Review of strategic evaluations managed by DEVCO (2000-2015) : final report.
Date: 2022-04-20
Institutions: Directorate-General for International Partnerships
Subjects: ACP countries, Cotonou Agreement, EU strategy, aid evaluation, democracy, development policy, economic cooperation, governance, human rights, international security, macroeconomics, poverty, regional integration, report, rule of law, social policy, trade cooperation

Review of strategic evaluations 
managed by DEVCO (2000-2015) 

Final report 
April 2016 
___________ 

Development 
and Coopera-
tion EuropeAid 

Evaluation carried out on behalf of 
the European Commission 

 
 
 
 
 
 
 
 
 
 
 
 
 
Consortium composed by 

Ecorys, Particip, ECDPM, Mokoro, Lattanzio e Associati 

Leader of the Consortium: Ecorys 

info@ecorys.com 

Contract No EVA 2011/Lot 3 
Specific contract No 2015/368029 

Review of the strategic evaluations managed by DEVCO  

(2000-2015) 

This evaluation was commissioned by the Evaluation Unit  

of the Directorate General for Development and Co-operation – 

EuropeAid (European Commission) 

The opinions expressed in this document represent the authors’ points of view  
which are not necessarily shared by the European Commission  
or by the authorities of the concerned countries. 

This report has been prepared by  

Merzhauser Str. 183  
79100 Freiburg, Germany 
Phone: +49 761 790 740 
Fax: +49 761 790 7490 
E-mail: info@particip.de 
Web: www.particip.de 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
The  evaluation  is  being  managed  by  the  DEVCO 
Evaluation Unit. 

The author accepts sole responsibility for this report, 
drawn  up  on  behalf  of  the  Commission  of  the  Euro-
pean  Union.  The  report  does  not  necessarily  reflect 
the views of the Commission. 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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CONTACT INFORMATION 

European Commission 
Directorate-General for International Partnerships (DG INTPA) 
Directorate D - Sustainable Development Policy and Coordination 
Unit D.4 - Performance, Results and Evaluation; Internal Communication, Knowledge Management and Collaborative Methods 
Email: INTPA-EVALUATIONS@ec.europa.eu  
B-1049 Brussels, Belgium 

EU International Partnerships: 
https://ec.europa.eu/international-partnerships/our-impact/monitoring-and-evaluation_en 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
i 

Table of contents 
1 
2 

3 

4 

5 

Executive Summary.................................................................................................. 1 
Introduction .............................................................................................................. 6 
2.1  Objectives and scope of the review ...................................................................... 6 
Structure of the report ........................................................................................... 6 
2.2 
Context and methodology of the review ................................................................. 7 
3.1  Context of the review ............................................................................................. 7 
3.2  Review methodology ............................................................................................. 7 
Structuring the reports ..................................................................................... 7 

3.2.1 
3.2.2  Defining  clear  and  unambiguous  codes  derived  from  the  judgement 

4.5 

4.3 

4.4 

criteria ............................................................................................................. 8 
3.2.3  Reading, extracting and analysing information ................................................ 8 
Final analysis of the extractions and synthesis of the findings ......................... 9 
3.2.4 
Reconstructed intervention logics (IL) .................................................................. 10 
Evolution of the Cotonou Partnership Agreement ............................................. 10 
4.1 
4.2  Overall intervention logic .................................................................................... 11 
4.2.1  Overview ....................................................................................................... 11 
Intervention logic diagram ............................................................................. 11 
4.2.2 
4.2.3  Overall assumptions ...................................................................................... 12 
Pillar I: Political dimension .................................................................................. 14 
4.3.1  Overview ....................................................................................................... 14 
Intervention logic diagram ............................................................................. 14 
4.3.2 
Pillar II: Trade and economic co-operation ........................................................ 17 
4.4.1  Overview ....................................................................................................... 17 
Intervention logic diagram ............................................................................. 17 
4.4.2 
Pillar III: Development co-operation .................................................................... 20 
4.5.1  Overview ....................................................................................................... 20 
Intervention logic diagram ............................................................................. 20 
4.5.2 
Evidence linked to the evaluation questions ........................................................ 23 
EQ 1 – Political and policy dialogue ................................................................... 25 
Summary answer .......................................................................................... 26 
Answers to the judgement criteria ................................................................. 26 
EQ 2 – Human rights, democracy, rule of law and good governance .............. 28 
Summary answer .......................................................................................... 29 
Answers to the judgement criteria ................................................................. 29 
EQ 3 – Peace and security ................................................................................... 32 
Summary answer .......................................................................................... 32 
Answers to the judgement criteria ................................................................. 32 
EQ 4 – Migration ................................................................................................... 35 
Summary answer .......................................................................................... 35 
Answers to the judgement criteria ................................................................. 35 

