JOINT COMMUNICATION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS EU SUPPORT FOR SUSTAINABLE CHANGE IN TRANSITION SOCIETIES
Date: 2012-10-03
Institutions: European Commission, High Representative of the Union
Subjects: EU relations, Welfare State, democratisation, developing countries, development aid, foreign aid, peacekeeping, transition economy

EUROPEAN 
COMMISSION 

HIGH REPRESENTATIVE OF THE
EUROPEAN UNION FOR
FOREIGN AFFAIRS AND
SECURITY POLICY

Brussels, 3.10.2012  
JOIN(2012) 27 final 

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

EU SUPPORT FOR SUSTAINABLE CHANGE IN TRANSITION SOCIETIES 

{SWD(2012) 282 final} 

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TABLE OF CONTENTS 

1. 

1.1. 

1.2. 

1.3. 

1.4. 

2. 

2.1. 

2.2. 

2.3. 

2.4. 

2.5. 

2.6. 

HOW CAN THE EU HELP CREATE CONDITIONS FOR SUCCESSFUL 
TRANSITIONS?.......................................................................................................... 5 

Support for inclusive political process and governance............................................... 5 

Support for institution building and the rule of law..................................................... 6 

Support for economic and social development ............................................................ 7 

Support for conflict prevention, peace-building and security...................................... 8 

HOW CAN THE EU IMPROVE ITS TOOLS AND APPROACH? .......................... 9 

Responding to partner societies' needs......................................................................... 9 

Anchoring the process with early achievements........................................................ 10 

Applying incentives, constraints and conditionalities................................................ 11 

Involving all relevant stakeholders ............................................................................ 13 

Enhancing knowledge-sharing and development capacities...................................... 14 

Cooperating with Member States, other donors and organisations ........................... 15 

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

EU SUPPORT FOR SUSTAINABLE CHANGE IN TRANSITION SOCIETIES 

Purpose and context 

People in every part of the world aspire to political freedom, security for themselves and their 
families,  accountable  government,  economic  opportunities  and  justice.  In  response,  many 
countries,  including  those  in  the  EU's  own  neighbourhood,  have  recently  undertaken  or  are 
now  embarking  upon  major  reforms  –  reforms  designed  to  transform  their  societies  into 
inclusive democracies that are both willing and able to address the needs and aspirations of 
the population and, in some cases, normalise their relations with the international community 
and neighbouring countries.  

The  EU  has  considerable  experience  from  such  transition  processes,  both  internally  and  in 
supporting the efforts of other countries in its neighbourhood and around the world. The EU's 
enlargement  policy,  in  particular,  has  proven  to  be  a  powerful  tool  to  foster  societal 
transformation. Countries that have already acceded to the EU, in particular those who joined 
in  2004  and  in  2007,  and  those  on  the  road  to  join  have  undergone  impressive  changes 
through  accession-driven  democratic  and  economic  reforms.1  The  close  inter-linkage  of 
peace,  stability,  democracy,  and  prosperity  has  come  to  the  forefront  also  in  other 
frameworks, including the European Neighbourhood Policy (ENP), development cooperation 
and EU's Common Security and Defence Policy (CSDP). 

This  Communication  is  intended  to  examine  what  the  EU  has  to  offer  to  help  countries  in 
its  own 
transition  achieve  successful  and  sustainable 
experiences. It also sets out a number of concrete measures to improve the way in which the 
EU supports these countries so that they could achieve lasting reforms and avoid backsliding. 

transformations,  building  on 

In particular, it addresses situations where a reform process needs further support to deliver 
workable, lasting change. "Transition" is understood in a broad sense to include stabilisation, 
societal transformation, institution building and consolidation of reforms. While fragile states 
and situations of conflict are not specifically addressed, as they involve a number of context-
specific  challenges  and  require  a  different  constellation  of  EU  supporting  measures,  some 
experiences mentioned herein can also be relevant in those cases.  

Transition poses challenges which vary widely from one country to another, as described in 
the accompanying Staff Working Document. The process can be peaceful or crisis-driven; it 
involves  uncertainty,  risk  and  sometimes  even  threats  to  domestic  or  regional  stability. 
Experience  shows  that  transitions  can  fail.  Such  failure  can  cause  high  political,  social  and 
economic costs to societies. A successful transition process means consolidating reforms and 
making  them  sustainable  in  the  long-term,  in  an  atmosphere  of  stability  and  confidence.  In 
some  cases,  there  will  also  be  a  need  to  prevent  conflict  while  promoting  and  managing 

1 

See European Transition Compendium. 

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peaceful change. To achieve this, the process needs to be domestically driven and inclusive 
and address comprehensively the relevant political, social and economic challenges. 

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To contribute to sustainable change in transition societies, the EU should: 

– 

– 

– 

mobilise  all  its  instruments  in  a  comprehensive,  targeted  and  long-term  response 
which takes account of the partner country's needs and the root causes underpinning 
people's desire for societal change; 

promote  democratic  governance,  human  rights  and  the  rule  of  law,  economic  and 
social welfare at national and regional, as well as peace and stability, in a way that 
contributes  to  socially,  economically,  politically  and  environmentally  sustainable 
reforms and regional integration; 

act in a way that enhances the partner countries' ownership of the reform process and 
encourages the exchange of experiences without the imposition of specific models.  

