REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL on the evaluation of the Union's finances based on the results achieved
Date: 2013-06-26
Institutions: European Commission
Subjects: EU expenditure, European Court of Auditors, European citizenship, area of freedom, security and justice, competitiveness, economic growth, job creation, management of resources, multiannual financial framework, the EU's international role

EUROPEAN 
COMMISSION 

Brussels, 26.6.2013  
COM(2013) 461 final 

REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND 
THE COUNCIL 

on the evaluation of the Union's finances based on the results achieved 

{SWD(2013) 228 final} 
{SWD(2013) 229 final} 

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REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND 
THE COUNCIL 

on the evaluation of the Union's finances based on the results achieved 

1. 

INTRODUCTION 

This report under Article 318 TFEU (the 'Report') is the third to be produced and reflects the 
continued development of reporting on the evaluation of the Union's finances based on results 
achieved. 

The Discharge Authority and the European Court of Auditors have shown strong interest in 
the Report and made suggestions for its further improvement, based on the two earlier reports 
produced.  The  Commission  has  responded  to  these  suggestions  in  this  year's  Report  to  the 
extent possible under the existing framework for monitoring, evaluation and reporting for the 
Multi-annual  Financial  Framework  (MFF)  2007  –  13.  The  improvements  introduced  in  this 
year's Report move in the direction envisaged for the further development of the Report under 
the next MFF 2014 – 20, as described in Section 2. Section 3 reports on the monitoring and 
performance results in 2012 with regard to expenditure programmes and evaluations of these 
programmes  carried  out  in  2012,  providing  an  overview  of  available  performance  evidence 
under each budget heading.  

The Report is now published significantly earlier in the year than the 2010 and 2011 reports to 
align better with the adoption of the Synthesis Report and to ensure that it is available to the 
Discharge  Authority  and  the  Court  of  Auditors  in  view  of  the  discharge  procedure  for  the 
reported year.  

This  Report  covers  EU  programmes  from  all  EU  policy  areas  of  expenditure  of  the  current 
MFF. This approach was welcomed by the Discharge Authority and the Court of Auditors in 
the  previous  report.  In  response  to  the  request  of  the  Discharge  Authority,  the  results  of 
external  programmes  (Heading  4)  are  explained  in  more  detail  and  progress  towards 
achieving  EU  2020  flagship  initiatives  is  highlighted  (where  results  are  available).  Other 
performance-related information in addition to the results of evaluations has been included in 
this  year's  Report  to  provide  more  complete  coverage  of  progress  and  results  achieved. 
Sources  include  the  Annual  Activity  Reports  of  the  Directorates  General  and  the  special 
reports  from  the  European  Court  of  Auditors,  as  well  as  national  reports  and  reports  from 
expert  networks  for  the  implementation  of  programmes  under  shared  management,  and 
internal audit reports. Each policy heading under Chapter 3 includes a section on progress in 
the  implementation  for  the  year  2012  and  the  main  evaluation  results/other  performance-
related feedback on the programmes that became available in 2012 relating to earlier years. 

The  Report  is  accompanied  by  two  Commission  Working Documents. The  first contains an 
Action Plan setting out provisional planning for the further development of the Report. This 
planning  will  be  confirmed  following  the  adoption  of  the  legal  instruments  supporting  the 
Multi-annual  Financial  Programme  2014  –  20.  The  second  provides  a  comprehensive 
overview  of  130  evaluations  completed  in  2012.  The  majority  of  these  evaluations  concern 
expenditure  programmes  and  the  Evaluation  Report  contains  an  analysis  of  cross-cutting 

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issues  and  main  findings/recommendations  of  these  evaluations.1  Core  information  on  each 
evaluation is summarised, including information on impacts, efficiency, effectiveness, and EU 
value  added.  The  summaries  include  hyperlinks  to  the  webpage  where  the  full  report  is 
accessible.  These  two  documents  respond  to  requests  of  the  European  Parliament  and  the 
European Court of Auditors. 

ACTION TO IMPROVE MONITORING, REPORTING AND EVALUATION 

2. 
In the context of the EP Discharge for 20112 the European Parliament included a section on 
'Priority  Action'.  Parliament  referred  to  the  need  for  a  new  culture  of  performance  in  the 
Commission  including  defining  targets  and  indicators  in  the  Management  Plans  of  the 
Directorates  General  and  all  proposals  for  new  policies  and  programmes.  Parliament  also 
underlined  the  importance  of  the  response  of  the  European  Court  of  Auditors  to  the  last 
Report and the need for a clear definition of EU added value; for Annual Activity Reports of 
the  Directorates  General  to  measure  their  performance  and  summarise  results achieved; this 
Report  to  summarise  performance  and  results  in  AARs  and  to  distinguish  between  internal 
and external policies emphasising progress on the flagship initiatives for Europe 2020; and for 
all evaluation reports to be made available in full to Parliament.  

This  year's  Report  already  builds  on  reporting  in  the  Annual  Activity  Reports,  programme-
specific  reporting,  evaluations  and  internal  and  external  audit  results.  As  explained  in  this 
year's  Communication  on  the  'Synthesis  of  the  Commission's  management  achievements  in 
2012'3,  specific  attention  is  being  paid  to  developing  the  performance  culture  within  the 
Commission  through  its  Management  Plans  and  Annual  Activity  Reports  ensuring 
consistency between these internal management instruments, other reports such as this Report 
to  avoid  duplication  and  to  streamline  performance  reporting.  These  proposals  contain  the 
"building blocks" to which the Court referred in its response to last year's Report for a reliable 
system for collecting performance data to identify results and impacts for the next MFF. As 
requested  by  Parliament,  this  Report  also  summarises  performance  and  results  in  AARs, 
distinguishes  between  internal  and  external  policies,  includes  references  to  progress  on  the 
flagship initiatives for Europe 2020 and indicates where the full texts of all evaluation reports 
is to be found in order to make them available to Parliament 

For the next MFF, the Commission is working on a stronger and  more  coherent framework 
for  monitoring,  evaluation  and  reporting  on  the  performance  of  EU  financial  programmes. 
The  Commission  proposals  for  the  next  set  of  programmes  for  2014  -  20  focus  on 
simplification to facilitate and accelerate programme implementation, to improve monitoring 
of progress (to ensure improved identification of delays or difficulties and quicker action to 
remedy deficiencies) and to improve evaluation and reporting on performance. 

Key elements of this framework include: a set of the main objectives to be achieved by the 
programmes,  with  appropriate  links  to  the  EU-2020  objectives;  sets  of  strong  indicators 
providing the basis  for  clearer  reporting on the progress, efficiency and effectiveness of the 
actions  taken;  and  strong  arrangements  for  monitoring  and  evaluation  to  ensure  the 

1 

Other  evaluations  covered  in  the  Annex  concern  mainly  regulatory  and  communication,  information 
and coordination activities and internal administrative processes of the EU Institutions. 
European Parliament resolution on the discharge for implementing the EU  

2 
General budget for the financial year 2011- P7 TA-PROV(2013)0122. 
3 

COM(2013)334 final. 

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availability of the necessary data and opinion in time to support improved reporting on results 
and performance.  

The information and assessments that the Commission will be able to produce year-on-year in 
its Annual Activity Reports and in its overall reporting for the next MFF will largely depend 
on these key elements being maintained in the legal instruments to be adopted by Parliament 
and Council to support the new set of financial programmes. 

In  its  Report  next  year,  the  Commission  will  describe  the  framework  for  performance 
reporting  to  the  end  of  the  next  MFF  that  results  from  the  co-legislative  work  on  the  legal 
instruments for the next generation of programmes. It will include the key objectives of the 
programmes,  the  main  indicators,  monitoring  arrangements  and  the  timing  and  content  of 
evaluations. It will show how annual reporting on progress in the early implementation of the 
next  MFF  will  be  accompanied  by  continuing  work  on  the  ex-post  evaluation  of  the 
performance  of  the  current  programmes.  It  will  show  when  the  main  evaluations  of  the 
performance  of  the  current  programme  will  have  been  completed  and  when  and  how 
performance  reporting  on  the  next  programme  will  be  made,  including  Commission  and 
Member State contributions for programmes under shared management.  

Finally, in the context of its Smart Regulation agenda, the Commission is also working on a 
review of its policy on evaluation. It will hold a public consultation later this year with a view 
to  the  adoption  of  the  conclusions  reached  around  the  end  of  the  year.  The  results  should 
make  a  further  contribution  to  improved  reporting  on  the  progress,  efficiency,  effectiveness 
and added value of EU actions in achieving impacts on the economy and society. 

3. 

OVERVIEW OF RESULTS ACHIEVED  

HEADING 1A - COMPETITIVENESS FOR GROWTH AND EMPLOYMENT 

Enterprise and industrial policy 

In 2012, the macro-economic situation called for stronger efforts to stimulate growth and job 
creation to reach the goals of the EU 2020 strategy. Reflecting the economic slowdown, the 
EU targets for growth of industrial competitiveness and job creation could not be met. On the 
other hand, innovation performance has shown overall improvement, continuing convergence 
and  higher  leverage  effects  measured  in  terms  of  additional  innovation  resulting  from  EU 
support, particularly that for SMEs. 

In  2012,  the  main  expenditure  programmes  in  the  field  of  enterprise  and  industrial  policy 
were: (i) the Space, Security and Galileo research programmes under the Seventh Framework 
Programme for Research and Development (FP7; EUR 600 million); (ii) the Entrepreneurship 
and Innovation Programme (EIP) as a part of the Competitiveness and Innovation Framework 
Programme (CIP-EIP: EUR 335 million); (iii) the European satellite navigation programmes 
(Galileo and EGNOS; EUR 169 million) and (iv) the Global Monitoring for Environment and 
Security operational programme (GMES-Copernicus; EUR 40 million).4 

Regarding  FP7,  the  2012  Space  call  has  led  to  49  research  projects  retained  for  funding 
covering activities like climate change and the development of critical technologies for space. 
The FP7 call for Security includes 54 topics covering actions such as the fight against large 

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All figures for expenditure on programmes in the Report are for 2012. 

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scale  fires  and  the  fast  rescue  of  victims.  With  a  participation  of  SMEs  at  over  21%,  the 
security research theme largely exceeds the 15% target set for the whole of FP7. 