5.1.1 
5.1.2 

5.2.1 
5.2.2 

5.4.1 
5.4.2 

5.3.1 
5.3.2 

5.1 

5.2 

5.3 

5.4 

5.5 

5.6 

5.5.1 
5.5.2 

EQ 5 – Integration of ACP states into the world economy and their share 
in international trade ............................................................................................ 36 
Summary answer .......................................................................................... 36 
Answers to the judgement criteria ................................................................. 37 
EQ 6 – EU-ACP international economic and trade co-operation....................... 40 
Summary answer .......................................................................................... 40 

5.6.1 

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5.8 

5.7 

5.9 

5.6.2 

5.9.1 
5.9.2 

5.8.1 
5.8.2 

5.7.1 
5.7.2 

Answers to the judgement criteria ................................................................. 40 
EQ 7 Macroeconomic reforms, private sector and investment ......................... 42 
Summary answer .......................................................................................... 42 
Answers to the judgement criteria ................................................................. 43 
EQ 8 – Social infrastructure and services .......................................................... 46 
Summary answer .......................................................................................... 46 
Answers to the judgement criteria ................................................................. 47 
EQ 9 Cross-cutting issues ................................................................................... 51 
Summary answer .......................................................................................... 51 
Answers to the judgement criteria ................................................................. 51 
5.10  EQ 10 – Poverty reduction and the needs of most vulnerable groups ............. 55 
5.10.1  Summary answer .......................................................................................... 55 
5.10.2  Answers to the judgement criteria ................................................................. 55 
5.11  EQ 11 – Joint institutions .................................................................................... 59 
5.11.1  Summary answer .......................................................................................... 59 
5.11.2  Answers to the judgement criteria ................................................................. 59 
5.12  EQ 12 – Mix of tools ............................................................................................. 60 
5.12.1  Summary answer .......................................................................................... 60 
5.12.2  Answers to the judgement criteria ................................................................. 61 
Information gaps and possible ways to filling them ............................................ 65 
Conclusions per DAC criteria ................................................................................ 67 
7.1  Relevance of the CPA as it appears from the strategic evaluations ................. 67 
Effectiveness of CPA as from the strategic evaluations ................................... 68 
7.2 
Impacts of CPA as from the strategic evaluations ............................................. 70 
7.3 
Sustainability  of  the  achievements  so  far,  as  from  the  strategic 
7.4 
evaluations ........................................................................................................... 71 
Efficiency of the CPA as from the strategic evaluations ................................... 72 
EU value added and 3 Cs, in the framework of CPA, as from the strategic  
evaluations ........................................................................................................... 73 
Main lessons learned from the evaluations .......................................................... 75 
Annexes .................................................................................................................. 80 
9.1  Annex 1: List of evaluation reports reviewed ..................................................... 80 
9.2  Annex 2:  In-depth  methodology  –  understanding  and  defining  the 

7.5 
7.6 

6 
7 

8 
9 

relevance of evaluation reports ........................................................................... 84 
9.3  Annex 3: Analysis matrix ..................................................................................... 96 
9.4  Annex 4: Selected country examples for evaluation questions ...................... 112 
9.5  Annex 5:  Level  of  evidence,  number  of  evaluations  and  additional 

sources of information by JC ............................................................................ 170 

List of tables 
Table 1 
Table 2 
Table 3 
Table 4 
Table 5 
Table 6 
Table 7 

Categories of relevance .................................................................................. 7 
The evaluation questions .............................................................................. 23 
Coverage of the evaluation criteria by the evaluation questions .................... 25 
Main lessons learned identified in the Evaluations ........................................ 75 
List of evaluation reports reviewed ................................................................ 80 
Temporal relevance of evaluation reports...................................................... 84 
Thematic relevance of evaluation reports ...................................................... 88 

