Communication from the Commission to the Council and the European Parliament - Instrument for pre-accession assistance (IPA) - Multi-annual indicative financial framework for 2011-2013
Date: 2009-10-14
Institutions: European Commission
Subjects: EU aid, EU financial instrument, EU financing, accession to the European Union, pre-accession strategy

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COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 14.10.2009 
COM(2009)543 final 

COMMUNICATION FROM THE COMMISSION TO THE COUNCIL AND THE 
EUROPEAN PARLIAMENT 

INSTRUMENT FOR PRE-ACCESSION ASSISTANCE (IPA) 
MULTI-ANNUAL INDICATIVE FINANCIAL FRAMEWORK FOR 2011-2013 

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COMMUNICATION FROM THE COMMISSION TO THE COUNCIL AND THE 
EUROPEAN PARLIAMENT 

INSTRUMENT FOR PRE-ACCESSION ASSISTANCE (IPA) 
MULTI-ANNUAL INDICATIVE FINANCIAL FRAMEWORK FOR 2011-2013 

Introduction 

The  Multi-Annual  Indicative  Financial  Framework  (MIFF)  for  the  Instrument  of  Pre-
Accession Assistance (IPA) is designed to provide information on the indicative breakdown 
of the overall IPA envelope proposed by the Commission in accordance with article 5 of the 
IPA Regulation (EC) 1085/2006. It acts as the link between the political framework within the 
enlargement  package  and  the  budgetary  process.  The  Multi-Annual  Indicative  Planning 
Documents  (MIPD)  established  for  each  beneficiary  country  and  for  the  multi-beneficiary 
programme,  through  which  pre-accession  aid  is  delivered,  take  into  account  the  indicative 
breakdown proposed in the MIFF. 

The MIFF is based on a rolling three-year programming cycle. Under normal circumstances, a 
MIFF for years N, N+1 and N+2 will be presented in the last quarter of year N-2 as part of the 
enlargement  package,  representing  a  proposed  financial  translation  of  the  political  priorities 
set  out  within  the  package  itself,  taking  into  consideration  the  Financial  Framework.  This 
MIFF is for the years 2011-2013. It indicates the allocation of the envelope for pre-accession 
assistance by country and by component for these years, and also gives an indication of the 
multi-beneficiary programme envelope and support expenditure. 

As in the previous years, the MIFF is published based on the current status of the countries 
concerned and so does not at this stage pre-empt any decisions on: the status of countries that 
have  submitted  an  application  for  membership  (Montenegro,  Albania  and  Iceland);  a  likely 
date  of  accession  for  any  candidate  country;  or  the  inclusion  of  Iceland  in  the  IPA 
Regulation1. If any significant amendments to this MIFF are needed in the light of such events 
taking place before the next annual publication of the MIFF in autumn 2010, the Commission 
will publish an amended version at the appropriate time. Once a candidate country accedes to 
the  EU,  any  pre-accession  funds  provisionally  allocated  to  that  country  from  the  year  of 
accession onwards will no longer be available for this new Member State.  

The  overall  political  priorities  for  pre-accession  are  set  out  in  the  Accession  and  European 
Partnerships, the annual progress reports and the enlargement strategy paper contained in the 
enlargement package presented to the Council and European Parliament each year. 

Strategic Financial Programming  

1. 

Allocation of funds between countries 

The  starting  point  for  allocations  in  2007  was  a  commitment  by  the  Commission  to  ensure 
that no beneficiary country would receive less in 2007 than they did in 2006 and furthermore 

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An amendment to Annex II of IPA Regulation (EC) 1085/2006 for this purpose is under preparation. 

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that Bosnia and Herzegovina and Albania should receive no less than the annual average of 
the funding each received between 2004 and 2006. This latter point reflected the fact that the 
funding  for  these  countries  was  frontloaded  in  2004.  In  the  first  two  years  of  IPA,  the 
implementation of commitment appropriations was close to a 100 % (including appropriations 
carried over to the following year which were fully committed). 