To achieve this, the EU should: 

– 

– 

– 

– 

– 

– 

– 

base  its  response  on  a  proper  needs  assessment,  taking  full  account  of  the  key 
challenges facing its partner countries;  

explore  possibilities  for  early  achievements  on  issues  relating  to  basic  freedoms, 
income  generation  and  public  service  delivery  in  the  initial  transition  phase,  to 
encourage continued popular support for reforms; 

use incentives and conditionalities more coherently and efficiently; 

involve  all  relevant  stakeholders  –  such  as  social  and  economic  partners,  the 
private  sector  and  other  civil  society  organisations  (CSO),  as  well  as  regional 
organisations – in reform processes and policy dialogues;  

invest  more  in  the  building  of  impartial  institutions  bound  by  the  rule  of  law  to 
ensure that the reforms undertaken are also implemented and enforced in practice; 
and extend capacity development beyond institutions to improve citizens' access to 
public services, such as security and justice. 

make  efficient  use  of  knowledge-sharing  and  capacity  development  methods, 
including the use of transition experience of EU Member States;  

engage  in  efficient  cooperation  and  coordination  with  EU  Member  States, 
including possible joint programming, and with other donors and actors. 

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1. 

HOW  CAN  THE  EU  HELP  CREATE  CONDITIONS  FOR  SUCCESSFUL 
TRANSITIONS? 

It  is  up  to  each  partner  country  to  determine  how  it  wishes  to  manage  its  transition  and 
transformation. The EU, in turn, can use its support methods to assist home-grown processes 
and to help create favourable conditions for the process. In doing so, it needs to respect the 
partner  country's  ownership  of  the  process,  as  well  as  the  principle  of  policy  coherence  for 
development  in  policies  affecting  developing  countries  and  the  principle  of  sector 
concentration  as  regards  development  cooperation.  Moreover,  EU  support  must  take  into 
account  the  long-term  nature  of  a  democratic  and  economic  transition  process.  A 
comprehensive  and  sustained  approach  will  allow  the  EU  to  assist  and  revitalise  often 
wavering or stagnating transition processes. 

Evidently,  the  degree  of  change  and  its  speed  can  vary  widely  depending  on  the  partner 
country.  At  the  same  time,  reforms  need  to  tackle  existing  shortcomings  comprehensively. 
Political  reforms  are  not  sufficient  if  there  is  no  independent  and  accountable  judiciary,  no 
competition authority and no effective anti-corruption policy, as these are needed to allow for 
investments  to  boost  the  economic  development.  Good  coordination  between  the  different 
authorities  involved  in  the  reform  efforts  is  also  important.  In  enlargement  countries,  for 
instance, the fact that governments established ministries or offices for European integration 
with  coordination  functions  and  followed  a  clearly  set  policy  agenda  of  alignment  with 
European standards and the EU acquis has helped governments to focus on a comprehensive 
reform agenda. 

The  sequencing  of  reforms  is  highly  context-dependent  and  a  balance  has  to  be  sought 
between "quick-win" reforms that serve to maintain the political and social momentum and to 
retain popular support for the entire process and for longer-term reforms. The policy mix will 
vary according to the needs and aspirations of the country concerned and the key motivations 
underpinning people's desire for societal change. 

1.1. 

Support for inclusive political process and governance 

The  EU  enlargement  policy  is  the  most  comprehensive  approach  to  supporting  inclusive 
political processes and governance. Democratic institutions, the rule of law and the respect for 
human  rights  are  at  the  centre  of  the  accession  criteria.  The  substantial  transitions  from 
communist  regimes  to  real  democracies  in  the  eastern  and  central  European  Member  States 
was  made  possible  by  the  clear  desire  of  the  citizens  and  the  political  will  of  the  elected 
authorities. These processes were supported by the EU, including through financial assistance, 
expert advice and the accession negotiation process. 

The EU continues to consolidate its support for democracy world-wide, in line with the 2009 
Council Conclusions which call for a comprehensive EU approach.2 The examples of Tunisia 
and Bolivia illustrate the use of all relevant EU instruments.3  

The EU support is centred on four main fronts: establishment of constitutional and electoral 
processes;  strengthening  of  democratic  institutions;  strengthening  of  political  and  civil 
society; and gradual development of a democratic political culture. The traditional focus on 

2 

3 

EU Council Conclusions on Democracy Support in the EU's External Relations, Brussels, 17 November 
2009, and the accompanying Agenda for Action. 
Staff Working Document, section 2.1.1. 

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credible elections and security, and on bolstering the executive branch of the government, 
is increasingly shifting towards also strengthening constituent assemblies and legislatures and 
the putting in place effective systems of checks and balances4. The EU is also stepping up its 
engagement with political parties (in Tunisia, for instance) on a non-partisan basis through 
capacity development activities and the facilitation of multi-party dialogues. 

Moreover,  EU  development  policy  has  made  a  strategic  shift  towards  stronger  emphasis  on 
human rights, democracy, rule of law and other elements of good governance, by proposing a 
higher share of EU cooperation programmes to be devoted in this area.5 

The EU  and its Member States are also  reinforcing the effectiveness and coherence of their 
support for human rights in partner countries. For this purpose, comprehensive human rights 
country strategies are being developed. These strategies identify priority areas for EU action, 
inform the human rights and political dialogues at all levels and will be taken into account in 
policy-making  and  when  programming  and  implementing  financial  assistance,  including 
budget  support.  These  strategies  will  also  be  taken  into  account  in  the  European 
Neighbourhood  Policy  (ENP)  progress  reports,  so  as  to  ensure  that  the  "more  for  more" 
principle is applied in a consistent way across the ENP region. 

The  EU  is  also  currently  improving  its  analytical  tools  for  democratisation  strategies 
through  democracy  profiles  in  pilot  cases,  which  map  the  political  structures  and  processes 
and  inform  both  EU  programming  and  political  dialogue.  They  provide,  in  particular, 
information on the legal system, the division of powers both horizontally and vertically, the 
constitution and the electoral system and look at the efficiency and effectiveness of the rule of 
law, of the public sector and its ability to drive and/or contribute to sustainable development. 