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Table 8 
Table 9 
Table 10 
Table 11 
Table 12 
Table 13 
Table 14 
Table 15 
Table 16 
Table 17 
Table 18 
Table 19 
Table 20 
Table 21 
Table 22 
Table 23 
Table 24 

Geographical relevance of evaluation reports ............................................... 90 
Overall relevance and assigned category ...................................................... 93 
Selected country examples for EQ 1 ........................................................... 112 
Selected country examples for EQ 2 ........................................................... 116 
Selected country examples for EQ 3 ........................................................... 121 
Country examples for EQ 4 ......................................................................... 124 
Selected country examples for EQ 5 ........................................................... 127 
Selected country examples for EQ 6 ........................................................... 129 
Selected country examples for EQ 7 ........................................................... 131 
Selected examples for education (EQ 8) ..................................................... 141 
Selected examples for health (EQ 8) ........................................................... 144 
Selected country examples on gender (EQ 9) ............................................. 146 
Selected country examples on HIV/AIDS (EQ 9) ......................................... 149 
Selected country examples on environment and climate change (EQ 9) ..... 152 
Selected country examples for EQ 10 ......................................................... 154 
Selected country examples for EQ 12 ......................................................... 159 
Analysis  of  level  of  evidence  and  number  of  evaluations  by  JC  and 
suggested additional data collection methods ............................................. 170 

List of figures 
Figure 1 
Figure 2 
Figure 3 

Figure 4 

Overall intervention logic ............................................................................... 13 
Intervention logic for Pillar I: Political dimension (Articles 8 to 13) ................. 16 
Intervention logic for Pillar II: Economic and trade co-operation (Articles 
34 to 54) ........................................................................................................ 19 
Intervention  logic for  Pillar  III:  Development  co-operation  (Articles 19 to 
33) ................................................................................................................. 22 

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iv 

List of acronyms 

AB 

ACP 

ACT  

AfDB 

ALA 

AMS 

ASAL 

ASCE 

AU 

BDS 

French abbr., see BS 

African, Caribbean and Pacific Group of States 

Advocacy and Communications Group 

African Development Bank 

Asia and Latin America (DCI-ALA) 

Apparel Lesotho Alliance to Fight Aids  

Arid and Semi-Arid Land 

Higher authority of state control  

African Union 

Business development services 

BizClim 

Private Sector Enabling Environment Facility  

BS 

BSG 

BTSF 

CA 

CAR 

CBI 

CBO 

CDE 

Budget support 

Budget Support Group 

Better Training for Safer Food  

Contribution Agreement  

Central African Republic 

Cross-Border Initiative 

Community-based organisations 

Centre for the Development of Enterprise 

CDEMA 

Caribbean Disaster and Emergency Management Agency  

CDTF 

Community Development Trust Fund  

CEDEAO 

Communauté économique des Etats de l’Afrique de l’Ouest 

CEMAC 

Economic and Monetary Community of Central Africa 

CGP 

CNCS 

Child Grant Programme  

National AIDS Council 

COMESA 

Common Market for Eastern and Southern Africa 

CPA 

CPMR 

CPPB 

CSE 

CSO 

CSP 

DAC 

DCI 

DDR 

Cotonou Partnership Agreement 

Conflict Prevention, Management and Resolution Programme 

Conflict Prevention and Peace Building 

Country strategy evaluation 

Civil society organisation 

Country strategy paper 

Development Assistance Committee (OECD) 

Development Co-operation Instrument 

Disarmament, Demobilisation, Reconstruction 

DEVCO 

Directorate-General for International Co-operation and Development (EuropeAid) 

DFID 

Department for International Development (UK government) 

