  activities  without  partner  country  governments' 
approval.  This  can  be  an  additional  advantage  in  certain  fragile  situations.  However,  the 
EIDHR can only act in complementarity with the applicable geographic programmes. 

5.2. 

Budget support 

In complement to projects and depending on the sources of fragility, budget support may also 
be  used  to  address  urgent  financial  needs,  consolidate  key  State  functions  (public  finance 
management) and maintain social stability (payment of salaries or imports financing). It can 
also  effectively  influence  the  political  dialogue  on  SSR,  DDR  or  civil  service  reform  when 
these have an impact on macroeconomic stability.  

The  Commission  has  used  budget  support  in  the  case  of  several  post-conflict  countries,  to 
support the recovery process. Political, developmental, fiduciary or reputational risks are high 
in all fragile situations, but they need to be compared with the expected benefits and with the 
cost  of  new  crises.  Budget  support  is  tailored  to  manage  such  risks  (by  targeting  critical 
the 
expenditures,  audited  arrears  etc.)  and  based  on  a  continuous  assessment  of 

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macroeconomic  situation,  public  financial  management  reforms  and  development  strategy 
outcomes. 

6. 

THE WAY FORWARD: PRIORITIES AND DELIVERABLES 

Where partner  countries are making efforts to address causes and consequences of  fragility, 
the  EU  needs  to  ensure  that  the  Community,  EU  institutions  and  Member  States  are  more 
responsive, quicker and more flexible in their support to partner countries’ efforts to address 
fragility.  The  Commission  proposes  to  stimulate  a  debate  involving  civil  society  and  other 
stakeholders  as  well  as  to  undertake  the  actions  below  to  launch  the  preparation  of  an  EU 
response strategy to situations of fragility: 

•  The  EU  should  formally  endorse  the  OECD  DAC  Principles  on  Good  International 
Engagement  in  Fragile  States  and  Situations  and  commit  to  implement  them  in  all 
situations of fragility.  

•  Issues  concerning  fragility  will  more  systematically  be  included  in  the  regular  political 

dialogue with partner countries that are showing signs of fragility. 

•  Regular exchanges of risk analyses and relevant EU responses at the field level through EU 
Heads  of  Mission  meetings  and  at  headquarters  through  desk-to-desk  dialogues  between 
institutions  and  member  states  and  across  Council  groups  should  take  place  in  order  to 
ensure whole-of-government approaches. 

•  EU  support  to  countries  facing  situations  of  fragility  should  consistently  promote  gender 

equality, human rights, including a children's rights perspective, and social inclusion. 

•  The Commission will facilitate the establishment of ad hoc Country and Thematic Teams, 
involving  the  Council  Secretariat  and  Member  States  to  address  specific  situation  of 
fragility, with a view to: 

–  further  develop  conceptual  and  analytical  approaches  to  fragility  and  conflict,  including 
SSR and the expansion of the LRRD strategic framework towards integrated responses to 
post-crisis and methods of implementation of governance and security concerns; 

–  reinforce EU comparative advantages in situations of fragility, including in the perspective 

of the future external service of the EU; 

–  advance  towards  more  coherent  and  coordinated  action  at  country  level,  in  particular  by 
making use of all possibilities for single joint analysis and joint programming as provided 
in  the  Common  Framework  for  Country  Strategy  Papers  (CFCSP),  to  be  reviewed 
according to the evolution of the situation. 

•  A mapping of bilateral and EU aid modalities under the different pillars will be carried in 
order to determine their ability to respond adequately to situations of fragility and to assess 
their impact and the way they interact on the ground. .Particular attention will be devoted 
to  the  complementarity  between  crisis  management  related  instruments  such  as 
CFSP/ESDP joint actions, the Instrument for Stability, the African Peace Facility and long 
term cooperation instruments. 

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•  The Commission will take stock of EU assistance efforts to alleviate and prevent security 
threats,  will  make  proposals  to  improve  the  effectiveness  and  coherence  of  EU  external 
assistance in situations of insecurity and will propose ways to complement the actions at 
national and regional levels with a specific framework of responses to challenges of global 
or trans-regional nature. 

•  In line with the EU Code of Conduct on Complementarity and Division of Labour, the EU, 
after  identifying  substantial  overlaps  or  gaps  at  country  level,  will  allocate  existing  and 
additional  funds  in  a  complementary  way.  Complementarity  should  be  aimed  at  both  in-
country or across countries, by deciding who engages in which country. The Commission 
suggests to explore the following options for EU Member States to channel extra funding 
to fragile states taking in particular into account the orphan ones: 

–  increasing country allocations, when a strategic bilateral cooperation framework exists;  

–  topping up CSPs signed by the Commission and partner countries and disbursed within the 
framework  of  the  NIPs  managed  by  the  Commission,  when  a  bilateral  cooperation 
framework does not exist or when pooling financial resources have greater impact 

•  A  comprehensive  review  of  assessment  and  analytical  tools  on  governance,  conflict  and 

disaster monitoring will be carried out.  

•  Fragility  will  be  integrated  in  the  review  process  on  the  Governance  Initiative  for  ACP 
countries,  which  will  involve  regular  expert-level  cooperation  and  a  report  by  the 
Commission in 2008.  

•  The Commission will improve its capacity to deliver budget support, keeping into account 
its specific risks and expected benefits in fragile situations. Coordination with the WB, the 
IMF and the AfDB will be reinforced. 

•  The Commission will prepare guidelines clarifying the conditions to apply provisions that 

allow the use of flexible procedures under geographic long term instruments.  

•  The EU will seek to further strengthen the partnership with the UN and other multilateral 
actors in dealing with situations of fragility. The further consolidation of the Peacebuilding 
Commission, and the continued active EU support to a UN reform that aims at equipping 
the  UN  to  effectively  address  situations  of  fragility  are  in  this  respect  of  fundamental 
importance. 

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