The  Entrepreneurship  and  Innovation  Programme  (EIP)  is  designed  to  provide  a  direct  and 
practical  response  to  the  core  needs  of  SMEs.  The  specific  financial  instruments  developed 
under  this  programme  -  the  High  Growth  and  Innovative  SME  Facility  and  the  SME 
Guarantee  Facility  -  have  proven  to  be  particularly  effective  in  meeting  SMEs'  needs  for 
finance which otherwise would not have been met. Support for equity investments has been 
provided  to  over  250  innovative  and  high  growth  SMEs  and  over  200,000  SMEs  have 
benefited from the loan guarantee facility. The instruments create a positive leverage effect of 
1 to 29 for loan guarantees and 1 to 5 for venture capital, which means that for each Euro of 
public money spent a much higher value is generated in the real economy.  

The final evaluation of the EIP confirmed that it addressed effectively the needs of SMEs and 
had  a  positive  effect  on  the  start-up  and  growth  of  SMEs,  in  terms  of  leverage  and  the 
development  of  eco-innovative  activities.  Furthermore,  two  evaluations5  completed  in  2012 
prepared the ground for initiatives on SME access to finance planned for 2013. They provided 
information  on  how  to  access  over  EUR  50  billion  of  public  finance  in  Member  States  and 
examined  how  to  facilitate  the  exchange  of  good  practices  on  policies  and  support 
programmes  across  the  EU.  The  evaluations  also  provided  indications  on  how  support 
measures  should  be  designed  to  attract  the  investment  from  Business  Angels,  an  important 
source  of  funding  in  many  countries.  Follow-up  was  also  given  to  the  Commission's  2011 
internal  audit  results  to  strengthen  the  monitoring  of  the  programme’s  performance  in  the 
future. To this end, a set of appropriate indicators is being developed to monitor the COSME 
programme, the successor to the EIP6. 

The programme objectives for Galileo and EGNOS in 2012 have been met. The October 2012 
launch of two new satellites was successful and the deployment of the ground infrastructure 
for  the  programme  validation  phase  was  accomplished.  This  completed  the  first  quartet  of 
satellites  out  of  the  30  satellites  of  the  future  Galileo  constellation.  As  for  EGNOS,  a  third 
service (EGNOS Data Access Service – EDAS) was officially launched in July 2012, adding 
to the already available Safety of Life (SoL) and Open Services. 

Concerning progress on GMES-Copernicus, two of the six services for land monitoring and 
emergency  management  became  operational.  On  land  monitoring,  GMES  is  starting  to 
provide  unique  data  products,  for  which  there  is  already  demonstrable  demand  from  EU 
policy  makers  and  agencies,  bringing  the  benefit  of  fully  comparable  data  for  all  Member 
States. GMES data were successfully used in disaster relief, for example by rescue services in 
ship wreckage in Italy, earthquakes and in fighting forest fires. The interim evaluation of the 
GMES initial operations (GIO) indicates that the GIO is on-track to achieve the objective of 
developing two fully operational services within the three year period set. The proposal has 
been  made  for  GMES  to  be  continued  and  expanded  through  the  Copernicus  programme 
2014-2020. 

Mobility and Transport policy  

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Evaluation of Member State Policies to Facilitate Access to Finance for SME and Evaluation of the EU 
Business Angels Markets and Policies 
Proposal COM(2011)834 

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Evaluations  showed  that  EU  funding  contributed  to  progress  made  in  the  modernisation  of 
Europe's  transport  infrastructure  (e.g.  the  implementation  of  the  Priority  Projects,  the 
introduction  of  tools  for  smart  mobility,  like  the  European  Railway  Traffic  Management 
system,  and  the  reduction  in  the  number  of  road  fatalities).7  Evaluations  concluded 
nonetheless  that  further  efforts  are  needed  to  achieve  the  long  term  targets  of  an  efficient 
internal market in transport, measured for instance by prices for citizens and business, and to 
ensure the transition to low-carbon and smart transport, which contribute to the Europe 2020 
Strategy.  The  Commission's  recent  proposals  aiming  at  further  strengthening  the  internal 
market in the railway sector and promoting clean fuel alternatives are steps in that direction. 

Expenditure in the field of Mobility and Transport mainly concerns: further development of 
the  Trans-European  Networks  for  Transport  (TEN-T);  the  Marco  Polo  Programmes  to  ease 
road  freight  congestion  and  pollution  by  switching  to  other  modes  of  transport;  support  for 
research  and  innovation  through  the  Research  Framework  Programmes;  as  well  as  support 
activities  for  European  transport  policy  and  passenger  rights.  In  2012,  the  total  budgets 
amounted  to  EUR  1.07  billion  managed  mainly  through  indirect  centralised  management 
(81%)  by  the  Trans-European  Transport  Network  Executive  Agency  (TEN-T  EA)  and  the 
Executive  Agency  for  Competitiveness  and  Innovation  (EACI).  In  November  2012,  the 
Commission  launched  a  major  call  for  proposals  in  the  transport  infrastructure  programme 
(TEN-T),  totalling  EUR  1.278  billion.  This  call  will  also  support  the  transition  into  the 
upcoming new framework of the TEN-T guidelines and the Connecting Europe Facility in the 
next MFF for 2014 - 20.  

In  2012,  there  was  a  mid-term  evaluation  of  the  TEN-T  Executive  Agency  (TEN-T  EA) 
which  showed  that  the  Agency  has  met  its  targets  and  annual  specific  objectives.  Agency 
management of TEN-T projects was confirmed as the most cost-effective solution. The cost-
benefit  analysis  indicates  the  cost  savings  of  the  Agency  option  estimated  at  a  2012  net 
present value of EUR 8.66 million. The TEN-T EA nevertheless recognises that there are still 
some  areas  for  improvement,  for  example,  in  areas  such  as  traffic-flow  forecasting,  cost-
benefit assessment of transport infrastructure and cost engineering. 

Information Society and Media policy  

The  main  objectives  of  Information  and  Media  Policy  are  set  out  in  the  Digital  Agenda  for 
Europe  (DAE)  one  of  the  EU  2020  flagships  aimed  at  enabling  Europe's  citizens  and 
businesses to get the most out of digital technologies. The Agenda contains 13 specific goals 
which  encapsulate  the  change  to  be  achieved,  such  as:  full  EU  coverage  by  broadband  by 
2013; 50 % of the population having bought something online by 2015; and a reduction of the 
difference between roaming and national tariffs approaching zero by 2015. Progress towards 
these targets is monitored annually through a Digital Agenda Scoreboard 8. 

A review of the Agenda was presented in December 2012. It showed that the Agenda is on 
track to meet most of its targets. The data for 2012 show for instance that the target of 100% 
broadband  coverage  by  2013  had  been  achieved  (while  96%  of  the  EU  population  was 
covered by fixed broadband, the reminder was covered by improvements in satellite) and that 
the  proportion  of  the  population  ordering  goods  or  services  online  had  increased  to  45  %, 
putting it on track to reach the 50% target by 2015. In addition, by the end of 2012, roaming 
tariffs  had  decreased  by  at  least  10%  but  are  still  considered  as  much  higher  than  domestic 

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See the Annual Activity Report for DG MOVE at http://ec.europa.eu/atwork/synthesis/aar/ 
https://ec.europa.eu/digital-agenda/en/scoreboard. 

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tariffs for voice, text-messages and data. However, it also showed a slow pace of growth in 
cross-border e-Commerce , a slow uptake of high-speed broadband and that extra efforts are 
needed  to  minimise  or  eliminate  differences  among  Member  States  in  the  use  of  it.  The 
review  also  led  to  new  digital  priorities  being  formulated  for 2013  -  14,  such  as  to  create  a 
more  stable  broadband  regulatory  environment  and  to  accelerate  cloud  computing  through 
public sector buying power. 

Operational  expenditure  of  EUR  1.6  billion  is  for  research  and  technological  development 
activities under FP7, including the Joint Technology Initiatives (JTIs), the actions under the 
CIP Programme and related activities.  

In  2012,  the  study  on  the  impact  of  the  Sixth  Framework  Programme  (FP6)  measures  on 
Information  Society  Technologies  (IST)  stressed  the  positive  value  of  exploring  new 
scientific/technological areas, the strengthening of research collaboration and the increase in 
staff  capability  and  expertise.  Part  of  the  programme  was  based  on  specific  industrial 
priorities  and  it  was  successful  in  creating  network  structures  around  leading  industrial 
players with the primary aim to efficiently solve specific technological/scientific challenges. 
In  some  areas  (for  example  Components  and  Microsystems)  projects  integrated  the  key 
players  across  different  parts  of  the  value  chain,  leading  to  medium  term  competitive 
advantages and higher and wider impact on innovation.  

Programme activities focused on longer term scientific objectives were found to be successful 
in creating network structures around universities and research centres. This was the case of 
networks  formed  in,  for  example  knowledge  and  interface  technologies  or  Future  and 
Emerging  Technologies.  The  study  also  found  that  FP6-IST  had  positively  affected  a  large 
proportion of the EU R&D workforce on ICT and produced major spill-over benefits that are 
considered to have largely exceeded the direct benefits of projects to Programme participants. 
A high proportion of the knowledge produced in FP6-IST was published in leading scientific 
and technical journals and was presented in high profile conferences and exhibitions. 

The  Interim  Assessment  of  the  Future  Internet  Public-Private  Partnership  (FI-PPP)  in  FP7 
confirmed  the  effectiveness  and  relevance  of  this  instrument  and  recommended  that  the 
governance and industry commitment be further developed. Other evaluation related studies9 
confirmed EU value added in strengthening complementarities among the different actors in 
the value chain of industry sectors, contributing for example to the ability of the components 
industry  to  capture  opportunities  in  higher  parts  of  the  value  chain.  Embedded  systems 
suppliers  should  also  seek  better  to  exploit  the  possibilities  brought  by  the  increasing 
performance and functionalities of components.  

With  regard  to  the  regulatory  framework  for  electronic  communications,  the  Study  on  the 
Evaluation  of  the  Board  of  European  Regulators  for  Electronic  Communications  (BEREC) 
and  the  BEREC  Office,  financed  from  the  EU  budget,  found  the  structure  to  be  relevant, 
efficient and effective. However, the evaluation also suggested improvements in governance 

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Study on the Future impact of Joint Technology Initiatives ARTEMIS and ENIAC (ARTEMIS Industry 
Association  is  the  association  for  Embedded  Systems  actors  in  Europe.  It  represents  the  research 
community including industry, universities and research institutes in the ARTEMIS Joint Undertaking) 
and ENIAC (The ENIAC Joint Undertaking is a public-private partnership focusing on nano-electronics 
that brings together ENIAC Member/Associated States, the European Commission, and AENEAS (an 
association representing European R&D actors in this field) 

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and  accountability  (for  example  concerning  the  scope  and  the  regular  review  of  its  Work 
Programme and reporting on progress made). 