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DG 

DP 

DRC 

EAC 

EBA 

EC 

Directorate-General 

Development Partner 

Democratic Republic of the Congo 

Eastern African Community 

Everything But Arms Initiative 

European Community 

ECHO 

The European Commission's Humanitarian Aid and Civil Protection department  

ECOWAS 

Economic Community Of West African States  

EDF 

EEAS 

EIB 

European Development Fund 

European External Action Service 

European Investment Bank 

EIDHR 

The European Instrument for Democracy and Human Rights  

EOM 

EPA 

ESA 

ESI 

EUD 

FDI 

Election Observation Mission 

Economic Partnership Agreement 

Eastern and Southern Africa 

Employment and Social Inclusion 

Delegation of the European Union  

Foreign Direct Investment 

FOMUC 

CEMAC multinational force 

GBS 

GCCA 

GDP 

General budget support 

Global Climate Change Alliance 

Gross domestic product 

GEEREF 

Global Energy Efficiency and Renewable Fund 

GEWE 

Gender Equality and Women Empowerment 

GFATM 

Global Fund to Fight AIDS, Tuberculosis and Malaria 

GIZ 

HDI 

German Development Agency 

Human Development Index 

HIPC 

Highly Indebted and Poor Countries 

HR 

IBM 

ICAO 

ICLEI 

ICPD 

ICT 

IDB 

IDP 

IFI 

IMF 

Human Rights 

Integrated Border Management 

International Civil Aviation Organization 

International Council for Local Environmental Initiatives 

International Conference on Population and Development 

Information and communication technology 

Islamic Development Bank 

Internally Displaced Person 

International financial institution 

International Monetary Fund 

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IMPACS 

Implementation Agency for Crime and Security 

vi 

JAR 

JAS 

JEU 

JMD 

LDCs 

LRRD 

MDG 

Joint Annual Review 

Joint Assistance Strategies 

Joint Evaluation Unit 

Jamaican Dollar 

Least developed countries 

Linking Relief Rehabilitation and Development 

Millennium Development Goal 

MDTFs 

Multi Donor Trust Funds 

MFF 

MFI 

Multiannual Financial Framework 

Micro-finance Institutions 

MICOPAX  Mission de consolidation de la paix en Centrafrique 

MMEs 

Mid-Market Enterprises 

MoU 

MS 

Memorandum of Understanding 

Member State 

MSME 

Small and Micro Enterprise 

MTE 

NAD 

NAO 

NDMA 

NEMA 

NGO 

NIP 

NSA 

OAS 

OCTs 

OECD 

OVCs 

PA 

PAF 

Mid-Term Evaluation 

Namibian Dollar 

National Authorising Officer 

National Drought Management Authority  

National Environmental Management Agency 

Non-governmental organisation 

National Indicative Programme 

Non-state actors 

Organization of American States 

Overseas Countries and Territories 

Organisation for  

Orphans and other Vulnerable Children  

Public Administration 

Performance Assessment Framework  

PAFGA 

EDF — support programme for the gum arabic sector  

PAFIB 

Programme  
d'Appui à la Filière Bovine  

PAGE 

Partnership for Action on Green economy  

PALOP 

Portuguese speaking African countries  

PanAf 

Pan-African Programme 

PARPA 

Plan for the Reduction of Absolute Poverty 

PARSET 

Projet éducation V Appui à la réforme du secteur éducatif au Tchad  

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PCAD 

PEAP 

PEFA 

UNDP's project for the collection of arms for development  

Poverty Eradication Action Plan 

Public Expenditure and Financial Accountability  

PEMFA 

Public Expenditure Management and Financial Accountability  

PEMFAR 

Public Expenditure Management and Financial Accountability Review 

PEPFAR 

President's Emergency Plan for AIDS Relief 

PFM 

PIFS 

Public Finance Management 

Pacific Islands Forum Secretariat  

PNDDR 

National programme for disarmament Demobilisation and Reintegration  

PNG 

PPPs 

PRBS 

PRDs 

PRGF 

PRP 

PRSP 

PSD 

PSNP 

PTF 

RAO 

RAP 

RECs 

RIPs 

ROM 

RSP 

Papua New Guinea  

Public-private partnership 

Poverty Reduction Budget Support 

Poverty related diseases 

Poverty Reduction and Growth Facility  

Poverty Reduction Programme  

Poverty reduction strategy paper 

Private sector development 

Productive Safety Net Programme  

Partenaire Technique et Financier  

Regional Authorising Officer 

Reform Action Plan  

African Regional Economic Communities  

Regional Indicative Programme 

Results-oriented management 

Regional Strategy Paper 

RuSACCO  Rural Savings and Credit Cooperatives Organizations 

SADC 

SBCs 

SBS 

SIDA 

SMEs 

SPC 

SPS 

SRIP 

SSRP 

Southern African Development Community  

State Building Contracts  

Sectoral Budget support 

French abbr., AIDS 

Small and medium-sized enterprises 