1.2. 

Support for institution building and the rule of law 

The establishment and consolidation of independent, transparent and effective institutions is 
highly  important  for  building  trust  in  a  country  in  transition  and  for  creating  the  basis  for 
further developments, as well as for tackling corruption and organised crime early in reform 
processes  –  an  important  lesson  learned  in  the  context  of  reforms  linked  to  recent  EU 
enlargements.  Macroeconomic  stability  can  only  grow  if  there  is  a  climate  that  attracts 
investments  and  that  allows  businesses  to  thrive.  This  requires  an  independent  judiciary  to 
solve  disputes,  clearly  regulated  property  rights  and  respect  for  the  rule  of  law.  Moreover, 
credible  institutions  are  needed  to  avoid  gaps  between  legal  rules  and  the  capacity  to 
implement and enforce them, which in practice can prevent or slow down a real change and 
facilitate corruption.  

An independent judiciary needs to ensure the respect for the rule of law and the protection of 
human rights. This can be a particular challenge, as judges and prosecutors appointed under 
previous,  non-democratic  regimes  might  undermine  reform  efforts.  At  the  same  time, 
lustration  (i.e.  dismissal  of  those  associated  with  abuses  of  the  previous  regime)  or  vetting 
procedures  bear  the  risk  of  further  politicising  the  system  for  a  prolonged  period  of  time. 
Therefore, a balanced approach needs to be taken, which should also explore possibilities of 
holding judges and prosecutors accountable through disciplinary or criminal proceedings. At 
the same time, capacity development should contribute to better access for citizens to security 

4 

5 

Ibid,  section  2.1.1;  see  also  the  reference  document  on  "Engaging  and  Supporting  Parliaments 
Worldwide: EC strategies and methodologies for action to support parliaments". 
Communication  on  Increasing  the  impact  of  EU  Development  Policy:  an  Agenda  for  Change  (the 
"Agenda for Change"), section 2; and the Council Conclusions of 14 May 2012. 

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and justice services (for example through awareness raising), which as such is crucial if the 
transition process is to be sustainable and legitimate.  

Public  administrations  need  to  be  reformed  so  that  they  work  in  the  interest  of  the  citizens. 
Independent  supervisory  bodies,  such  as  ombudspersons,  anti-corruption  agencies  or  data 
protection  supervisors  are  necessary  to  control  the  work  of  the  other  state  institutions  and 
protect citizens' rights. Provided that these new institutions are set up with real independence 
and  are  given  sufficient  means  to  carry  out  their  tasks  effectively,  they  can  ensure  concrete 
and visible progress on the rule of law and human rights and increase citizens' trust. 

The  EU  can  contribute  to  institution  building  in  various  ways,  such  as  financial  support, 
policy  dialogues  and  technical  cooperation.  For  instance,  the  Instrument  for  Pre-accession 
Assistance in the enlargement policy has helped the Western Balkan countries significantly in 
their  reform  efforts.  In  addition,  a  comprehensive  institutional  framework  will  ensure  the 
sustainability  of  the  reforms  made.  Such  a  framework,  however,  needs  to  be  well  balanced 
and a system of checks and balances established. Concentrating too much power in the hands 
of  one  or  few  institutions  creates  the  risk  of  abuses  of  this  power  or  of  backsliding  of  the 
reform process through closure of such institutions.  

1.3. 

Support for economic and social development 

A country-specific reform agenda 

As a result of economic and political uncertainties, transition often brings about a short-term 
deterioration  in  growth  and  employment,  as  well  as  in  public  and  external  accounts.  Where 
this results in increasing unemployment and poverty in particular, it may erode and put at risk 
the  legitimacy  of  the  democratisation  process  and  result  in  increased  emigration  and  brain-
drain.  In  the  longer  term,  reforms  need  to  be  able  to  meet  citizens'  expectations  for  decent 
jobs, economic opportunities and social justice.  

Experience from countries that have carried out successful governance reforms, like Member 
States that joined the EU in the past decade,6 indeed demonstrates that these are often linked 
to the processes of economic and social development. In these countries, the economic reform 
agenda  was  defined  by  four  priorities:  macroeconomic  stabilisation,  privatisation  and 
restructuring  of  enterprises,  improving  the  business  environment,  and  upgrading  the 
performance of labour markets. These priorities supported the overarching objective of raising 
productivity  growth  in  order  to  raise  living  standards  and  improve  economic  and  social 
cohesion and welfare in a sustainable manner. The reform and development of public finances 
was equally important to ensure resources to support other economic reforms and to maintain 
and further develop an appropriate level of public services. 

Even  if,  in  general,  the  long-term  objectives  of  the  new  leaders  of  these  countries  were 
similar,  the  priorities,  sequencing  and  pace  of  the  reforms  differed  widely.  Some  countries 
(Poland, Czech Republic, Estonia) quickly introduced radical reforms to create conditions for 
an economic recovery (the so-called “shock therapy”), despite its significant negative impacts 
in the short term, such as output drop, unemployment and recession. Other countries (such as 
Hungary  and  Slovenia)  took  a  more  “gradualist”  approach  by  implementing  step-by-step 
macro-economic,  structural  and  institutional  reforms,  avoiding  thus  abrupt  changes  in 
economic  output,  employment  and  welfare.  This  allowed  time  for  national  enterprises  and 
economic operators to adapt to the new conditions of an open market economy. 

6 

See European Transition Compendium. 

