COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL INSTRUMENT FOR PRE-ACCESSION ASSISTANCE (IPA) REVISED MULTI-ANNUAL INDICATIVE FINANCIAL FRAMEWORK FOR 2011-2013
Date: 2010-11-10
Institutions: European Commission
Subjects: EU aid, EU financial instrument, EU financing, accession to the European Union, pre-accession strategy

EN 

EN 

   EN 

 
EUROPEAN COMMISSION  

Brussels, 10.11.2010 
COM(2010) 640 final 

COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN 
PARLIAMENT AND THE COUNCIL 

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

EN 

   EN 

 
 
  
COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN 
PARLIAMENT AND THE COUNCIL 

INSTRUMENT FOR PRE-ACCESSION ASSISTANCE (IPA) 
REVISED 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.  For  the  first  time  for  2011-2013  there  will  also  be  a 
separate MIPD for cross-border cooperation.  

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. As 2013 
represents  the  last  budgetary  year  of  IPA,  this  MIFF  covers  the  same  years  as  the  previous 
MIFF, i.e. 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  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 decision by the Council on the Opinions 
presented  with  the  enlargement  package  or  a  likely  date  of  accession  for  any  candidate 
country. It does for the first time include Iceland as a beneficiary country1. If any significant 
amendments  to  this  MIFF  are  needed  before  the  next  annual  publication  of  the  MIFF  in 
autumn 2011, 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 European Parliament and the Council each year. 

1 

Regulation  (EU)  540/2010  of  the  European  Parliament  and  the  Council  of  16  June  2010  amending 
Council regulation (EC) 1085/2006 establishing an Instrument for Pre-Accession Assistance (IPA) 

EN 

2 

   EN 

                                                 
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 
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.  

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) received under CARDS. For M ontenegro, the per capita levels of funding 
are higher than for 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  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 
was 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 allocated. 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.  

2 

Under United Nations Security Council Resolution 1244/99 

EN 

3 

   EN 

                                                 
Components  III  and  IV  are  accessible  to  candidate  countries  and  aim  to  prepare  these 
countries for the programming, implementation and management of Structural and Cohesion 
Funds  upon  accession  by  approximating,  to  the  greatest  extent  possible  under  External  Aid 
rules,  the  implementation  methods  of  these  funds.  Specifically,  component  III,  Regional 
Development,  emulates  to  the  greatest  extent  possible  the  ERDF  and  Cohesion  Fund. 
Component  IV,  Human  Resources  Development  prepares  candidate  countries  for  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.  

Multi-beneficiary programme allocations 

The  multi-beneficiary  programmes  under  component  I  are  designed  to  complement  the 
national  programmes  and  to  strengthen  multilateral  relations  in  the  Western  Balkans  and 
Turkey.  The  strategy  focuses  on  areas  identified  as  crucial  for  European  integration  and 
stability  in  the  region  and  to  address  issues  for  which  the  countries  need  to  cooperate. 
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  others,  the  Regional  School  for  Public 
Administration,  the  Central  European  Free  Trade  Agreement  (CEFTA),  the  Regional 
Cooperation  Council  (RCC),  fight  against  organised  crime,  ERASMUS  scholarships  and 
higher  education.  They  also  provide  a  basis  for  the  Civil  Society  Facility  which  combines 
support from both the national and multi-beneficiary IPA programmes. Institution building for 
the  Western  Balkans,  Turkey  and  Iceland  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 coordinated under the Western Balkan Investment Framework, set up at the end of 2009 to 
enhance  coordination  and  cooperation  among  donors  and  IFIs  actively  engaged  in  the 
Western Balkans. 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. 

EN 

4 

   EN 

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  previous  years  as  well  as  updated 
figures for 2010 are included for ease of reference. 