Secretariat of the Pacific Community 

Sanitary and Phytosanitary 

Support to Reforming Institutions Programme  

Security Sector Reform Programme  

STABEX 

Système de Stabilisation des Recettes d'Exportation 

SUN 

SWAp 

Scaling Up Nutrition Network 

Sector-Wide Approach 

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SYSMIN 

System of Stabilization of Export Earnings from Mining Products 

TA 

Technical Assistance 

TACIS 

Technical Aid to the Commonwealth of Independent States  

TB 

TBT 

TCB 

TCF 

TFPs 

ToR 

TRA 

TRC 

Tuberculosis  

Technical Barriers to Trade  

Trade Capacity Building 

Technical Co-operation Facility  

Technical and financial partners 

Terms of Reference 

Trade Related Assistance 

Transformation resource centre 

UEMOA 

French abbr., see WAEMU  

UK 

UN 

United Kingdom 

United Nations 

UNCTAD 

United Nations Commission on Trade and Development 

UNDP 

United Nations Development Programme 

UNICEF 

The United Nations Children's Fund  

UNODC 

United Nations Office on Drugs and Crime  

UNW 

VIH 

VOC 

United Nations Women 

French abbr., see HIV 

Vehicle operating costs 

WAEMU 

West African Economic and Monetary Union 

WATSAN  Water and Sanitation 

WB 

World Bank 

WSSSRP  Water Supply and Sanitation Sector Reform Programme  

ZAMMOD  Macroeconomic Model and Simulator of Zambia  

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1 

1  Executive Summary 

Objectives and scope 

The  present  study  is  part  of  a  DG  DEVCO  and  EEAS  comprehensive evaluation  of  the  Cotonou 
partnership agreement. It covers the geographical (country and regional), thematic and aid modali-
ties evaluations related to ACP countries, managed by DEVCO since 2000. It is one of the four in-
puts contributing to the comprehensive evaluation.  
The study encompasses analysis and synthesis of findings, conclusions and key lessons from the 
evaluations, based on a predetermined set of twelve evaluation questions (with the related Judge-
ment Criteria) that will serve as guidance for the analysis. 

Methodological issues 

The  reconstructed  intervention  logics  (for  the  whole  CPA  and  for  each  of  its  three  pillars)  have 
been  established  and  the  predetermined  EQs  and  judgement  criteria  provided  by  the  Evaluation 
Management Group have been tested. 
The  111  evaluation  reports  provided  by  the  management  group  have  been  classified  and  struc-
tured according to relevance criteria, so as to diversify the level of their consideration in the final 
assessments. 
A  number  of  codes  corresponding  to  the  Judgement  Criteria  have  been  created  and  the  reports 
have been red extracting the text segments corresponding to the codes, including the different lev-
els of relevance mentioned above. 
A first work of synthesis has been carried out on the codified text segments. Then such synthesis 
has been tested and reviewed through further reading of the most relevant reports. 
A second work of synthesis has been carried out to arrive at the current formulation of answers to 
the EQs. 
The answers to the EQs have been summarised in two final products: 

  The conclusions,  according to the  main  evaluation  criteria,  as  coming from the  evaluation 

reports, their weighting and comparison; and 

  The lessons learned, according to some main thematic areas, as identifiable in a sufficient 

number of reports. 

Summary of the conclusions 

Relevance of the CPA as from the strategic evaluations 
Compared to the key CPA objectives of poverty reduction (through sustainable development) and 
integration  into  the  world  economy,  the  programmes  evaluated  in  the  strategic  evaluations  have 
appeared to be rather relevant. 
In particular, poverty reduction is recognised as being the main focus of the different geographic 
and thematic programmes. It is pursued through relevant pro-poor support to macroeconomic sta-
bilisation, improved public expenditure, social development, trade and transport, good governance 
and peace building policies. Ownership by the partners, a condition of the relevance of the objec-
tives, is not always at the necessary level to ensure effective implementation. 
The objective of integration into the world economy has been strengthened in the last decade at 
the regional level and in a number of economically stronger countries, and has received a signifi-
cant push by the EPA strategy, although its implementation has  been delayed. Its focus remains 
on trade growth, while the diversification of the economies and the support to competitive supply 
chains remains weak. 