Regarding  the  influence  of  evaluations  on  the  policy-making  process,  assessments  led  to  a 
refocusing on SMEs as innovation drivers in Horizon 2020. The study on the implementation 
of the Digital Agenda helped to shape the DAE review, with data  and inputs from  Member 
States.  The  evaluation  of  the  compatibility  and  workability  of  methodologies  for  measuring 
the  energy  and  carbon  footprint  of  the  ICT  sector  identified  gaps  across  the  main 
methodologies which would need to be addressed to ensure future compatibility. The FI-PPP 
has also served as a main reference point in designing the guidelines for contractual Public-
Private-Partnerships  under  Horizon  2020.  An  example  of  possible  modifications  in  the 
management of programmes was the recommendation to set up a 'one-stop-shop' operational 
unit  for  the  current  ENIAC  and  ARTEMIS  Joint  Undertakings,  a  modification  which  the 
Commission has taken up in its Horizon 2020 proposal.  

Energy policy  

Europe 2020 priorities for the competitiveness, sustainability, and security of energy supply, 
are  supported  by  the  European  Energy  Programme  for  Recovery  (EEPR),  the  Nuclear 
decommissioning  programmes,  the  Intelligent  Energy-Europe  programme,  research  and 
innovation  through  FP7,  Trans-European  Energy  Networks  (TEN-E)  as  well  as  support 
activities for European energy policy and the internal energy market.  

In  2012,  the  budget  for  these  programmes  amounted  to  EUR  607  million  in  commitments, 
with  an  execution  rate  of  99.9%,  managed  mainly  through  direct  centralised  management 
(59%) and indirect centralised management (27%).  

Significant funds were allocated to different projects via the European Energy Programme for 
Recovery (EEPR), with the aim of stimulating investment. The implementation of all 43 gas 
and electricity infrastructure projects with an EU contribution of EUR 2.27 billion continued 
in 2012. A further seven projects were completed by the end of 2012. Five out of six Carbon 
Capture and Storage demonstration projects (CCS) projects are being implemented, with only 
one having been terminated, despite difficulties in access to finance and regulatory problems. 
Out of the entire EUR 565 million EU contribution to nine offshore wind projects, EUR 203 
million had been paid to the beneficiaries by the end of 2012. 

The support for projects promoting renewables and energy efficiency through the Intelligent 
Energy-Europe II (IEE II) Programme also continued. In 2012, the IEE triggered 48,580 tons 
of  oil  equivalent  (toe)  of  renewable  energy  production,  90,350  toe  of  energy  savings  and 
517,000 toe of reductions of greenhouse gas emissions. The programme has to date triggered 
sustainable  energy  investments  of  EUR  1,636  million  with  a  total  IEE  budget  of  EUR  731 
million, thereby confirming a significant multiplier effect. 

The implementation of IEE II is delegated to the Executive Agency for Competitiveness and 
Innovation (EACI). The process for the supervision of EACI was improved in 2012, including 
the monitoring of quarterly performance indicators. Three projects('Concerted Actions') have 
been  financed  by  the  IEE,  making  it  possible  for  the  national  implementing  bodies  in  the 
Member  states  to  meet  regularly  and  share  experience  on  the  transposition  of  the  EU 
directives on the energy performance of buildings, renewable energy and energy services.  

The  TEN-E  work  programme  2012  was  successfully  implemented:  EUR  21  million  of 
commitments  were  made  to  19  electricity  and  gas  projects  during  the  year.  The  ex-post 

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evaluation of five projects funded under the Trans-European Networks-Energy found that the 
projects  were  successful  as  they  increased  energy  capacities  between  regions  in  Europe, 
contributed to the integration of energy markets within the EU and allowed for transportation 
of  energy  from  locations  with  low  cost  production  to  the  locations  of  the  consumers.  Such 
integration  activities  were  recognised  as  generally  contributing  to  the  more  competitive 
wholesale and  retail pricing of energy, which has the potential  of  decreasing  overall energy 
costs.  

The  Commission  has  followed-up  on  these  evaluation  assessments  through  new  Energy 
Infrastructure  legislation,  which  entered  into  force  on  15  May  2013.  The  new  regulation 
revises  the  existing  TEN-E  guidelines,  including  reporting  on  projects.  As  permit  granting 
was generally assessed as one of the major aspects delaying the development of infrastructure 
projects, the new legislation includes provision for accelerated permit-granting procedures. 

In  2012,  a  special  report  published  by  the  European  Court  of  Auditors  on  EU  financial 
assistance  for  the  decommissioning  of  nuclear  plants  in  Bulgaria,  Lithuania  and  Slovakia 
recommended that  a detailed needs  assessment,  an analysis of available resources, expected 
benefits  and  more  meaningful  performance  indicators  be  prepared  before  further  spending. 
These  recommendations  have  been  taken  up  in  the  Commission's  recent  proposal  for  a 
Council regulation on Union support for the nuclear decommissioning assistance programme 
for Bulgaria, Lithuania and Slovakia10. 

Research policy  

The most important funding instrument for the Commission's research and innovation policy 
implementation  of  the  Innovation  Union  flagship  within  the  Europe  2020  Strategy  is  FP7, 
with an EU overall budget of EUR 8.8 billion.  

In 2012, 53 calls for proposals under FP7 were concluded. A total of 17,374 eligible proposals 
were peer-reviewed, of which 3.089 were retained for funding, resulting in a success rate of 
17.78  %  on  a  proposal  basis.  This  is  slightly  below  the  overall  success  rate  of  FP7 
implementation during 2007-2012 (19%). 

A  total  of  70,059  applicants  took  part  in  all  eligible  proposals,  for  a  total  requested  EU 
contribution of EUR 30.78 billion, of which 14,821 applicants were retained for funding for a 
total requested EU contribution of EUR  4.98  billion.  The overall success  rate was just over 
21%  in  terms  of  applicants,  which  is  close  to  the  average  for  FP7  implementation  during 
2007-2012. 

Good  results  have  also  been  obtained  as  regards  the  mandatory  target  that  15%  of  the 
Cooperation Programme budget should go to SMEs, as in 2012 over 16% of this budget went 
to SMEs. 

Up to March 2013, more than 13,000 grant agreements have been signed under FP7.11 Over 
2,800 projects were completed of which 98% achieved their initial objectives. Based on the 
final reports, completed projects each produced an average of 4.5 publications and recorded a 
total of 531 Intellectual property rights. By the end of 2012, 76 European Research Council 

10 
11 

(COM (2011)783). 
For  projects  managed  by  the  Directorate  General  for  Research  and  Innovation  (DG  RTD)  and  the 
Research Executive Agency (REA). 

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(ERC)  grantees  had  won  prestigious  international  prizes  (up  from  36  by  the  end  of  2011), 
including five Nobel Prize winners and three Field Medallists. During the same period, more 
than  7,900  peer-reviewed  journal  articles  acknowledging  ERC  funding  were  identified,  an 
increase from the 3,396 identified by the end of 2011. 

In 2012, DG RTD published its first Annual Report on Programme Evaluation Activities, in 
2011, starting a process of annual reporting alongside its yearly monitoring reports. In 2012, 
19  evaluation  studies  and  reports  were  completed,  covering  primarily  activities  under  the 
Specific Programme Capacities, with the aim to feed into the overall ex-post FP7 evaluation 
due to be completed by 2015.  

Education policy 

In 2012, programmes were implemented on schedule in all participating countries and are on 
their  way  to  achieving  their  objectives.12  In  particular,  the  Lifelong  Learning  Programme 
(LLP)  committed  EUR  1.1  billion  (8%  up  on  2011).  It  was  implemented  as  foreseen, 
including its horizontal strand (for example the Jean Monnet actions), with its focus on intra-
EU learning mobility, be it of pupils (Comenius and Leonardo da Vinci), university students 
(Erasmus), adults (Grundtvig) or educational staff.  

The performance data that became available in 2012 showed progress on all indicators linked 
to Europe 2020 headline targets. The latest known results show a trend moving closer to the 
target  of  40%  higher  education  graduates  (2010:  33.5%;  2011:  34.6%  and  2012:  35.8%). 
Likewise,  the  latest  results  with  regard  to  the  Europe  2020  headline  target  of  reducing  the 
proportion of early school leavers to 10% show a positive trend (2010: 14.1%; 2011: 13.5% 
and  2012:  12.8%).  In  contrast,  in  2012,  as  in  2011,  two  key  dimensions  for  this  policy, 
employability  and  youth  economic  situation  both  registered  a  deterioration,  and  also  2012 
showed  deterioration  as  regards  achievements  in  basic  skills  and  foreign  language 
competences. 

There  was  again  an  overall  upward  trend  in  the  demand  for  mobility  in  2012  for  all  sub-
programmes, as well as for decentralised cooperation. Since the inception of the programme, 
over 2.5 million students have benefited from Erasmus. Surveys indicated that 97% of former 
Erasmus students consider having studied abroad an advantage on the job market. The Marie 
Skłodowska-Curie Actions of the People Programme in FP7 committed EUR 0.9 billion (19% 
up on 2011). Since 2007, it has supported about 44,500 researchers (11,100 in 2012) of 130 
different nationalities working in more than 75 countries. More than 50% of funded research 
projects  directly  address  the  major  societal  challenges  defined  in  the  Europe  2020  Strategy 
(such as climate change). In line with objectives, the comparatively high participation rate of 
women  was  maintained  (36.5%)  and  the  participation  of  private  enterprises  as  host 
organisations  (24%)  exceeded  the  20%  target.  In  2012,  an  estimated  79%  of  individual 
fellows  have  employment  positions  two  years  after  their  fellowships.  Due  to  budget  cuts  in 
the  US  and  Canada  since  2011,  the  EU  bilateral  programmes  with  these  countries  were  no 
longer executed.  

Two  interim  evaluations  became  available  in  2012:  one  on  the  expenditure  programme  on 
international mobility of master level and doctoral students - Erasmus Mundus II (EM II) - for 
the period 2009-11, and the other on the expenditure programme on the international mobility 

12 

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the 

Annual 
See 
http://ec.europa.eu/atwork/synthesis/aar/ 

Activity 

Report 

for 

DG 

Education 

and 

Culture 

at 

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of researchers - COFUND and Individual Fellowship Actions, part of the 'People Programme' 
within FP7. 