EN 

5 

   EN 

Revised 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  

Cross-border Co-operation 

49,611,775 

45,374,274

45,601,430

39,483,458

39,959,128

40,872,310

38,513,885 

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

39,310,500

36,917,068

28,803,410

28,207,479

27,941,228 

Cross-border Co-operation 

4,158,387 

4,077,999

4,371,501

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 

3,200,000 

6,000,000

7,100,000

8,400,000

8,800,000

10,380,000

11,200,000 

4,467,526

EN 

6 

EN 

 
  
Rural Development 

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

91,684,594

98,028,286

105,070,852

117,212,269 

Component 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

81,782,001

ICELAND 

Transition  Assistance  and 
Institution Building 

TOTAL 

TURKEY 

Transition Assistance and 
Institution Building  

10,000,000

12,000,000

6,000,000 

10,000,000

12,000,000

6,000,000 

256,702,720 

256,125,297

239,550,810

228,620,919

233,900,336

238,325,843 

217,809,826

Cross-border Co-operation 

2,097,280 

2,874,709

3,049,190

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 

3,090,174

EN 

7 

EN 

 
  
 
 
 
 
 
 
 
 
ALBANIA 

Transition Assistance and 
Institution Building  

54,318,790 

65,237,7563

71,360,000

84,200,0004

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 

94,428,286

96,270,852

98,112,269 

BOSNIA AND HERZEGOVINA 

73,820,000

81,182,921

94,173,173

Transition Assistance and 
Institution Building  

58,136,394 

69,854,783

100,688,099

102,681,861

104,673,499

106,870,228 

83,900,000

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

105,384,594

107,428,286

109,470,852

111,812,269 

89,107,746

3 
4 

Includes €3.12 million additional funds recovered from previous programmes.  
Includes €1.5 million additional funds recovered from previous programmes.  

EN 

8 

EN 

 
  
                                                 
Component 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

MONTENEGRO 

Transition Assistance and 
Institution Building  

27,490,504 

28,112,552

29,843,599

30,446,471

30,996,035 

29,832,1795

29,838,823

Cross-border Co-operation 

3,909,496 

4,487,448

4,667,821

4,310,344

4,338,551

4,418,687 

TOTAL 

31,400,000 

32,600,000

33,521,513

34,153,943

34,785,022

35,414,722 

34,500,000

3,682,690

SERBIA 

Transition Assistance and 
Institution Building  

Cross-border Co-operation 

181,496,352 

179,441,314

182,551,643

186,206,679

189,956,810

193,801,948

203,101,005 

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 

5 

Includes €1.2 million additional funds recovered from previous programmes.  

EN 

9 

EN 

 
  
 
                                                 
Transition Assistance and 
Institution Building  

68,300,000 

184,700,000

106,100,000

65,828,286

67,070,852

70,712,269 

66,100,000

Cross-border Co-operation 

0 

0

0

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 

1,200,000

Component 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

TOTAL COUNTRY PROGRAMMES 

1,109,427,000 

1,311,720,006

1,305,072,668

1,397,306,900

1,553,046,687

1,692,667,622

1,755,395,497 

EN 

10 

EN 

 
  
 
 
 
 
 
 
 
MULTI-BENEFICIARY PROGRAMMES  

Transition Assistance and 
Institution Building  

129,571,0006 

137,736,6447

188,867,5368

141,706,5519

Cross-border Co-operation 

0 

0

0

4,921,679

5,293,313

5,672,378

6,059,026 

186,269,100

156,860,000

177,845,477 

SUPPORT EXPENDITURE 

44,793,000 

51,950,000

47,648,000

80,500,000

84,500,000 

47,393,000

52,183,900

GRAND TOTAL 

1,263,200,000 

1,935,700,000

2,023,800,000 

1,501,406,650

1,541,588,204

1,591,328,130

1,796,793,000

Figures are in euros, current prices 

6 
7 
8 
9 

EN 

Includes €20.6 million additional funds recovered from previous programmes. 
Includes €2.0 million additional funds recovered from previous programmes.  
Includes €22.8 million additional funds recovered from previous programmes.  
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 will be used for the allocation to Iceland. The figure also includes €2.7 million additional funds recovere d from previous programmes. 

11 

EN