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Effectiveness of CPA as evidenced by the strategic evaluations 
Growth  and  social  policies.  An  effective  contribution  in  this  area  has  been  provided  mainly 
through budget support1 since the 1990s. Macroeconomic stabilisation and improved public finan-
cial  management  have  been  effectively  supported,  budgetary  allocations  to  social  sectors  have 
been  protected,  and  policy  design  and  implementation  in  health  and  education  have  been  en-
hanced, although much remains to be done, particularly at the institutional level. 
In the  last  decade,  however,  budget  support  seems  to have partly  lost  its  leverage,  especially  in 
the fastest-growing  countries,  due to  its reduced financial  weight  on  recipients’  budgets  and also 
due to the weakening of the shared framework of priorities between the partner countries and the 
EU MS. 
Private sector development has been fostered by macroeconomic and fiscal stabilisation and al-
so by the improved trade regulatory systems and the reinforcement of the transport networks (par-
ticularly  at  the  regional  level),  which  together  have  contributed  to  the  improvement  of  the  local 
business  environment  and  export  opportunities.  The  contribution  to  the  strengthening  of  private 
sector  organisations,  their  direct  participation  in  the  political  and  economic  processes,  and  the 
strengthening and diversification of the supply chains, however, is less evident.  
Good governance has been pursued with mixed results. With respect to democratic governance, 
the support to the electoral processes has been effective in many countries. The dialogue on hu-
man rights has comprised a large share of the political dialogue over the last decade, although it 
seems linked to specific occasions and its general effects are rather limited and sometimes vola-
tile. Good governance as a whole, including economic governance and commitment to the shared 
reform agenda, is not systematically addressed in the political dialogue.  Efforts to establish com-
prehensive  and  country-tailored  governance  platforms  as  a  base  for  local  partnerships  (e.g.  the 
Governance Initiative in the 10th EDF) have not been developed. 
Support  to  regional  organisations  has  contributed  to  enhancing  their  capacities  for  trade  and 
economic  development.  In  the  meantime,  regional  organisations  such  as  the  Africa  Union  and 
Western Africa have demonstrated appropriate capacity to tackle some of the most acute regional 
security  crises.  A  problematic  institutional  framework,  however,  has  limited  the  effectiveness  of 
CPA action. An intensification of the support for regional trade and economic development should 
have  come  from  the  implementation  of  the  EPAs,  but  the  EU  ability  to  leverage  the  different  re-
gional  partners  has  partly  weakened  and the  disparity  of  interests  and  commitment  among  them 
has remained an obstacle. 
Conflict  prevention,  management  and  resolution  have  been  effectively  addressed  in  recent 
years. The  capacity  of the  regional  organisations  to  intervene in conflict  management  and peace 
building  has  been  enhanced  (AU,  ECOWAS  and  others).  However,  some  main  structural  weak-
nesses remain. Despite its credibility for its plural and rather neutral political position, EU leader-
ship  is  still  weak  when  addressing  the  root  causes  of  regional  conflicts  and  defining  longer-term 
arrangements. 
Effective support to fragile states is still a challenge, despite improved approaches over the last 
decade.  The  combination  of  different  tools,  state  building  and  non-state actors’  mobilisation,  and 
short- and medium-term approaches has proven to be effective. The coordinating role and capaci-
ties  of  the  local  partners,  including  beneficiaries  and  EU  Delegations  and  other  DPs,  as  well  as 
long-term commitment are still weak. 

Impacts of CPA as evidenced by the strategic evaluations 
Poverty reduction. The overall contribution to poverty reduction has been significant, via the con-
tributions to macroeconomic stabilisation, improved PFM, trade capacity, including strengthening of 
the main transport networks, increased public expenditure in social sectors, etc. All such public pol-
icies  and  country/regional  capacities  strengthened  by  CPA  have  contributed  to  economic  growth 
and to increased access of the poor to the basic services, thus alleviating both income and non-
income poverty reduction. 