The  figures  for  2008  onwards  have  been  calculated  on  the  basis  of  per-capita  allocations 
which have been quoted in the past as a proxy for needs and impact. Against this measure, the 
per capita levels for each of the potential candidates of the Western Balkans increase during 
the course of the current financial framework to above the 2004-2006 per-capita average of 23 
€ (in 2004 prices) rece ived under CARDS. For Montenegro, the per capita levels of funding 
are  higher  than  for  the  other  potential  candidate  countries,  reflecting  a  minimum  level  of 
funding  needed  for  adequate  administrations,  irrespective  of  the  size  of  the  country.  The 
global  breakdown  of  funds  in  between  countries  has  been  respected  with  the  exception  of 
Kosovo2  which  received  increased  IPA  funding.  In  2008,  €  60  million  were  granted  by  the 
budget  authority  as  part  of  a  wider  mobilisation  of  new  funds  to  support  the  stability  and 
development of Kosovo. This was supplemented by a transfer of a further € 60 million from 
unused macro-financial assistance (MFA) appropriations. In 2009, an additional €40 million 
has been committed as a follow up of the Donor's conference which took place in July 2008.  

For Croatia and the former Yugoslav Republic of Macedonia, as candidate countries, a level 
of  over  30  €  per  capita  (in  2004  prices)  is  envi saged.  This  level  is  maintained  across  the 
period for Croatia. For the former Yugoslav Republic of Macedonia, the funding in per capita 
terms  continues  to  increase,  reflecting  a  minimum  level  of  funding  needed  for  building 
adequate administrations, irrespective of the size of the country. 

For  Turkey,  taking  into  account  the  size  and  absorption  capacity  of  the  country,  there  is  a 
gradual increase in per-capita levels of assistance over the period 2007-2013. 

2. 

Allocations between components  

IPA  is  delivered  through  the  following  five  components:  I  –  Transition  and  Institution 
Building; II – Cross-border cooperation; III – Regional Development; IV – Human Resources 
Development; and V – Rural Development.  

Component  I,  Transition  Assistance  and  Institution  Building,  covers  all  institution  building 
actions  and  the  investments  related  to  the  acquis  communautaire;  it  helps  beneficiary 
countries  build  up  administrative  and  judicial  capacity  and  addresses,  according  to  priority, 
cooperation measures not expressly covered by other components.  

Component II, Cross-Border Cooperation, supports cross-border activities among beneficiary 
countries  and  between  beneficiary  countries  and  Member  States;  it  also  covers  the 
participation  of  IPA  beneficiaries  in  ERDF  trans-national  and  interregional  co–operation 
programmes and in ENPI sea basins programmes, as appropriate.  

Component III, Regional Development, is accessible to candidate countries and emulates, to 
the greatest extent possible, the ERDF and Cohesion Fund, thereby giving to the beneficiary 
countries  the  highest  possible  approximation  to  Structural  Funds  implementation  under 
External Aid rules.  

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Under United Nations Security Council Resolution 1244/99 

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Component  IV,  Human  Resources Development, accessible to candidate  countries, prepares 
them for the programming, implementation and management of the European Social Fund, in 
the framework of the European Employment Strategy. 

Component V, Rural Development, helps the candidate countries prepare for post-accession 
EU-funded rural development programmes by implementing pre-accession assistance through 
systems which are as similar as possible to those required post accession. 

In  determining  the  allocations  between  components,  due  account  has  been  taken  of  the 
readiness  of  the  decentralised  management  systems  necessary  for  the  implementation  of 
components III, IV and V in the current candidate countries as well as the need for component 
II funding as it relates to cross-border cooperation with Member States to match that of the 
equivalent ERDF funding from heading 1b. 

3. 

Other Allocations  

Support expenditure 

This envelope covers the administrative costs directly linked to the implementation of IPA. In 
2007, 2008 and 2009 it also includes the administrative costs for the phasing out of previous 
pre-accession funding, including for Bulgaria and Romania.  

Multi-beneficiary programme allocations 

The  multi-beneficiary  programmes  under  component  I  are  designed  to  complement  the 
National  Programmes  and  to  strengthen  multi-lateral  relations  in  the  Western  Balkans  and 
Turkey.  The  strategy  focuses  on  areas  identified  as  crucial  for  European  integration  and 
stability in the region. Programmes with a regional impact, and / or those which can benefit 
from economies of scale or scope if implemented horizontally across a number of beneficiary 
countries, are funded under this envelope.  