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The  EU  has  a  broad  range  of  types  of  support  to  offer.  Budget  support,  including  State 
Building  Contracts  where  appropriate,  can  be  deployed  to  help  countries  consolidate  the 
transition and stabilise their short-term growth prospects and employment in the initial phase 
characterized  by  uncertainties,  while  avoiding  unsustainable  development  of  their  external 
and/or public debt. Other forms of development assistance, including project based assistance 
(see  the  example  of  Ivory  Coast)  and  technical  assistance  can  also  be  deployed  to  meet 
specific transition needs.  

Helping create decent jobs and a secure business environment 

In the long run, the EU can help partner countries build a more robust policy and regulatory 
framework  capable  of  attracting  private  investment,  spurring  entrepreneurship,  promoting 
SMEs, ensuring the effective and efficient management of natural resources, enhancing their 
capacity to collect taxes, improving agriculture, and strengthening economic cooperation and 
integration with other countries.7 Trade agreements and instruments, along with aid for trade, 
can  further  contribute  to  creating  a  favourable  environment  for  economic  development  and 
regional  integration.  Similarly,  support  to  establish  a  stable,  predictable  and  secure 
environment  for  business  remains  crucial.  It  is  also  often  necessary  to  (re)define  property 
rights,  land  ownership  and  the  role  of  the  private  sector.  For  instance,  in  the  central  and 
eastern  European  Member  States,  the  investment  climate  was  improved  by  legal  and 
regulatory  institutions  to  oversee  business  management,  secure  property  and  contract  rights, 
simplified  regulatory  and  licensing  procedures,  as  well  as  an  adequate  banking  system. 
Similarly, conditions for agriculture were improved by land market reform, including property 
rights, tax aspects, cadastre and registry. 

The  EU  can  support  relevant  reforms  through  sector  reform  contracts  coupled  with 
intensified  policy  dialogue.  Moreover,  it  can  support  and  facilitate  capacity  development  of 
local enterprises, notably micro, small and medium-sized ones (see the example of SANAD 
in the MENA region8). Partnering with the private sector may also be an efficient way to 
attract investment, strengthen linkages between Foreign Direct Investment and local business, 
and  to  stimulate  employment.  EU  regional  blending  facilities  have  proven  to  be  able  to 
leverage substantial additional funding by combining EU grants with other resources, such as 
loans from European Finance Institutions, including the European Investment Bank.9 

Helping to build inclusive economies and societies 

It  is  equally  important  for  the  EU  to  continue  to  support  its  partner  countries'  efforts  in 
addressing their citizens' aspirations for more equity, social inclusion and social protection 
(a  specific  Communication  on  social  protection  is  foreseen  in  the  second  half  of  2012). 
Support is particularly needed for actions that promote social and public service delivery to all 
population  groups.  In  this  regard,  CSOs  can  play  an  important  role  by  promoting  ethical, 
inclusive and equitable business models. The involvement of young people, the future leaders, 
should be particularly promoted. 

Transition is also a critical moment for taking concrete steps to promote gender equality and 
the empowerment of women as key participants in transition, to boost both their security and 
their  participation,  through  means  such  as  sector  budget  support  and  actions  under  the 

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The  Agenda  for  Change,  section  3.  This  includes  capacity  building  on  sustainable  low  emission  and 
climate resilient development, including access to sustainable sources of energy. 
Staff Working Document, section 2.1.5. 
Ibid, section 1.4. 

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European  Instrument  for  Democracy  and  Human  Rights  (EIDHR)  (for  examples,  see 
Morocco and Afghanistan)10.  

1.4. 

Support for conflict prevention, peace-building and security 

Some transitions towards democracy face a key two-fold challenge: ensuring that security and 
peace  contribute  to  sustainable  development  on  the  one  hand,  and  that  development 
contributes to peace and stability on the other.  

Events  such  as  elections,  changes  in  the  government  or  the  (re)allocation  of  resources  can 
trigger  outbreaks  of  violence  and/or  armed  conflict,  and  trigger  setbacks  in  often  fragile 
transition processes, especially in those societies which have not yet established effective and 
legitimate institutional frameworks to resolve conflicts peacefully. 

EU  support  in  such  circumstances  must  involve  a  conflict-sensitive  and  context-specific 
approach. In tackling the root causes of conflict, it should avoid increasing the dependency, 
power  and  patronage  of  certain  groups  or  exacerbating  the  negative  impacts  on  coping 
mechanisms.  The  exact  approach  and  considerations  in  individual  country  situations  should 
be identified through a dedicated conflict analysis. In many cases, such an analysis will reveal 
specific issues related to the peace-building goals as developed by the International Dialogue 
on Peacebuilding and Statebuilding and endorsed by the international community, including 
the EU.11 These goals relate to the need for an inclusive political process and reconciliation, 
intercultural  dialogue,  access  to  security,  justice  and  jobs,  and  accountable  and  effective 
resource management. 

In any event, EU support must be implemented within a broader approach that considers all 
the relevant areas, including reconciliation and support for uprooted people, crisis prevention, 
security  sector  reform,  resilience  and  climate  change,  sustainable  and  responsible 
management of resources, the rule of law, democratisation, civil society, human rights, public 
administration reform and public service delivery. As an example, the EU has contributed to 
reconciliation  in  the  countries  emerging  from  the  former  Yugoslavia  and  the  clear 
conditionality of the accession process ensured the prosecution of war crimes and cooperation 
with the International Criminal Tribunal for the former Yugoslavia.  