1 BS has represented about 30% of the disbursements since the early ‘90s and has reached peaks of 50% under the 10th 
EDF. 

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3 

However, the contribution to inclusive growth, with an improved level of participation by the poor, 
and an accelerated reduction of the poverty incidence, has been weak. As expected, the CPA has 
not  been  able  to  influence  the  internal  mechanisms  of  income  distribution  and  the  key  political 
economy equilibria in the ACP societies. In particular, the productivity of the labour in agriculture 
and  urban  informal  sector,  where  most  employment  is  still  concentrated,  has  not  increased  as  it 
should have to support inclusive growth. 
Equitable access to basic services. The CPA has significantly contributed to improved equitable 
access  to  basic  social  services  (education,  health,  water  and  sanitation)  and  to  improved  living 
standards  among  the  ACP  populations  and  the  poor.  Over  the  last  few  decades,  CPA  support 
(combined with other  BS  providers)  has  provided  a substantial  share (although decreasing  in re-
cent years) of the development expenditure in the mentioned sectors in many ACP countries. Such 
financial support has often been complemented through policy advice and capacity development, 
thus  accompanying  the  efforts  by  country  leadership.  Overall,  the  impact  on  improved  equitable 
access  to primary  education,  basic  health services and clean water  has  been  relatively  high,  alt-
hough the quality of institutional change and the sustainability of the achievements remain low. 
Trade  flows.  Over  the  last  fifteen  years,  the  trade  flows  between  the  ACPs  and  the  rest  of  the 
world have increased almost at the same pace as the world trade, with Africa being a champion, 
second only to the Eastern Asia region. Trade growth has been a main driver for global economic 
growth in the ACPs.  This has overturned a trend of deterioration of the ACP’s position in interna-
tional  trade,  which  lasted  from  the  ‘70s.  The  evaluations  contain  significant  evidence  on  the  im-
portant contribution provided by CPA to trade facilitation, including enhanced trade regulations, lib-
eralisation  and  capacity  in  the  ACP  countries  and  the  improvement  of  the  basic  transport  infra-
structure on the main regional axes. The key determinant of trade growth, however, is international 
demand, while trade facilitation plays a key role when demand is high. Indeed the diversification of 
the supply remains a weak feature of the ACP trade. As seen in the evaluations, this is also a weak 
point for CPA contribution. 
Democracy and human rights. Progress was made in the 1990s, with a significant reduction  in 
authoritarian regimes, however, progress slowed in the 2000s. A majority of so-called anocracies, 
or hybrid regimes with mixed democratic and authoritarian features, has been established in areas 
destabilised  by  regional  and  internal  conflicts.  CPA  action  in  this  area  has  increased  in  the  last 
decade. The contribution to the electoral processes has been significant and widespread, and the 
political dialogue on HR - including associated support - has been provided on a case-by-case ba-
sis as needed with mixed results. Overall, the CPA contributions have remained rather fragmented 
and not yet adequately mainstreamed in the main country programme. 
Peace and security. Underlying causes of conflicts and actual conflicts have multiplied in the last 
few decades, especially in Africa. The international community’s capacity to react has improved at 
various levels,  with  considerable  involvement  by  the  regional  organisations. The  EU  has  been  at 
the forefront of the response action. In all the conflict regions in Africa, the EU has been one of the 
main  partners  of  the  Africa  Union  (as  well  as  of  ECOWAS,  CEMAC,  etc.)  to  enhance  their  re-
sponse  capacity.  The  weak  political  and  economic  resilience  of  ACP  countries,  however,  makes 
most of them vulnerable to increasing worldwide instability. Additionally, the EU has not yet put ad-
equate partnership frameworks  and capacities  in place  in order  to tackle the root causes of  con-
flicts,  including  shared  understanding  of  and  action  against  regional  inequalities,  discriminations 
and imbalances. 