The  evaluation  of  EM  II  found  that  the  programme  provides  strong  support  and  makes  an 
important  contribution  to  the  internationalisation  process  of  the  European  higher  education 
area.  EM  II  promotes  the  development  of  skills  relevant  in  the  labour  market.  However,  in 
terms of employability, the evaluation found that the present focus of EM II on academia and 
higher education does not fully serve the needs of the EU. Activities could be more open to 
international mobility and cooperation in the field of vocational education and training. The 
evaluation  also  suggested  strengthening  links  with  related  programmes  in  order  to  increase 
synergies  and  avoid  the  identified  overlaps.  The  evaluation  found  that  the  programme  was 
being implemented efficiently as most of the planned outputs were likely to be achieved with 
lower  costs  than  anticipated  and  the  outputs  of  the  programme  were  being  produced  with 
analogous  or  lower  costs  than  those  of  comparable  scholarship  schemes.  With  regard  to 
management  aspects,  the  findings  revealed  that  coordination  of  EM  II  at  strategic  level 
remained problematic due to the division of responsibilities between within the Commission. 
Other suggestions have been made, such as in the area of monitoring. The results have been 
used to inform the design of the 2014–20 'Erasmus for All' Programme. 

The  evaluation  of  COFUND  and  Individual  Fellowship  Actions  likewise  found  that  these 
actions  are  achieving  their  objectives  and  are  strengthening  the  research  capacity  of  the  EU 
through  an  increase  in  the  quality  and  quantity  of  researchers.  COFUND  Fellowships  are 
contributing both quantitatively and qualitatively to the reinforcement of the human resources 
potential of the European Research Area by strengthening research capacities, capabilities and 
networks.  The  COFUND  programme  has  improved  the  administrative  and  operational 
procedures of around a third of the host organisations, in particular in terms of increasing the 
openness of recruitment to trans-national mobility and the use of independent/peer review in 
selection processes.  

Improvements have also taken place in the transparency of procedures. The main impact on 
host organisations is to expand research capacity and give institutions access to high-quality 
researchers they might not otherwise have attracted. This in turn leads to stronger institutional 
research  outputs  and  the  capacity  to  tap  into  wider  international  knowledge  networks.  The 
interim  evaluation  also  identified  areas  for  improvement.  As  a  result  the  Commission  will 
strengthen  the  quality  standards  of  Individual  Fellowships  through  streamlined  design  and 
raising their visibility outside Europe via international events, conferences and dissemination 
activities.  Procedures  regarding  information  requirements  and  budget  negotiations  will  be 
simplified and COFUND is proposed to be opened to commercial bodies under Horizon 2020 
in the next MFF. 

Taxation and customs policy 

The EU's taxation and customs policy is supported by two expenditure programmes 'Fiscalis 
2013' and 'Customs 2013' aiming to improve cooperation between Member States and support 
the exchange of information. The two expenditure programmes represented EUR 82.3 million 
in commitments in 2012. As regards Fiscalis 2013, approximately 3,600 officials participated 
in around 300 programme activities (workshops, project groups and Multilateral Controls). As 
regards  Customs  2013,  approximately  5,400  officials  participated  in  about  370  programme 
activities (workshops and project groups). Both programmes also supported the development 

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of e-learning modules. The feedback from participants in programme activities confirms that 
these activities systematically attain their objectives13. 

The programmes contribute to the improved functioning of the European Information Systems 
(EIS)  for  taxation  and  customs.  The  EIS  for  taxation  handles  the  exchange  of  850  million 
messages which are key in the fight against tax fraud. The EIS for customs handles the trans-
European  part  of  245  million  customs  declarations  each  year,  controlling  the  clearance  of 
goods in 9 million trucks moving across the EU, each using the transit regime and controlling 
the release of 12 million exports from the EU14 . The Common Communication Network for 
the  EIS,  which  is  the  backbone  for  the  operation  of  European  IT  systems  for  customs  and 
taxation, was operational 99.73% of the time, which exceeds the target of 97%15. This means 
that business-critical systems (VIES, NCTS and TARIC16) are available to users 24 hours a 
day, 365 days a year.  

HEADING 1B - COHESION FOR GROWTH AND EMPLOYMENT 

Employment and Social Affairs policy  

In  2012,  in  the  context  of  recession  and  economic  crisis  neither  the  employment  nor  the 
poverty targets set out under the EU 2020 strategy have been met. Nevertheless, a wide range 
of policy actions in the field of employment and social affairs have achieved positive results 
and  contributed  to  addressing  the  crisis-related  challenges.  The  European  Social  Fund,  the 
European Globalisation Adjustment Fund (EGF), the Instrument for Pre-Accession Assistance 
(IPA), the EU Programme for Employment and Social Solidarity (PROGRESS), the European 
Progress Micro-finance Facility for Employment and Social Inclusion (Microcredit Facility), 
and  funds  allocated  for  working  in  Europe,  social  dialogue  and  mobility,  all  contributed  to 
support the results obtained.  

Over  EUR  11  billion  was  committed  to  the  major  spending  areas  (ESF  and  EGF).  94%  of 
funds were allocated to the Integrated Guidelines for Growth and Jobs which is well in excess 
of the target set in the General Regulation17. The Funds reached 49.5 million citizens over the 
2007  -  11  period  and  met  its  objectives  in  terms  of  specific  target  groups  (women,  people 
belonging to vulnerable groups). By the end of 2012, 88% of the overall 2007 - 13 allocation 
for ESF and EGF had been already committed and 53.5% paid. The EGF, which also plays an 
important role in the EU cohesion, helped over 10,000 workers to get back into employment 
in 2012.  

Evaluation  information  provided  further  evidence  of  the  financial  instruments'  performance 
covering  implementation  and  programme  effects.  The  evaluation  of  ESF  support  for  Life 
Long Learning (LLL) assessed the programming period 2000-06 and the first four years of the 
period 2007-13. An estimated 25 million young people, 18 million individuals with low skills 
and  1.9  million  older  people,  benefitted  from  ESF  supported  LLL  activity  across  the  EU 
between 2000 and 2010. It was concluded that, without the ESF, many of these interventions 
would  not  have  taken  place.  The  ESF  has  ensured  that  groups  which  otherwise  would  not 

13 
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16 

17 

Evaluation forms completed by participants in the programme activities 
Source: Measurement of Results - annual report 2011 
Source: CCN/CSI Project Monthly Report  
VAT  Information  Exchange  System  (VIES);  New  Computerised  Transit  System  (NCTS);  Online 
customs tariff database (TARIC) 
Regulation 1083/2006: General regulation for the Structural Funds and the Cohesion Fund 

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have been reached, in particular subgroups among the low skilled and the young, benefit from 
targeted interventions. The report identified activities which were more successful in reaching 
these target groups and other factors of success. The evidence collected in the course of the 
evaluation was used to improve the content and expected delivery of the ESF-supported LLL 
activities aimed at the three target groups in the 2014 - 20 programming period.  

The evaluation of the reaction of the ESF to the economic and financial crisis demonstrated its 
flexibility as an instrument capable of responding quickly to the crisis. By the end of 2010, 84 
out  of  117  Operational  Programmes  had  been  adapted.  Most  of  the  changes  concerned 
broadening of scope, launching specific calls and including further target groups, depending 
on the concrete situation and the particular local governance system. The ESF improved the 
consistency  of  the  anti-crisis  measures  within  the  long-term  perspective  of  structural 
adaptation,  as  ESF  was  broadly  used  to  finance  training  schemes  offering  short-time  work, 
adding an active component to existing, more permanent, measures.  

Two  reports  from  the  ESF  Expert  Evaluation  Network  covered  the  performance  of  ESF  on 
'Access  to  Employment'  and  'Social  Inclusion'.  Regarding  access  to  employment,  over  12.5 
million  final  recipients  were  supported  with  over  2.4  million  obtaining  employment. 
However, little evidence was found on the sustainability of created employment. Concerning 
social  inclusion,  over  14.5  million  final  recipients  participated,  covering  a  broad  range  of 
target  groups  of  the  unemployed,  migrants,  and  young  people.  The  most  effective 
interventions proved to be working in schools with young people at risk of early leaving or at 
the  point  of  transition  from  school  to  work,  in  interventions  with  families  from  Roma 
communities and in activities to bring adults back into the education system. 

The  evaluative  study  measuring  the  impact  of  changing  regulatory  requirements  on 
administrative  cost  and  burden  provided  suggestions  for  the  future  2014  -  20  ESF.  The 
analysis showed that the overall administration costs were reasonable, amounting to 4.8% of 
the  total  ESF  2007  -  13  budgets,  when  compared  to  similar  programmes  run  by  the  World 
Bank, IMF or United Nations. Nevertheless, further efforts to reduce administrative costs and 
burdens were identified to be targeted on those tasks which account for the largest proportion 
of administrative costs and workload, such as information and publicity requirements, which 
represent 18.5% of administrative costs. However, it was also signalled that further reductions 
in  administrative  costs  and  burdens  should  not  be  at  the  expense  of  positive  aspects  of 
programme administration, such as the capacity built up for the selection of operations, as this 
would reduce the cost-effectiveness of the programmes. 

The  mid-term  evaluation  of  the  European  Globalisation  Fund  (EGF)  showed  that  stronger-
performing cases tended to be associated with the provision of individual support for workers 
and  those  also  benefiting  from  strong  national  support  measures.  Apart  from  direct  re-
employment, EGF assistance also generated other positive effects for individuals in terms of 
increased confidence and improved job searching. The evaluation found that, in cases where 
EGF  support  arrived  a  significant  time  after  the  job-losses,  many  redundant  workers  had 
already re-entered the labour market, while those remaining tended to have a 'harder-to-help' 
profile.  Suggestions  were  made  for  improvement  of  the  EGF  architecture  to:  increase 
flexibility  of  implementation,  speed-up  the  application  process,  strengthen  the  capacity  for 
submitting applications at national and regional/local level and provide further opportunities 
for sharing lessons and good practices, as well as strengthening monitoring and reporting. 

Finally,  the  mid-term  evaluation  of  PROGRESS  showed  that  the  programme  has  delivered 
positive results, improving at various levels the quality of debate, processes, cooperation and 

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sharing  of  best  practices,  as  well  as  producing  statistical  tools  and  indicators  to  reinforce 
evidence-based policy making. Moreover, PROGRESS-funded activities have influenced EU 
policies and legislation (e.g. Europe 2020 anti-poverty targets, reform of pension systems the 
implementation of law on health and safety at work and broader labour law). 

Regional Policy 

Regional  policy  is  delivered  through  shared  management  and  funded  by  the  European 
Regional  Development  Funds  (ERDF)  and  the  Cohesion  Fund  (CF),  which  represent  more 
than 28% of the total 2012 EU budget in terms of commitments.  

In 2012, EUR 38.2 billion was paid out, mainly through reimbursements to the Member States 
from  the  ERDF  and  CF  for  the  2000  -  06  and  2007  -  13  programming  periods.  The 
expenditure  declared  by  Member  States  to  the  Commission  for  ERDF  and  CF  2007  -  13 
reached  an  average  of  41.2%  at  the  end  of  2012.  However,  in  some  Member  States 
expenditure  rates  are  significantly  below  average  (in  particular  in  Romania  and  Bulgaria), 
which  is  of  concern  and  has  given  rise  to  calls  to  Member  States  to  accelerate  mobilising 
available EU Funds and focus on targeting spending to maximise the impact on growth and 
jobs. 