Reform of the security sector constitutes a particular challenge in efforts to guarantee security 
and  stability.  Better  civilian  oversight  of  security  services  is  generally  a  priority,  as  is 
improving  the  effectiveness,  accountability  and  behaviour  of  the  broad  range  of  security 
actors. The participation of communities and civil society groups can make the provision of 
security both more effective and more accountable. Particular attention needs to be paid to the 
role  and  rights  of  vulnerable  groups.  As  part  of  a  comprehensive  EU  approach,  the  EU's 
Common Security and Defence Policy (CSDP) can also play an important role in addressing 
key transition challenges. Since 2003, the EU has inter alia been providing training, advice or 
mentoring in support of security sector reform, monitoring peace plans or providing security 
support,  often  under  a  UN  mandate.  This  is  done  through  civilian  and/or  military  support 
measures. 

10 
11 

Ibid, sections 2.1.2 and 2.1.3, respectively. 
The 2011 High-Level Forum on Aid Effectiveness in Busan. 

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2. 

HOW CAN THE EU IMPROVE ITS TOOLS AND APPROACH?  

2.1. 

Responding to partner societies' needs 

To  secure  a  peaceful  and  successful  transition,  the  specific  reform  process  of  each  country 
should  respond  to  people's  needs,  defined  by  the  country  itself.  While  key  needs  and 
challenges in transition countries vary considerably, they very often include:  

– 

– 

– 

– 

– 

– 

national reconciliation and building a national consensus on fundamental issues; 

establishing well-functioning democratic institutions and processes; 

avoiding  an  unsustainable  decline  in  incomes  and  employment  and  restoring  or 
maintaining macroeconomic stability; 

promoting  long-term  socio-economic  development  and  inclusion,  with  decent  jobs, 
including  quality  healthcare, 
economic  opportunities,  basic  social  services, 
education, and social justice; 

establishing  a  business-friendly  environment,  (re)defining  property  rights  and  the 
role of the private sector, and reviewing the functioning of the market; and 

where necessary, restoring security, justice and the rule of law. 

As  situations  vary  widely,  there  is  no  uniform  prescription  for  a  successful  transition 
process  or  EU  response.  For  instance,  a  fragile  state  within  the  group  of  least  developed 
countries, such as Burma/Myanmar, may require a somewhat different response from that of 
more advanced middle income countries like Tunisia or Egypt.  

EU support should to be tailored to consider the specific situation and needs of each country 
along  with  the  added  value  that  EU  support  can  bring,  and  an  assessment  of  the  specific 
interests and potential risks for the EU. The starting point should generally be the countries' 
own assessments of needs and how these can be addressed. The swift deployment, during the 
initial stage of a transition, of a joint EU services mission involving all those responsible for 
the  different  available  instruments,  is  key  to  prepare  in  a  timely  manner  a  comprehensive, 
integrated and long-term response. For instance in the framework of the enlargement policy, 
peer  assessment  missions  with  the  participation  of  Member  States  experts,  as  well  as  broad 
consultations with other donors, international organisations and civil society have proved to 
deliver good results in the preparation of EU assistance. In the context of aid for trade, the EU 
has also provided support for the trade needs assessment, diagnostic studies and elaboration of 
trade  strategies  through  dedicated  programmes  in  African,  Caribbean  and  Pacific  (ACP) 
countries.  

2.2. 

Anchoring the process with early achievements 

Given the uncertainty and instability linked to transition processes, it is critical to achieve, as 
soon  as  possible,  some  tangible  improvements  to  establish  confidence  and  to  promote 
political  stability  and  social  cohesion.  While  long-term  strategies  are  being  put  in  place, 
potential  areas  for  such  early  achievements  can  cover  basic  democratic  rights  and  freedoms 
including  cultural  rights,  job  creation  and  removing  constraints  to  growth,  public  service 
delivery,  including  basic  social  services,  as  well  as  recovery  of  lost  assets  and  re-
establishment of livelihoods particularly in post-conflict situation.  

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In  the  area  of  democratic  governance,  typical  examples  of  areas  where  such  quick  wins 
could  be  possible  include  freedom  of  expression  and  credible  elections  (see  the  example  of 
Tunisia12),  a  representative  and  legitimate  constituent  assembly  and  the  adoption  of  a  new 
constitution  through  participatory  processes.  As  experience  in  current  and  past  EU 
enlargement processes has demonstrated, trust of citizens in the rule of law and protection of 
human rights can be strengthened through concrete support of relevant institutions and setting 
up of independent supervisory bodies, as well as through improved access to information and 
data on key economic and social issues.  

In the short run, democratic transition may weaken economic activity, employment rates and 
macroeconomic stability. It is crucial that measures are taken and projects implemented that 
can  help  usher  in  fast  improvements  in  income  generation,  social  safety  nets  and  basic 
service  delivery,  and  can  guard  against  unsustainable  poverty  increases.  This  is  often 
necessary to generate support for economic reforms with a longer-term impact – or at least to 
overcome  resistance  to  change.  For  instance,  funds  and  projects  promoting  job  creation 
through  the  development  of  SMEs  and  microcredit  schemes13  can  be  used  in  this  context. 
Reforms can be facilitated also at industry level, in particular where there is potential for rapid 
take-off and for tangible results in terms of incomes and jobs. 

Programmes for quick-win job creation and short-term employment should, however, strive to 
include longer-term follow-up for instance by vocational training and job mediation services 
that help programme participants find regular work. The need for quick wins should be built 
into longer-term strategies for employment generation and should not spawn new entrenched 
interests and unsustainable situations. 