Multi-beneficiary  programmes  support,  among  other  things,  the  Regional  School  for  Public 
Administration,  the  Central  European  Free  Trade  Agreement  (CEFTA),  the  Regional 
Cooperation  Council  (RCC)  and  the  new  Civil  Society  Facility.  Institution  building  is 
supported  via  the  TAIEX  instrument,  and  allocations  are  made  for  audits  and  evaluation  of 
regional and national programmes, as well as for information and communication activities. 
Investment  needs  for  SMEs,  energy  efficiency  and  infrastructure  development,  delivered  in 
close  collaboration  with  the  European  Investment  Bank  and  other  International  Financial 
Institutions  (IFIs),  will  continue  to  be  supported  with  a  substantial  part  of  the  regional  and 
horizontal allocation. This support will be aligned with the discussions on the Infrastructure 
Initiative  in  the  context  of  the  new  Western  Balkan  Investment  Framework,  which  aims  at 
enhancing  the  coordination  and  cooperation  among  the  various  initiatives  sponsored  by 
donors and IFIs actively engaged in the Western Balkans. Another priority is education, for 
which the allocation for scholarships will increase. 

From  2010,  part  of  component  II,  namely  the  participation  of  countries  in  ERDF  trans-
national programmes " Mediterranean" and "South-East Europe" will also be implemented on 
a multi-beneficiary basis for ease of implementation. 

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Presentation of the figures 

The  following  table  provides  the  above  figures  in  current  prices  and  in  euros.  It  shows  the 
allocations by country and by component, as well as for the multi-beneficiary programme and 
support  expenditure.  The  final  commitment  figures  for  2007  and  2008  as  well  as  updated 
figures for 2009 and 2010 are included for ease of reference. 

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Multi-Annual Indicative Financial Framework: Breakdown of the Instrument for Pre-Accession Assistance envelope for 2011-2013 into allocations by country and component 

Component 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

CROATIA 

Transition Assistance and 
Institution Building  

49,611,775 

45,374,274

45,601,430

39,483,458

39,959,128

40,872,310

38,513,885 

Cross-border Co-operation 

9,688,225 

14,725,726

15,898,570

15,601,136

15,869,158

16,142,542

16,698,384 

Regional Development 

45,050,000 

47,600,000

49,700,000

56,800,000

58,200,000

59,348,000

62,000,000 

Human Resources 
Development 

Rural Development 

11,377,000 

12,700,000

14,200,000

15,700,000

16,000,000

16,040,000

18,000,000 

25,500,000 

25,600,000

25,800,000

26,000,000

26,500,000

27,268,000

27,700,000 

TOTAL 

141,227,000 

146,000,000

151,200,000

153,584,594

156,528,286

159,670,852

162,912,269 

FORMER YUGOSLAV REPUBLIC OF MACEDONIA 

Transition Assistance and 
Institution Building  

41,641,613 

41,122,001

39,328,499

36,317,068

28,803,410

28,207,479

27,941,228 

Cross-border Co-operation 

4,158,387 

4,077,999

4,371,501

5,067,526

5,124,876

5,183,373

5,243,041 

Regional Development 

7,400,000 

12,300,000

20,800,000

29,400,000

39,300,000

42,300,000

51,800,000 

Human Resources 
Development 

Rural Development 

3,200,000 

6,000,000

7,100,000

8,400,000

8,800,000

10,380,000

11,200,000 

2,100,000 

6,700,000

10,200,000

12,500,000

16,000,000

19,000,000

21,028,000 

TOTAL 

58,500,000 

70,200,000

81,800,000

91,684,594

98,028,286

105,070,852

117,212,269 

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Component 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