In responding to the crisis, more than EUR 30 billion from the ERDF and Cohesion Fund has 
been  re-programmed  by  making  use  of  the  flexibility  allowed  under  the  legal  framework  to 
support  the  most  urgent  needs  and  to  reinforce  certain  investment  areas.  The  main  trends 
show  a  shift  towards  R&D,  business  support,  sustainable  energy,  cultural  and  social 
infrastructure,  roads  and  labour  market  across  the  EU-27.  In  order  to  safeguard  growth  and 
jobs investment strategies and to reduce pressure on national budgets, EU co-financing rates 
have  been  increased  in  nine  Member  States  and  further  'top-up'  payments  (increasing  co-
financing rates up to 95%) were made to programmes for Greece, Ireland, Latvia, Portugal, 
Romania and Hungary.  

The evidence18 shows that outputs and results of the policy on the ground began to accelerate 
in 2011 after a slow start in the early years of the period, also demonstrating the essential role 
of  Cohesion  Policy  in  maintaining  public  investment  in  a  number  of  Member  States. 
Aggregate data for the common indicators used showed the achievements over the first five 
years of the current programming period. Highlights of achievements which contribute to the 
European  2020  flagship  initiatives  of  Smart,  Sustainable  and  Inclusive  Growth  are  that: 
almost 400,000 jobs have been created (of which 190,000 since 2010), including more than 
15,600  research  jobs  and  nearly  170,000  jobs  in  SMEs.  Over  142,000  SMEs  have  been 
supported;  over  53,000  start-ups  have  been  supported  (of  which  28,000  since  2010);  nearly 
1.9  million  additional  people  have  broadband  access;  over  5,000  transport  projects  having 
been launched; and over 19,000 educational infrastructure projects have been supported. 

18 

Stemming  from  COM(2013)210  final  Cohesion  Policy:  Strategic  report  2013  on  programme 
implementation 2007-2013 which analyses 27 national strategic reports presented by the Member States 
in  2012  summarising  how  their  programmes  were  contributing  to  the  objectives  of  cohesion  policy; 
Member  States'  latest  annual  implementation  reports  concerning  2011;  country  reports  of  an  expert 
evaluation network; and evaluations undertaken for DG REGIO. 

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Several  evaluations  were  completed  in  2012.  In  addition  to  evaluations  carried  out  by 
individual  Member  States19,  and  country  reports  through  an  expert  evaluation  network,  the 
Commission itself also completed evaluations on different aspects of cohesion policy20. Two 
ex-post evaluations on ten major projects co-financed by ERDF and Cohesion Funds in 1994 - 
99  and  financed  by  the  Cohesion  Fund  in  2000  -  06  provided  evidence  on  the  impact  and 
added value of the Funds' infrastructure investment in transport and environment (see below). 
The findings of the evaluations are being translated into programme guidance for the period 
2014 - 20. 

The ex-post evaluation on the Cohesion Fund 2000 - 06 confirmed that co-financed projects 
had  a  marked  effect  in  extending  and  improving  the  transport  network  in  the  countries 
receiving support. For example, major improvements were made in many of the transit routes 
crossing  the  countries  concerned  and  in  the  transport  links  with  neighbouring  countries. 
Although  there  is  uncertainty  about  the  extent  to  which  environmental  projects  generated 
benefits which exceeded the costs of undertaking them, these projects have a significant effect 
in  the  protection  of  the  environment  and  reducing  pollution,  so  improving  both  the 
sustainability  of  economic  development  and  the  quality  of  life  across  many  parts  of  the 
countries receiving support. An important finding was the longer term impact of investments 
in infrastructure projects, which can typically only be assessed after some years of operation, 
often  long  after  the  funding  period  is  closed.  The  evaluation  also  reported  on  significant 
delays  in  the  implementation  of  projects.  This  is  particularly  the  case  in  respect  of 
environmental projects, and for large projects generally in EU-12 countries.  

The ex-post evaluation for the period 1994 - 99 added further evidence on the length of time 
before impacts can be identified, demonstrating that it is only after around five years of the 
operation of major infrastructure projects that medium-term effects can be soundly evaluated. 
The  evaluation  identified  a  "list  of  ingredients"  that  can  ensure  maximum  impact  of  public 
investment projects. For example, successful investments are more likely to materialise when 
there  is  the  right  mix  of  entrepreneurialism,  professionalism,  managerial  discretion  and 
accountability to government. 

In  2012,  the  Court  of  Auditors  also  completed  performance  audits  on  some  financial 
instruments. The recommendations of the Court focused on issues such as the need for regular 
monitoring,  the  use  of  comparable  performance  indicators  and  improvements  in  selection 
criteria. The recommendations have been taken into account by the Commission in the design 
of the future policy, for example through ex-ante conditionalities and the design of common 
indicators  with  definitions  developed  in  co-operation  with  the  Member  States.  Most 
importantly, the emphasis of the Commission proposals for the future instruments on far more 
explicit specific objectives and priorities aims to address the performance issues raised by the 
Court. 

Overall,  Member  State  reports,  evaluations  and  the  Commission's  own  analysis  confirm  the 
appropriateness of the Commission proposals for the next programming period, particularly as 

19

http://ec.europa.eu/regional_policy/sources/docgener/evaluation/pdf/eval2007/expert_innovati

on/2011_s 
ynthesis_national_reports.pdf 
20 

Ex-post evaluation of projects co-financed by ERDF and Cohesion Fund in the period 1994-1999; ex 
post 

evaluation of the Cohesion Fund 2000-06; Jaspers evaluation. 

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regards concentration, better programming and monitoring, common indicators for the future 
and a performance framework with milestones and targets, evaluation and accountability for 
results  achieved  as  well  as  resources  spent.  Furthermore,  the  regular  political  discussion  on 
the performance of the policy which is proposed for the future is confirmed as necessary.  

HEADING 2 - PRESERVATION AND MANAGEMENT OF NATURAL RESOURCES 

Environmental policy  

LIFE+ supports environmental and nature conservation projects throughout the EU, as well as 
in  some  candidate,  acceding  and  neighbouring  countries.  It  is  implemented  through  direct 
centralised management. In 2012, commitments amounting to EUR 332.9 million were made 
(0.2%  of  2012  EU  budget).  By  the  end  of  2012  a  final  evaluation  of  LIFE+  (2007  -  13) 
became  available,  just  over  two  years  after  the  mid-term  evaluation  and  one  year  after  the 
proposal  for  a  new  LIFE  programme.  Given  the  timing  of  the  evaluation,  only  very  few 
projects funded under LIFE+ had been finalised (40 projects out of 1300 - 1400 foreseen) and 
consequently  the  evaluation  focussed  on  programme  processes  rather  than  assessment  of 
project performance.  

The  evaluation  confirmed  added  EU  value,  which  derives  from  LIFE’s  ability  to  act  as  a 
platform  for  exchange  of  practice  and  knowledge-sharing,  recommending  that  the  weight 
given  to  EU  added  value  should  be  retained  and  strengthened.  The  evaluation  found 
improvements in some areas of programme implementation compared to earlier evaluations. 
For  example,  more  weight  has  been  given  to  EU  added  value  in  project  selection,  although 
beneficiaries remain largely focussed on their individual projects and the profiles. Whilst the 
electronic  application  process  has  reduced  the  administrative  burden  for  applications,  this 
burden is slightly higher than for other EU programmes. There is potential to expand the use 
of  electronic  reporting  in  project  monitoring  to  further  reduce  the  burden.  Evidence  from 
evaluations  and  consultations  has  contributed  to  the  design  of  the  new  Programme.  The 
proposal for the new Programme for the next MFF includes the objectives of: establishing a 
better link with EU policy priorities, including climate action; promoting the use of integrated 
projects;  developing  synergies  and  complementarily  with  other  EU  Funds;  promoting  EU 
added value and solidarity/effort-sharing; and simplifying the programme. 

Agriculture and Rural Development policies  

The  2012  budget  for  Common  Agricultural  Policy  (CAP)  represents  around  EUR  58.59 
billion in terms of commitments.  

With regard to the first pillar of the CAP comprising direct income support, data on direct aids 
shows  that  decoupled  payments  stabilise  farm  incomes  and  thus  contribute  to  the  economic 
viability  of  farms.  Direct  payments  continue  to  contribute  significantly  to  agricultural 
entrepreneurial  income  (family  farm  income).  Direct  payments  on  average  accounted  for 
almost  half  of  the  family  farm  income  in  2012.  Under  the  direct  aid  schemes,  support  is 
granted to more than 7 million farmers. The data on market measures shows that CAP reforms 
have enhanced the market orientation of EU agriculture and reduced the public intervention 
and  private  storage  aid  –  these  mechanisms,  which  were  the  traditional  tools  of  the  CAP, 
having now become safety net measures to the extent that public stocks have virtually been 
eliminated.  

With  regard  to  the  second  pillar  comprising  rural  development  policy,  further  progress  has 
been  made  in  2012  in  closing  the  programmes  covering  the  2000  -  06  period  and  in  the 

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implementation of the rural development programmes 2007 - 13. While there is still room for 
progress on the quality of data delivered by the Member States, significant achievements can 
be reported on the basis of available figures. For example, the value of agricultural production 
under  recognized  quality  label/standards  supported  by  the  Agricultural  Funds  for  Rural 
development (EAFRD) has currently reached EUR 13.2 billion which represents 80 % of the 
final  programme  target  set  for  2013  and  62  million  citizens  in  rural  areas  benefited  from 
improved services supported by EAFRD, representing 87% of the final programme target set 
for 2013. In financial terms, by the end of 2012, EUR 58.9 billion of the total budget of EUR 
96.2  billion  for the  2007 -  13 period has been executed. Axis 1, 3 and 4 have  now  reached 
43.8  %  of  the  allocated  budget.  However,  there  are  significant  uncertainties  over  the 
continuation of this positive trend as the economic crisis reduces the possibilities for Member 
States to provide the necessary matching funds and the administrative capacity to implement 
the programmes.  

In  2012  six  evaluations  on  different  elements  of  the  CAP  were  conducted  examining  in 
particular  the  impacts  of  CAP  measures  on  markets,  farm  income,  production  structures, 
competitiveness,  the  environment  and  rural  development.  Also  eight  special  reports  by  the 
Court of Auditors provided performance-related feedback on targeted measures21 . The results 
of  these  evaluations  and  special  reports  point  to  need  for  better  targeting  of  measures, 
simplification, and improved monitoring of the achievements of results and objectives.  