In  the  area  of  security,  immediate  steps  to  help  stabilise  a  country  following  a  possible 
conflict are often needed to prevent the situation from deteriorating and the transition process 
from  backsliding.  Successful,  although  very  different,  examples  of  EU  support  include 
negotiating  and  monitoring  steps  towards  peace  (enlargement  countries,  Georgia,  Aceh 
Indonesia);  supporting  border  management  (enlargement  countries,  Libya);  training  police 
officers  (enlargement  countries,  Afghanistan);  temporarily  ensuring  international  civil 
administration  or  policing  and  justice  functions  (EULEX,  Kosovo14);  and  supporting  the 
United Nations, for instance through a bridging operation (Chad and the DRC) or assistance 
to a UN monitoring mission as in Syria. 

2.3. 

Applying incentives, constraints and conditionalities  

While incentives, constraints and conditionalities cannot be the main driver of reforms, they 
can  support  the  process.  Different  EU  external  policy  frameworks,  including  enlargement 
policy, the European Neighbourhood Policy (ENP) and the Cotonou Agreement with African, 
Caribbean and Pacific countries, contain such measures. These may be financial (in the form 
of  assistance,  for  example),  economic  (such  as  inclusion  in  European  networks  and  policy 
dialogues)  or  political  (including  political  dialogue);  they  can  be  positive  or  negative 
(involving,  say,  imposing  or  lifting  sanctions).  In  the  enlargement  policy,  for  instance, 
negotiations for accession are opened only upon a set of conditions such as democracy, rule of 
law, human rights and the respect for and protection of minorities. Moreover, in trade policy, 
the Generalised System of Preferences (GSP) contains incentives that may indirectly support 

12 
13 
14 

Staff Working Document, section 1.2.1. 
Ibid, section 2.1.5. 
This designation is without prejudice to positions on status, and is in line with UNSCR 1244 and the 
ICJ Opinion on the Kosovo Declaration of Independence. 

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reforms  even  though  this  is  not  its  policy  objective,  given  inter  alia  that  trade  instruments 
have to be consistent with WTO rules.  

Sanctions and restrictive measures 

Sanctions,  as  part  of  a  wider  set  of  political  initiatives  in  the  EU's  Common  Foreign  and 
Security Policy, can be instrumental to help maintain the political momentum for change and 
transition  in  situations  which  otherwise  risk  deteriorating  rapidly.  They  should ideally  be 
imposed  at  UN  level  wherever  feasible  to  ensure adoption  and  implementation  of  similar 
measures by the largest number of countries. EU autonomous measures can provide a targeted 
and timely complement to UN based measures. Where agreement at the UN is not possible, 
EU autonomous measures can be used to exert pressure in the targeted country or situation. 

In  case  of  positive developments,  EU  measures  can  be  swiftly  lifted  or  amended  to  support 
and  encourage  transition  processes. Some  limited  measures may  however  be retained  to 
prevent  threats  or  adverse  impacts  on  the  transition  process  or  the  measures  may  also  be 
suspended  as  a  way  of  encouraging  positive  developments  that  have  taken  place,  whilst 
retaining a method of exerting continued pressure in anticipation of further improvements. 

Incentive-based approach 

Incentive-based approaches under the EU enlargement policy have produced positive results, 
for instance in the Western Balkans. Progress on the EU accession path is linked to concrete 
steps  in  the  reform  agenda.  As  an  example,  Montenegro  had  to  meet  a  number  of  key 
priorities set out in the Commission's opinion on the membership application, which included 
important  rule  of  law  and  human  rights  aspects,  before  accession  negotiations  could  be 
opened. Also the visa liberalisation dialogue with five Western Balkan countries was based on 
detailed roadmaps with specific benchmarks and led to concrete improvements in areas such 
as document security and the fight against corruption and organised crime, as well as border 
controls, migration policy and document security. 

The ENP also follows a so-called "more for more" principle. Countries which go further and 
faster with specific, measurable democratic reforms, will receive greater support from the EU. 
To reflect this new incentive-based approach, two umbrella programmes were set up to offer 
additional “more-for-more” resources: Support for Partnership, Reform and Inclusive Growth 
(SPRING)  for  the  southern  Neighbourhood  (see  the  example  of  Tunisia15)  and  Eastern 
Partnership Integration and Cooperation Programme (EaPIC) for the Eastern Neighbourhood. 
The  programmes  will  fund  initiatives  addressing  new  challenges  in  relation  to  democratic 
reform and inclusive socio-economic development in particular.  

A similar approach could be applied beyond the EU's neighbourhood, provided that measures 
taken  to  address  crises  and  support  civil  society,  cooperation  among  local  authorities  and 
people-to-people contacts fall outside the "more for more" approach. 

The  incentive-based  approach  of  the  Governance  Initiative  under  the  10th  European 
Development  Fund  (EDF)  for  countries  in  Africa,  the  Caribbean  and  the  Pacific  (ACP) 
enjoyed  only  limited  success,  partly  because  the  initial  governance  allocation  did  not 
sufficiently differentiate among partner countries and the commitments to future reforms were 
not sufficiently monitored, which reduced the impact on governance performance.  

15 

Staff working Document, section 2.1.4. 

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Experience  in  these  different  contexts  has  indeed  shown  that  effective  monitoring  and  open 
information  about  the  government's  progress  are  crucial  in  assisting  the  reform  process  and 
can  play  a  key  role  in  motivating  partner  countries  to  speed  up  reforms.  Its  impact  can 
increase yet further if multiple stakeholders are involved in the process and the general public 
is informed about the government's performance (see the example of Benin16).  

In incentivising reforms, the following lessons should therefore be heeded: 

– 

– 

– 

– 

– 

rewards  should  be  unambiguously  defined  at  the  outset  and  granted  for  actual 
achievements and real performance; 

preference  should  be  given  to  work  schemes  that  enhance  ownership  and  thereby 
commitment to results and impact; 

performance  should  be  monitored  on  a  regular  basis  and  shortcomings  addressed 
through appropriate follow-up; 

the  government's  progress  should  be  exposed  to  a  wide  audience  in  open 
consultations; and 

dialogue should take place with all relevant stakeholders. 