TURKEY 

Transition Assistance and 
Institution Building  

256,702,720 

256,125,297

239,550,810

211,312,664

228,620,919

233,900,336

238,325,843 

Cross-border Co-operation 

2,097,280 

2,874,709

3,049,190

9,587,336

9,779,081

9,974,664

10,174,157 

Regional Development 

167,500,000 

173,800,000

182,700,000

238,100,000

293,400,000

367,805,000

378,000,000 

Human Resources 
Development 

Rural Development 

50,200,000 

52,900,000

55,600,000

63,400,000

77,600,000

89,930,000

96,000,000 

20,700,000 

53,000,000

85,500,000

131,300,000

172,500,000

197,890,000

213,000,000 

TOTAL 

497,200,000 

538,700,006

566,400,000

653,700,000

781,900,000

899,500,000

935,500,000 

ALBANIA 

Transition Assistance and 
Institution Building  

54,318,790 

62,117,756

71,377,079

82,711,421

84,301,650

85,987,683

87,446,037 

Cross-border Co-operation 

6,681,210 

8,582,244

9,822,921

9,973,173

10,126,636

10,283,169

10,666,232 

TOTAL 

61,000,000 

70,700,000

81,200,000

92,684,594

94,428,286

96,270,852

98,112,269 

BOSNIA AND HERZEGOVINA 

Transition Assistance and 
Institution Building  

58,136,394 

69,854,783

83,892,254

100,688,099

102,681,861

104,673,499

106,870,228 

Cross-border Co-operation 

3,963,606 

4,945,217

5,207,746

4,696,495

4,746,425

4,797,353

4,942,041 

TOTAL 

62,100,000 

74,800,000

89,100,000

105,384,594

107,428,286

109,470,852

111,812,269 

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Component 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

MONTENEGRO 

Transition Assistance and 
Institution Building  

27,490,504 

28,112,552

28,632,179

29,238,823

29,843,599

30,446,471

30,996,035 

Cross-border Co-operation 

3,909,496 

4,487,448

4,667,821

4,282,690

4,310,344

4,338,551

4,418,687 

TOTAL 

31,400,000 

32,600,000

33,300,000

33,521,513

34,153,943

34,785,022

35,414,722 

SERBIA 

Transition Assistance and 
Institution Building  

181,496,352 

179,441,314

182,551,643

186,206,679

189,956,810

193,801,948

203,101,005 

Cross-border Co-operation 

8,203,648 

11,458,686

12,248,357

11,751,753

11,922,790

12,097,244

11,630,694 

TOTAL 

189,700,000 

190,900,000

194,800,000

197,958,432

201,879,600

205,899,192

214,731,699 

KOSOVO 

Transition Assistance and 
Institution Building  

Cross-border Co-operation 

68,300,000 

184,700,000

106,100,000

64,484,594

65,828,286

67,070,852

70,712,269 

0 

0

0

2,815,406

2,871,714

2,929,148

2,987,731 

TOTAL 

68,300,000 

184,700,000

106,100,000

67,300,000

68,700,000

70,000,000

73,700,000 

TOTAL COUNTRY PROGRAMMES 

1,109,427,000 

1,308,600,006

1,303,900,000

1,395,818,321

1,543,046,687

1,680,667,622

1,749,395,497 

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Component 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

TOTAL COUNTRY PROGRAMMES 

1,109,427,000 

1,308,600,006

1,303,900,000

1,395,818,321

1,543,046,687

1,680,667,622

1,749,395,497 

MULTI-BENEFICIARY PROGRAMMES  

Transition Assistance and 
Institution Building  

Cross-border Co-operation 

108,980,000 

135,700,000

166,055,000

138,967,0003

173,460,000

168,860,000

183,845,477 

0 

0

0

4,921,679

5,293,313

5,672,378

6,059,026 

SUPPORT EXPENDITURE 

44,793,000 

51,950,000

47,648,000

52,993,000

75,000,000

80,500,000

84,500,000 

GRAND TOTAL 

1,263,200,000 

1,496,250,006

1,517,603,000

1,592,700,000

1,796,800,000

1,935,700,000

2,023,800,000 

Figures are in euros, current prices 

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This includes a reduction of €29 million for the food security f acility which will be paid back in 2011 (€14 million), 2012 (€ 6 million) and 2013 (€9 million). The funds paid 
back in these years are also included in the table. 

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