For  rural  development  policy,  the  ex-post  evaluation  of  the  rural  development  programmes 
(RDP)  2000  -  06,  with  a  total  budget  of  EUR  59.2  billion  and  the  synthesis  of  mid-term 
evaluations of RDP 2007 - 13, with a total budget of EUR 96.2 billion, were both completed 
in 2012. The results indicate that RDP demonstrate a capacity to generate positive economic 
and  environmental  impacts,  although  most  measures  have  more  impact  at  the  individual 
beneficiary level than at the level of the whole rural economy and population. Income effects 
seem to be highly correlated with the efficient targeting of measure-specific support and the 
combined application of measures.  

In addition, rural development measures maintained or generated employment in rural areas. 
Net  employment  effects  of  RDP  measures  seem  to  be  generally  lower  than  net  income 
impacts, although it is difficult to isolate the impact of RDP interventions from that of other 
factors. The conclusions and recommendations of these evaluations fed into the design of the 
rural development policy for the period 2014 - 20, including the need for better targeting of 
measures,  improving  rural  development  strategies  and  strategy  making,  complementarities 
between  measures,  and  strengthening  complementarities  between  rural  development 
programmes and other programmes and funds.  

Experience gained with the 2008 wine reform enabled the Commission to conclude that the 
reform has been implemented successfully and that there is no longer structural surplus in the 
wine sector22. These conclusions were supported by the evaluation of the wine sector covering 
the period 2001 - 11, focussing on the effects of the 2008 reform. The evaluation included a 
further analysis of the Court of Auditors' special report23 which pointed to the absence of key 

21 
22 
23 

Special Reports No 14/2011; 1/2012; 7/2012; 8/2012; 9/2012; 11/2012; 14/2011; 16/2012. 
COM (2012)737 
The  special  report  focused  on  the  "grubbing-up"  and  "restructuring  and  conversion  of  vineyards" 
measures; the 
two largest areas of spending. 

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performance  indicators,  the  overly  wide  discretion  of  Member  States  in  implementing  the 
restructuring and conversion measures and the too high level of aid rates.  

The  evaluation  found  that  the  implementation  of  measures  through  national  support 
programmes,  allowing  the  flexibility  and  adaptability  of  support  measures  to  local  needs  of 
wine  sectors,  has  been  effective.  However,  some  problems  in  policy  management  limiting 
effectiveness  have  appeared,  for  example,  by  the  application  of  too  rigid  procedures.  The 
evaluation of the measures strengthening the competitiveness of EU wine-producers and the 
market considered that the measures are more efficient, but implementation by some Member 
States/regions (insufficient targeting of beneficiaries) reduced efficiency. Simplification does 
not seem to have been achieved with the current approach and there is inconsistency between 
the  measure  for  promotion  of  private  brands  on  third  country  markets  and  those  allowing 
generic promotion on the EU-market. 

The evaluation of the cereals sector confirmed that, while aid is needed to support producers' 
income,  the  switch  to  decoupling  limits  distorting  effects  and  ensures  coherence  with  the 
overall CAP objectives. Production decisions of farmers and processors are more determined 
by market signals, contributing to enhancing competitiveness and the smooth functioning of 
the internal market. The measures have promoted the development of cereal crops and end-
uses in which the EU has a comparative advantage. The reform has been relatively efficient, 
as  the  cost  of  cereal-specific  measures  has  declined,  while  Member  States'  paying  agencies 
and, to a lesser extent, producers see administrative burden as manageable.  

The evaluation of the School Fruit Scheme examined the effects of this initiative launched in 
2008.  It  found  that  the  scheme  was  effective  in  increasing  children's  fruit  and  vegetable 
consumption  in  the  short  term,  whilst  the  brief  implementation  period  would  not  yet  allow 
evaluation  of  the  impact  on  improved  eating  habits  in  the  longer  term.  Regarding  the 
influence  of  EU  funding  on  the  scheme's  effectiveness,  the  evaluation  suggests  that  the  EU 
aid  has  a  positive  or  even  essential  impact.  The  scheme  is  found  to  be  pivotal  for  the 
implementation  of  national  or  regional  School  Fruit  Schemes  in  nearly  all  participating 
Member States. The specific recommendations to increase the level of EU co-funding and to 
broaden  the  scope  of  measures  eligible  for  EU  aid  have  been  included  in  the  changes 
proposed to the scheme in the context of the CAP 2020 reform proposals. 

Finally, the ex-post evaluation of the EU Forest Action Plan examined the implementation of 
the  18  specific  actions  of  the  plan  during  the  period  2007  -  11.  The  results  and 
recommendations  of  this  evaluation  provide  a  main  input  in  the  review  of  any  future  EU 
Forest Strategy. 

Maritime Affairs and fisheries policies  

The EU's maritime and fisheries policies are supported by expenditure programmes linked to 
the  implementation  of  the  Common  Fisheries  Policy  in  the  area  of  the  Law  of  the  Sea,  the 
European Fisheries Fund (EFF) and the EAGF (European Agricultural Guarantee Fund). By 
July  2012,  the  Member  States  reported  that  commitments  under  the  EFF  reached  a  total  of 
nearly  EUR  2.423  billion,  representing  56.3%  of  the  amount  programmed  for  the  entire 
period.  

In 2012, six evaluations became available, including main spending areas: ex-post evaluations 
of  Fisheries  Partnership  Agreements  (supported  by  funds  of  the  implementation  of  the 
Common Fisheries Policy and in the area of the Law of the Sea) and an interim evaluation of 

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the  EFF  covering  2007  -  2010.  In  addition  to  these  evaluations,  special  reports  of  the 
European  Court  of  Auditors,  internal  audits,  and  data  from  the  EU  fleet  register  provide 
further input on performance. 

The  EFF  synthesis  report  mostly  focused  on  programme  implementation,  due  to  its  limited 
time  coverage  and  a  corresponding  lack  of  performance-related  data.  Notably,  data  from 
national reports were very  heterogeneous,  making it impossible to draw comparisons across 
Member  States,  an  aspect  which  will  need  to  be  corrected  for  the  next  MFF.  The  report 
showed  that,  whereas  progress  on  most  priority  areas  ('Axes')  was  satisfactory,  the 
achievement rate on Axis 4 concerning sustainable development of fisheries was the lowest, 
given  that  the  actions  were  generally  still  in  the  very  early  stages  of  implementation.  The 
main  explanations  for  delays  in  implementation  concerned  limited  co-financing  due  the 
unfavourable economic environment, limited access to debt financing and the late launch of 
programmes.  Conversely,  some  success  factors  were  mentioned,  including  efficient 
administration and increased sector interest.  

The synthesis report indicated that the monitoring systems as a whole worked well, but that 
the quality and definition of indicators needed further improvement. This has been taken into 
account  in  the  preparation  of  the  evaluation  and  monitoring  system  of  the  new  EMFF 
(European Maritime and Fisheries Fund) which reflects the stronger result-orientation given 
to the policy. This is achieved through the introduction of a clearer intervention logic in the 
Operational  Programmes,  using  common  output  and  result  indicators  for  monitoring  and  by 
including a performance framework and reserve in the programmes. In addition, updated 2012 
data showed that by the end of 2012 delays on Axis 4 has been overcome and good results are 
being delivered. 

As complementary information to the EFF synthesis report, the data in the EU fleet register 
show that support for decommissioning fishing vessels has almost reached the targets set in 
the Member States' operational programmes. 603 vessels were decommissioned in 2012 with 
EFF support. However, the European Court of Auditors pointed out that the EFF support for 
decommissioning fishing vessels did not have sufficient impact on fishing capacity or effort, 
nor did it succeed in redressing the balance between fleet capacity and fishing opportunities in 
a lasting way. The Commission took these findings into account in designing the new EMFF 
for the period 2014 - 2020 by proposing to put an end to those fleet measures that had failed 
to reduce the over-capacity of the European fishing fleet.  

The ex-post evaluations of several Fisheries Partnership Agreements (FPAs) indicate that the 
FPAs contribute to the creation of economic wealth and employment, both for the EU and the 
Partner country. With respect to efficiency, the FPAs have guaranteed access for EU vessels 
owners  to  a  number  of  third  country  Exclusive  Economic  Zone  (EEZs)  within  a  regulated 
framework, while providing funds to improve local fishery governance. They can therefore be 
considered  beneficial  to  both  the  EU  and  the  beneficiary  Partner  countries.  However,  an 
internal audit by the Commission considered that there were some weaknesses to address in 
the  current  process  of  evaluating  individual  agreements,  and  recommended  developing  and 
implementing  a  standard  methodology  with  a  coherent  and  systematic  approach  to  conduct 
both  the  ex-post  and  ex-ante  evaluations.  These  recommendations  are  currently  being 
implemented 
internal  guidelines  on  FPA  evaluations  covering  both 
methodological  issues  and  practical  information  on  procedures  and  requirements.  On  that 
basis,  new  terms  of  reference  have  been  developed  to  be  used  for  on-going  and  future 
evaluations.  

through  new 

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The ex-post evaluation of the implementation of the compensation regime for the additional 
costs  incurred  in  the  marketing  of  certain  fishery  products  from  the  outermost  regions 
indicates that it is effective in fulfilling its objective of contributing to the development and 
competitiveness of the concerned fishing industry . . Therefore, for the next financial period , 
the Commission has proposed a compensation scheme similar to the one currently in force in 
the proposal for a Regulation of the European Parliament and of the Council on the European 
Maritime and Fisheries Fund (EMFF). 

HEADING 3A – FREEDOM, SECURITY AND JUSTICE 

In 2012, policies in the field of home affairs were supported by a budget of EUR 1.37 billion 
in commitments. Support is organised through two programmes: "Solidarity and Management 
of  Migration  Flows  (SOLID)"  and  "Security  and  Safeguarding  Liberties".  Financial 
performance  results  have  remained  satisfactory  with  implementation  rates  of  100%  on 
commitments and 99% on payment in 2012.  

The 2012 evaluation of the EU Crime Prevention Network (EUR 845,000 support under the 
'Fund on the Prevention of and Fight against Crime') showed the added value of the network. 
On  the  basis  of  this  evaluation,  and  responding  to  the  request  of  the  European  Council  to 
study  the  possibility  for  establishing  a  Crime  Prevention  Observatory,  the  Commission 
recommended  consolidating  progress  made  and  improving  the  functioning  of  the  Network 
rather  than  establishing  an  Observatory.  The  evaluation  also  indicated  that  a  number  of 
weaknesses, including on organisation and governance, would need to be corrected through a 
more  systematic  alignment  of  the  Network  with  agreed  EU  priorities,  a  stronger  role  in 
making  inputs  to  EU  and  Member  State  policymaking  and  a  more  strategic  approach  to 
determining  activities.  The  Commission  is  currently  following  up  on  the  recommendations 
and weaknesses identified. 