2.4. 

Involving all relevant stakeholders  

The  experience  of  Member  States  which  joined  the  EU  in  the  past  decade  and  the  current 
enlargement cases shows that a  successful transition must enjoy broad public support. Civil 
society, local authorities and a wide range of non-state actors (including social and economic 
partners,  consumer  associations  and  the  private  sector)  have  an  important  role  to  play  in 
domestic reforms as they can highlight existing shortcomings, suggest concrete solutions and 
put pressure on the authorities to continue the transition process. 

The  supporting  role  of  the  EU  has  not  been  confined  to  actions  by  the  Commission,  the 
European  External  Action  Service  and  Member  States;  other  EU  institutions,  such  as  the 
European Parliament, the European Economic and Social Committee, and the Committee of 
the Regions also have an important role to play.17 

Specific support to civil society 

The  EU  has  various  tools  to  support  civil  society  organisations  (CSO),  including  the 
Instrument  of  Pre-Accession  (IPA),  the  Civil  Society  Facilities  for  the  enlargement  and 
neighbourhood, EIDHR, European Endowment for Democracy, thematic programme for non-
state  actors  and  local  authorities  under  the  Development  Cooperation  Instrument  (DCI)  and 
capacity-development  programmes  under  the  European  Development  Fund  (EDF)  and  the 
DCI.  Experience  from  the  EU  enlargement  policy  shows  that  it  is  important  to  create  an 
enabling  environment  (legal  framework  and  rules  on  funding,  inclusion  in  political 
consultation  procedures)  that  allows  civil  society  in  the  country  to  develop  in  a  sustainable 
manner. Therefore, all EU instruments in this area are designed to empower actors based on 

16 
17 

Ibid, section 2.1.4. 
Ibid, section 2.1.3. 

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their capabilities and strengths in their own areas and hence are crucial for addressing socio-
economic issues, political disputes or conflicts of interest, for instance. 

CSO platforms and networks have proven important in strengthening civil society's outreach. 
The  enabling  environment  should  be  addressed  in  political  dialogues  with  partner 
governments  to  ensure  that  CSOs  have  space  within  which  to  operate.  Where  this  is  not 
possible, the EIDHR is well-placed to support civil society since, if need be, it can be used 
without the government's consent. 

A Communication on engagement with civil society is foreseen for the second half of 2012. 

Inclusive dialogues and consultations 

Policy  dialogues  play  an  important  role  in  assisting  partner  countries  to  achieve  successful 
political, social and economic reforms. For instance, regular meetings with representatives of 
the  enlargement  countries  are  essential  in  the  Stabilisation  and  Association  Process  and  are 
further  strengthened  though  country  specific  dialogues,  such  as  the  Structured  Dialogue  on 
Judiciary with Bosnia and Herzegovina. Dialogues can be facilitated by the EU Delegations 
and strengthened with the participation of Member States, where appropriate.  

The  EU  has  conducted  its  policy  dialogues  primarily  with  government  partners  in  the  past. 
That said, it has also acquired some positive experiences of multi-stakeholder dialogues. The 
Structured  Dialogue  on  the  Involvement  of  Civil  Society  and  Local  Authorities  in  EU 
Development  Cooperation  is  an  inspiring  example.  Another  one  is  the  "Speak  Up!" 
conference organised by the Commission in the context of the enlargement process in 2011 
which brought together journalists and media professionals to discuss challenges concerning 
freedom  of  expression  and  media  in  the  Western  Balkans  and  Turkey.  Civil  society  in 
enlargement  countries  also  provides  valuable  contributions  to  the  European  Commission's 
annual Progress Reports and to the preparation of projects financed through IPA. 

The EU should actively promote more inclusive policy dialogues and support the involvement 
of a wide range of stakeholders in reform processes (see the example of Benin under the EDF 
Governance Initiative18); the process followed in enlargement countries is a good example. It 
should  make  full  use  of  the  tools  available  for  supporting  political  and  civil  society  in  this 
context, while taking appropriate account of the sensitive issues of legitimacy, accountability 
and representativeness. 

The  EU  should  also  help  transition  countries  consult  (emerging)  political  actors,  local 
authorities  and  the  wide  range  of  non-state  actors  mentioned  above.  It  is  also  important  to 
involve  specific  groups  in  society,  such  as  young  people,  women  and  marginalised  groups 
(minorities,  the  poor,  displaced  people).  Moreover,  when  it  comes  to  economic  reform  and 
private sector development specifically, active public-private dialogue is essential. 

2.5. 

Enhancing knowledge-sharing and development capacities 

Knowledge-sharing platforms 

The European Transition Compendium, designed to disseminate transition information, has 
been  made  available  through  an  online  interactive  database  and  can  now  be  consulted  by 
various stakeholders around the world.  

18 

Ibid, section 2.1.4. 

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The  Commission  should  set  up  a  broader  platform  or  network  for  sharing  knowledge  on 
democratic  transformation  issues  with  developing  countries,  other  donors,  emerging 
economies, civil society, the private sector and other relevant stakeholders. Such a platform 
could be made available through the existing capacity4dev platform. 

Twinning and Capacity Development 

The  High-Level  Forum  on  Aid  Effectiveness  in  Busan,  South  Korea,  in  November  2011 
marked a shift towards a more modern view of capacity development as being not just about 
technical  assistance  and  training,  but  also  about  support  for  change  and  reform,  including 
better access to knowledge. 