The  European  Court  of  Auditors  also  carried  out  a  performance  audit  in  2012  on  the 
contribution  of  the  European  Integration  Fund  and  the  European  Refugee  Fund  to  the 
integration  of  third-country  nationals.  Overall,  the  Court  highlighted  actions  and  projects 
showing positive results but was critical on the general effectiveness of the Funds and made a 
number  of  recommendations  including  the  need  for  simplification  of  the  programming 
arrangements  and  to  have  management  and  control  systems,  and  a  system  of  common 
indicators, in place to measure outputs and the outcome of the programme. The Commission 
proposals for the programmes in the next Multiannual Financial Framework 2014 - 20 on the 
Asylum  and  Migration  Fund  and  Internal  Security  Fund  took  the  Court's  recommendations 
on-board. However, the Commission did not agree with the conclusion of the Court regarding 
the effectiveness of the Funds and potential overlaps or lack of complementarity between the 
EIF  and  other  EU  funds.  The  Commission  ensures  the  necessary  follow-up  with  Member 
States so that adequate arrangements are in place at national level.  

In  the  area  of  Justice,  the  relevant  programmes  (Civil  Justice  Programme,  Criminal  Justice 
Programme, Daphne III Programme, Fundamental Rights and Citizenship Programme, Drugs 
Prevention  and  Information  Programme  and  Progress-Equality  and  Anti-discrimination 
strands)  were  implemented  as  foreseen,  with  a  total  budget  of  EUR  119  million.  No  new 
evaluation results became available for these programmes in 2012. 

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HEADING 3B – CITIZENSHIP 

Communication policy 

In 2012, performance-related information showed progress in the implementation of the three 
specific  objectives  of  the  "Europe  for  Citizens"  programme  (2012:  EUR  28.4  million 
committed).24 The programme reached its objectives, both in terms of financial performance 
and  actions  delivered.  On  the  first  objective  to  develop  citizens'  sense  of  ownership  of 
European  integration,  77.5%  of  the  programme  participants  in  451  contracted  projects  feel 
more European, thereby exceeding the target of 75%. The programme themes in 2012 most 
often  taken  into  consideration  by  eligible  projects  were  'Empowering  citizens  to  play  a  full 
part in the democratic life of the EU' (61%) and 'giving citizens the opportunity to interact and 
participate in constructing a more integrated Europe' (58%). An impact study of the 'Europe 
for Citizens' programme is foreseen in 2013.  

Furthermore,  twelve  evaluations  became  available  in  2012.  These  concerned:  the  European 
Year  of  Volunteering  (EYV)  2011,  'Communication  and  the  media'  actions  (Interim 
evaluation  of  PressEurop)  and  different  aspects  of  the  'Going  local'  Communication  (10 
evaluations). In particular, evidence on the EYV 2011 (budget EUR 7.7 million committed in 
2011)  showed  that  the  programme  has  had  a  positive  impact  on  volunteering,  both  at 
European and at national level.  

The  evaluation  concluded  that  the  objectives  and  activities  of  the  Year  were  relevant  and 
targeted, and that the results-oriented approach was successful in reaching the objectives in all 
Member States, even though the impact varied according to specific national situations. The 
experience of EYV 2011 is that the national programmes and the cooperation with National 
Coordinating Bodies in the Member States and major European stakeholders constitute good 
practice  models  that  ensure  that  the  messages  of  the  European  Year  are  spread  widely  and 
achieve  sustainable  impact  at  national  level  and  at  the  level  of  civil  society.  For  future 
European Years, better synergies with existing programmes and other European Years could 
be developed.  

Cultural policy 

Evidence  of  progress  was  reported  in  2012  in  the  implementation  of  the  Youth  in  Action 
programme (YiA), MEDIA 2007 - 13 and MEDIA Mundus, and the Culture Programme.25 In 
2012, programmes were implemented as foreseen, on schedule, even earlier than in previous 
years, and in all participating countries. YiA committed EUR 140.4 million (up 8% on 2011). 
In  2012,  YiA  supported  an  ever  greater  number  of  young  people  and  youth  workers;  with 
200,000  participants,  the  programme  has  proven  to  be  increasingly  attractive  (more  than 
920,000 since 2007) and contributes to the recognition of non-formal learning.  

According to the latest available monitoring survey, 67% of participants believe that their job 
chances  have  increased  thanks  to  their  YiA  experience  (61%  in  previous  survey).  In  2012, 
MEDIA  2007-2013  and  MEDIA  Mundus  committed  EUR  112.5  million.  The  Culture 
programme  in  2012  committed  EUR  59.2  million  (up  3%  on  2011).  As  a  result  of  these 
programmes,  it  was  estimated  that  over  19,400  artists/cultural  workers  had  been  mobile, 

24 
25 

See the Annual Activity Report for DG COMM at: ; http://ec.europa.eu/atwork/synthesis/aar/ 
See the Annual Activity Report for DG EAC at: http://ec.europa.eu/atwork/synthesis/aar/ 

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several  thousand  cultural  works  had  been  circulated  in  2010  and  getting  close  to  1,480 
organisations were involved in 2011, either as co-ordinators or co-organisers. 

Health and Consumer Protection policies 

The policy in the field of health and consumer protection is supported by the Public Health 
Programme  (EUR  48.9  million  committed  in  2012)  and  EU  action  in  the  field  of  consumer 
policy (EUR 22 million committed in 2012). No new evaluations became available in 2012.  

HEADING 4 - EU AS A GLOBAL PLAYER 

Development and External relations  

EU external development assistance is financed from the general EU budget and the European 
Development  Funds  (EDFs).  The  most  important  instrument  in  financial  terms  are  the  EDF 
(EUR 3.7 billion committed in 2012), for countries in Africa, the Caribbean and the Pacific, 
followed  by  the  European  Neighbourhood  and  Partnership  Instrument  (ENPI)  (2.4  billion 
committed  in  2012)  and  the  Development  Cooperation  Instrument  (DCI)  (EUR  2.3  billion 
committed in 2012). 

In  2012,  10  geographic  evaluations  and  6  thematic  evaluations  related  to  EU  Development 
Policy  were  published.  In  general  they  show  that  at  the  strategic  level,  EU  interventions 
address the needs of the partner countries and populations, but should stay flexible enough to 
anticipate  and  adjust  to  a  changing  context.  In  fragile  states,  the  EU  should  focus  more  on 
development  and  good  governance.  Civil  society  organisations  can  act  as  a  catalyst  for 
improving the relevance of EU strategies and for holding governments accountable. 

An  appropriate  mix  of  aid  modalities  enhances  efficiency  at  a  strategic  level.  This  is  more 
important  in  a  fragile  context  where  aid  instruments  need  to  be  particularly  flexible.  Non-
financial  inputs  are  key  factors  of  success,  notably  as  regards  Budget  Support,  and  a  more 
inclusive and effective policy dialogue should be  developed. Budget Support is an effective 
tool  to  help  improve  public  financial  management  and  other  reforms,  but  it  cannot  buy 
reforms.  It  can  enhance  alignment  and  support  to  institutions  with  the help  of  non-financial 
inputs such as policy dialogue. 

The  EU’s  generally  positive  impact  on  poverty reduction  can  be  further  improved  by  better 
coordination  with  other  donors,  better  linkage  between  regional  and  national  programming 
and more synergies between the different sectors. EU projects and programmes would benefit 
from  a  better  and  more  structured  monitoring system.  The  EU  should  also  encourage  every 
partner to improve its monitoring systems. EU delegations need to develop further their own 
technical  and  sectorial  capacity  and  expertise  in  order  to  improve  coordination  and  the 
management of programmes and to better anticipate long term trends. 

Results  of  the  geographic  evaluations  will  feed  into  the  current  geographic  programming 
process which will be finalised in 2014. The Commission and the European External Action 
Service  (EEAS)  will  take  the  results  into  consideration  in  preparing  the  next  country 
programmes which should be available next year. 

The results of thematic evaluations are having an impact on policy decisions. As a result of 
the evaluation of support in the health sector, an internal programme for action will integrate 
existing  policies  and  commitments  to  improve  implementation,  and  support  in  the  health 
related  interventions  in  each  partner  country  will  be  more  concentrated.  The  evaluation  of 

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Human  Rights  led  to  endorsement  of  an  EU  Strategic  Framework  for  Human  Rights  and 
Democracy  and  a  related  Action  Plan  by  the  June  2012  European  Council,  as  well  as  the 
release  of  a  unified  Strategic  Framework  for human  rights  for  the  first  time  common  to  the 
Commission,  the  EEAS  and  the  Member  States,  with  a  wide-ranging  plan  of  action  for  its 
implementation.  

Economic and Financial Affairs policy 

Macro-Financial  Assistance  provides  balance-of-payments  support  to  partner  third  countries 
in the form of medium/long-term loans or grants and complements financing provided in the 
context of an International Monetary Fund's reform programmes. Evaluations of operations in 
Georgia (EUR 46 million in grants), Lebanon (EUR 15 million in grants and EUR 25 million 
in  loans)  and  Kosovo  (EUR  30  million  in  grants)  have  confirmed  that  this  type  of  crisis 
instrument  contributes,  in  combination  with  IMF  programmes,  to  the  macro-economic 
stabilisation  and  external  sustainability  of  the  beneficiary  countries.  The  impact  of  these 
instruments is reinforced by making the assistance subject to structural reforms in governance 
in  the  recipient  countries.  However,  the  evaluations  of  the  MFA  to  Georgia  and  Kosovo 
suggested  that  the  Commission  should  be  more  specific  in  formulating  conditionality, 
especially in the case of softer actions such as the development of action plans. It should also 
improve  the  visibility  of  the  MFA  instrument.  The  MFA  created  added  value  through  its 
confidence-boosting  effect,  increasing  the  credibility  of  the  country  in  the  eyes  of  the 
international community and potential investors. The Commission continues to take account 
of  the  recommendations  made  in  the  evaluations  in  the  design  and  implementation  of  on-
going and future operations. 

Humanitarian Aid and Civil Protection  

The  two  main  instruments  at  the  European  Union's  disposal  to  ensure  rapid  and  effective 
delivery of EU relief assistance are humanitarian assistance and civil protection). 

The EU intervenes when and where crises or natural disasters occur, helping affected people 
in third countries and inside the EU. In 2012, the Commission committed 1,252 million as a 
response  to  new  or  protracted  crises.  The  initial  budget  of  EUR  874  million  was  therefore 
increased  on  several  occasions  in  order  to  respond  to  new  crises  and  natural  disasters 
occurring during the year.  