In supporting transition processes, the EU should foster capacity development and technical 
cooperation with its partners. Inspiration can be taken from the innovative tools developed in 
its enlargement policy and already extended to the neighbourhood, including, in particular: 

– 

– 

– 

TAIEX  (Technical  Assistance  and  Information  Exchange),  which  provides  support 
through  EU  public  sector  expertise  for  the  approximation,  application  and 
enforcement of EU legislation. 

Twinning,  which  contributes  to  institutional  development  through  partnerships 
between  public  institutions  in  beneficiary  countries  and  their  counterparts  in  EU 
Member  States.  Together  with  SIGMA  (Support  for  Improvement  in  Governance 
and Management), twinning has supported public administration reforms and helped 
develop modern and efficient administrations in beneficiary countries. 

In the Eastern Partnership, the Comprehensive Institution Building (CIB) initiative 
specifically  addresses  institution  reforms  in  areas  linked  to  the  new  bilateral 
agreements  with  the  EU19.  Each  country  identified  its  own  key  reform  challenges 
under the CIB, and designed comprehensive Institutional Reform Plans.  

Beyond neighbourhood, ad hoc solutions have been set-up to mobilize expertise under various 
external instruments, such as expert facilities implemented under the Instrument for Stability 
or  the  Migration  EU  Expertise  (MIEUX)  under  the  DCI  which  encourages  the  peer-to-peer 
transfer of expertise and know-how to beneficiary countries. 

2.6. 

Cooperating with Member States, other donors and organisations 

The EU and its Member States should increasingly "act as one" to support transition societies. 
This would help to avoid duplications of efforts, omissions or contradictions and to improve 
the impact and effectiveness of EU action. They should continue to strive for greater internal 
coherence  and  synergy  in  their  dialogue,  programmes,  and  actions,  and  use  joint 
programming,  where  appropriate.  Encouraging  achievements  in  the  area  of  democracy 
support, beyond the successful reforms under the enlargement process include: 

– 

19 

the EU Agenda for Action on Democracy Support, which creates a framework for a 
common EU understanding, approach and programming (in Bolivia and Tunisia, for 
instance); 

Association  Agreements,  Deep  and  Comprehensive  Free Trade Areas,  Visa  Facilitation/Liberalisation 
and Readmission Agreements 

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– 

– 

EU  Human  Rights  Country  Strategies,  jointly  prepared  by  the  Commission,  EEAS 
and Member States; and 

The  envisaged  Joint  Framework  Documents,  defining  a  joint  strategic  approach  in 
relation to a partner country in all policy areas. These could be of particular interest 
when coordinating the EU policy response to transition processes. 

In  supporting  transition  processes  the  EU  should  explore  triangular  cooperation  and  other 
options  for  cooperating  with  developing  countries  that  are  also  emerging  as  providers  of 
development cooperation and have recent experience with democratic transition. 

It  should  also  look  at  enhancing  cooperation  with  regional  organisations  and  regional 
networks, which can exert leverage and act as a major catalyst in consolidating reforms and 
regional  integration  in  their  respective  regions.  These  might  include  regional  parliamentary 
assemblies  or  regional  electoral  commissions;  they  could  assist  constitutional,  electoral  and 
capacity-building processes in their respective regions, and in doing so, rely on regional best 
practice. This would increase the legitimacy of external support. These organisations can also 
play a valuable role in monitoring progress towards democratisation. 

Most  major  regional  organisations  have  democracy  charters  or  instruments  of  similar 
substance,  and  are  opening  the  door  to  more  systematic  interregional  work.  By  virtue  of  its 
own  experience  and  that  of  its  Member  States,  the  EU  is  a  natural  partner  for  such 
organisations. 

The  EU  supports  initiatives  by  international  organisations,  including  the  UN  and  the 
Council  of  Europe,  that  aim  at  accompanying  political  processes,  strengthening  democracy 
and promoting socio-economic development in transition countries. In the area of security, for 
instance, the EU is working closely together with international and regional actors such as the 
UN,  Arab  League,  African  Union  and  Association  of  South  East  Asian  Nations  (ASEAN). 
Many partner countries also contribute to CSDP missions and operations. Building long-term 
relationships in the area of security and defence with the EU partners, including southern and 
eastern  neighbours,  may  also  contribute  to  the  consolidation  of  their  internal  transformation 
and democratisation processes thus enhancing regional security and stability. 

Conclusion 

The  EU  already  has  a  range  of  useful  policies  and  tools  available  to  support  transition 
countries  worldwide  as  they  embark  on  the  path  to  democracy,  which  it  has  successfully 
developed  and  deployed,  especially  but  not  only  in  its  immediate  neighbours.  These  range 
along  a  spectrum  from  incentivising  initial  and  further  reform  to  supporting  the  design  of 
reform, its implementation and helping to achieve sustainability. The EU can play a key role, 
in particular, by helping to create an enabling environment for some of the crucial elements of 
successful  democratic  and  economic  transformations,  such  as  for  various  democratic  actors, 
enterprise, investments, trade and social protection.  

These tools and methodologies should form a coherent part of the EU's overall framework of 
support  to  partner  countries,  especially  where  they  are  engaging  in  transition.  While 
experience shows that transition processes should, first and foremost, be owned by the state 
and  its  citizens,  experience  also  shows  that  the  EU  does  have  valuable  expertise  to  offer, 
adapted of course to the needs and wishes of partner countries anywhere in the world, as part 
of  a  wider  EU  package  of  political,  economic  or  other  support.  For  that  purpose,  the  EU 

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stands  ready  to  mobilize  its  entire  range  of  available  instruments  and  improve  its 
implementation tools and methods to further increase the impact of its support. 

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