The Civil Protection Mechanism (CPM) was activated 38 times during the year. A total of 31 
of  these  interventions  relate  to  natural  disasters  (snow  storms,  severe  cold  weather,  floods, 
earthquakes,  tsunami,  avalanche,  storms,  and  forest  fires)  and  seven  to  man-made  disasters 
(explosion, camps refugee settlement, marine pollution). A total of 16 interventions concerned 
countries  within  the  EU  Civil  Protection  Mechanism  (EUCPM)  and  22  concerned  other 
countries. 

Member States and the European Commission acting on behalf of the EU as a whole together 
continue  to  be  the  largest  single  donor  of  humanitarian  assistance  in  the  world.  The  EU 
accounts  for  some  47%  of  the  global  humanitarian  aid.  The  vast  majority  of  the  funding  in 
2012 was dedicated to Africa (51%). Substantial assistance was also provided in the Middle 
East  (Syria  and  neighbouring  countries),  for  Myanmar/Burma,  and  the  natural  disasters  in 
South  East  Asia  and  the  Caribbean.  The  Commission  funded  humanitarian  aid  activities 
which benefited more than 122 million victims.  

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In  2012  nine  evaluations  were  completed,  of  which  five  were  country  specific  and  four 
thematic/cross-cutting.  

Evaluations have generally shown that the EU humanitarian assistance, is considered effective 
and  that  the  'bottom-up'  approach  has  proven  its  ability  to  respond  rapidly  to  crises. 
Recommendations to improve effectiveness that are of general relevance can be summarised 
as  follows.  While  the  standard  instruments  take  prevailing  risks  into  account  and  provide  a 
basis  for  decisions  to  engage  and  disengage,  a  greater  emphasis  on  measuring  longer  term 
effects  and  impacts  should  be  made,  including  providing  a  set  of  appropriate  indicators  to 
measure impacts. The efforts to be a driving force in terms of coordination between  donors 
should continue. It should also be ensured that community participation and coordination with 
local civil society is the rule rather than exception. The drive for innovation should continue 
and  not  follow  any  tendency  to  standardized  default  responses.  Exit  strategies  should  be 
further  ensured,  particularly  in  urban  settings  where  disaster  implications  usually  are  more 
complex.  For  certain  projects  it  should  be  considered  to  extend  timeframes  (e.g.  beyond  12 
months) to ensure the project effectiveness. .  

As for efficiency, the average cost of EU humanitarian assistance is approximately EUR 10 
per  person  helped.  Concerning  the  implementation  framework,  the  evaluation  of  the 
Framework  Partnership  Agreement  (FPA)  showed  that  the  agreement  allows  for  greater 
flexibility of funding and lower response times for a small group of 'quality partners'. 

Based on the establishment of good practice, lessons learned and a strengthened coordination, 
opportunities  to  increase  efficiency  of  interventions  are  continuously  being  explored.  The 
2012 evaluations provided a number of inputs on how to close efficiency gaps. As resources 
are  often  and  inevitably  spread  thinly  over  a  large  number  of  projects,  a  further  integrated 
multi-sectorial  approach  should  be  ensured.  DG  ECHO  should  review  data  collection 
procedures in order to improve monitoring DG ECHO's efficiency. Mechanisms for learning 
and knowledge exchange should be strengthened, to ensure a high-level technical capacity in 
the field. . 

Enlargement policy  

The  implementation  of  the  Enlargement  policy  is  supported  by  the  instrument  for  Pre-
Accession Assistance (IPA) financial instrument 2007 - 2013. The added value sought from 
the IPA program lies in its ability to act as a main driver for the preparation of the candidate 
countries  and  potential  candidates  for  future  EU  membership.  IPA  is  designed  to  introduce 
candidates  to  the  obligations  of  membership  before  accession,  for  example  setting  up 
institutions  for  managing  post-accession  EU  funds,  and/or  adopting  the  acquis  and  EU 
standards. IPA is currently split into five components.  

Management  of  financial  assistance  to  candidate  countries  and  potential  candidate  countries 
progressed  largely  as  planned.  In  2012,  funds  totalling  nearly  EUR  1,016.5  million  were 
committed. Results in the field are materialising, as shown by the progress made in general in 
the area of the Rule of law, the steady process of convergence towards the European standards 
and values, the finalisation of the negotiations with Croatia, becoming the 28th EU Member 
State in 2013. Nonetheless, the impact of assistance can still be improved by continuing the 
efforts  to  develop  the  capacities  of  national  institutions  and  a  more  focused  and  strategic 
allocation of resources. 

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In 2012, a thematic evaluation of the EU's support for strengthening Governance, the Rule of 
Law, Judiciary Reform and the Fight against Corruption and Organised Crime in the Western 
Balkans  was  carried  out.  It  showed  that  in  all  seven  Western  Balkan  countries  the  actions 
bring a clear added value to national authorities, as there have been major improvements in 
the  fundamental  institutional  and  organisational  frameworks  in  the  area  of  the  Rule  of  law. 
Nevertheless, there is a need for stronger political commitment. 

In terms of efficiency and effectiveness, the evaluation supports the simplification of IPA II 
programming to fewer instruments, more sector programming with longer time-horizons. On 
the  beneficiary  side,  the  evaluation  indicated  that  judicial  reform  programmes  should  have 
clear priorities reflected in national policy and budget propositions, ensuring stable planning 
parameters and financing.  

On the EU side, it found that the EU should elaborate overall and programme objectives with 
regard  to  Governance  and  the  Rule  of  Law  and  should  re-assess/increase  the  IPA  funding 
following the evidence based programming. Priority programmes could have a four-to seven 
year horizon with clear 'stoppage points' for review and adjustment. Taking into account the 
results  of  the  current  evaluation,  the  idea  of  introducing  multi-annual  planning  in  IPA  II 
assistance,  covering  the  duration  of  the  next  multi-annual  financial  framework,  with  a  mid-
term  review,  was  proposed.  The  evaluation  also  pointed  out  the  importance  of  SMART 
objectives  and  indicators  of  measurement  to  support  programming  and  monitoring  of 
performance.  Some  of  the  proposed  indicators  are  currently  used  to  develop  an  indicator 
framework for the programming exercise for IPA II assistance. 

A  thematic  evaluation  on  the  judiciary  and  fundamental  rights  in  Turkey  suggested  using  a 
sectoral programming approach in IPA II. Based on the evaluation, the EU assistance on the 
judiciary  and  fundamental  rights  in  Turkey  was  considered  supportive,  adding  value  in 
enhancing  human  rights  reforms,  strengthening  the  effectiveness  of  the  court  system  and 
demonstrating  an  adequate  level  of  delivery  of  results  in  view  of  available  resources. 
However, the evaluation also pointed out weaknesses in the programming and implementation 
of  assistance,  for  example  ownership  by  relevant  institutions  and  transparency  to 
beneficiaries. Elements of flexibility, improved governance and ownership are envisaged for 
the new IPA II programming. 

The thematic Evaluation of EU's Support to Civil Society in the Western Balkans and Turkey 
suggested  greater  involvement  of  civil  society  and  stakeholders  in  the  programming  and 
project selection mechanisms. In addition it proposed better synergy between EU and non-EU 
interventions  in  the  programming  and  implementation  of  IPA  assistance.  The  evaluation 
proposed  some  modifications  in  the  management  of  the  new  IPA  program  in  terms  of 
increasing  cooperation  with  other  donors  and  International  financial  institutions  at  strategic 
level. In addition it supported enhancing stakeholder's participation in programming. 

The  evaluation  of  the  SIGMA  (Support  for  Improvement  in  Governance  and  Management) 
reported  that  the  support  is  considered  effective,  but  a  structured  and  traceable  hierarchy  of 
general and specific objectives and integrated risks is currently lacking. Starting in 2013, in 
three  countries,  SIGMA  assessments  will  become  the  basis  for  a  more  effective  policy 
dialogue,  a  tool  for  informing  IPA  national  and  regional  funding,  and  a  tool  for  developing 
country reform plans. 

Drawing on the evaluations, the Commission's proposal for new IPA II programme seeks to 
make  the  necessary  adaptations  to  ensure  continuity  and  transition  from  the  current  IPA,  to 

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apply  simplified  and  harmonised  rules  across  all  Commission  departments,  and  to  facilitate 
access to funding for beneficiaries. For better effectiveness and efficiency, the assistance will 
be made more result-oriented, flexible and tailored to specific needs. 

Improved  links  between  implementation  of  financial  cooperation  and  achievement  of  the 
policy goals set out is being pursued. More relevant performance indicators are proposed for 
the 2014 - 2020 programming exercise. 

4. 

CONCLUSIONS 

Evaluation  results  point  to  a  need  for  simplification,  more  focused  objectives,  common 
indicators and a performance framework with clear milestones and targets for the next Multi-
annual Financial Framework (MFF).  

The Commission has taken this into account in making its proposals for the new generation of 
programmes under the next MFF and calls upon the European Parliament and the Council to 
maintain  this  focus  in  the  legislative  proposals  for  the  next  MFF  to  ensure  a  more 
manageable, targeted and measurable process for the next financial period.  

The  Commission  is  developing  more  thorough,  systematic  and  targeted  progress  and 
performance  reporting  which  will  be  based  on  the  monitoring,  evaluation  and  reporting 
framework  set  by  Parliament  and  Council  for  the  next  MFF.  It  will  present  the  new 
framework for this Report in 2014. In the meantime, it has instructed its services to strengthen 
and  streamline  progress  and  performance  measurement  and  reporting  to  underpin  all  future 
Annual Activity Reports and future versions of this Report.  

This  year's  report  provides  a  picture  of  general  progress  in  advancing  EU  programme 
objectives contributing to EU 2020 targets, but with results sometimes negatively affected by 
the  economic  downturn.  Funding  produced  important  leverage  effects  particularly  on 
innovation  performance,  with  good  progress  made  on  the  creation  of  an  efficient  internal 
market in transport and the integration of energy markets. Evaluations confirmed this progress 
while much remains to be done. The ESF, ERDF and Cohesion Fund proved their flexibility 
to  respond  to  the  downturn.  The  contribution  of  the  ESF  to  access  to  employment  has  been 
confirmed,  with  uncertainty  remaining  over  the  sustainability  of  the  results.  The  role  of  EU 
financing  is  confirmed  in  maintaining  public  investment  in  a  number  of  Member  States,  to 
safeguard jobs, growth and investment strategies, reducing the pressure on national budgets, 
including substantially increased co-financing rates for nine Member States.  

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