Sustainability of the achievements so far,  as evidenced by the strategic evaluations 
ACP economic growth and trade increase are not fully sustainable. Much of the growth record-
ed  by  ACP  countries  in  the  last  few  decades  is  linked  to  the  increased  international  demand  for 
their raw materials, including oil, gas, other minerals, cocoa and coffee, etc. The diversification of 
the ACP economies is still lagging. The productivity of the labour in agriculture and the urban in-
formal sector, where most of the working forces are concentrated, is still low. 
Social  achievements  need  to  be  consolidated  through  institutional  development.  Evaluations 
show  how  social  gains  can  easily  be  threatened  if  they  are  not  supported  by  sustainable  institu-
tional  changes.  Population  growth,  in  many  cases,  increases  vulnerability  and  can  threaten  the 
sustainability of achievements, especially when the countries are affected by economic crises and 
conflicts. 

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Democratic processes are still weak and reversible. Even in more advanced cases, the emerging 
democracies are weak. Still do not have the support of solid middle classes, the systems of checks 
and balances are still unripe. Are vulnerable to the pressure of powerful groups for state capture. 
The root causes of instability and conflicts have not been addressed. The world is in the middle 
of a complex transition. Strengthening the resilience of existing states and regions in the ACP are-
as is a necessary response and building solid partnerships to accelerate the consolidation of se-
cure, democratic and competitive areas is an antidote to long-term instability and conflict. 

Efficiency of the CPA as from the strategic evaluations 
Ownership.  The  evaluations  show  that  country  and  regional  programmes,  although  tailored,  are 
often inadequately owned by the national counterparts. The National and Regional Authorising Of-
fices system (NAOs and RAOs) ensures, in many cases, only a formal participation of the partner 
countries and regions. Apart from the CPA, there is not a country/regional partnership framework 
based  on  a  comprehensive  shared  agenda  that  would  support  in-depth  political  and  policy  dia-
logue. 
Integration  of  political  and policy  dialogue.  Policy  dialogue  is  often  delegated  to lower  levels, 
e.g.  monitoring  and  technical  negotiations  related  to  single  programmes.  Policy  dialogue  is  often 
unable to go beyond the technical nature of the issues, while the factors that determine the actual 
changes are related to the political commitment of the decision makers. This is why policy dialogue 
needs  continuous support from and a stronger integration with political dialogue. 
Flexibility  of  modalities,  instruments  and  tools.  The  CPA  allows  for  diversification  of  funding 
instruments and financing modalities. This multiplicity of tools should permit the design and imple-
mentation of programmes tailored  to the actual needs and constraints of the different contexts. It 
has been found, however, that such multiplicity of tools is not always applied as efficiently as pos-
sible.  Potentially  complementary  interventions  (emergency,  stabilisation  and  other  specialised 
tools) are often fragmented and not sufficiently coordinated/ coherent with the whole country pro-
grammes.  There  are  different  reasons  for  this  problematic  coordination,  including  insufficient  re-
sources and capacities at the country level (EU Delegations and country ownership). 
The  regional  dimension  has  shown  to  be  a  conducive  framework  to  boost  not  only  trade  and 
economic infrastructure, but also peace and security. The coherence between the regional and na-
tional levels, however, represents an important challenge, as the regional institutions are unable to 
negotiate  and  ensure  national  implementation  and,  national  governments  often  face  specific  re-
sistances  and  constraints  in  the  implementation  of  regional  programmes.  Regional  partnerships, 
like EPAs,  have been  unable so far  to provide  adequate incentives to  the  weakest  national  part-
ners and ensure equal benefits from integration. 
Efficient management  is  a main concern  of  the  strategic  evaluations.  Delays  and  various ineffi-
ciencies, mainly due to the heavy administrative procedures and the lack of staff and capacities at 
the level of the EU Delegations, are often mentioned in the evaluations as bottlenecks affecting the 
quality of the programming and implementation cycle. 
Efficient monitoring and evaluation systems are in place, but the availability of data on devel-
opment results is a challenge. The ROM mechanism and the strategic evaluations are the core of a 
system which is expected to support a continuous learning process and represents a key asset of 
the CPA. The existing feedback loops at all levels, including HQs and countries, however, do not 
seem able to ensure the expected learning outcomes. 

EU added value and 3  Cs, in the framework of CPA, as  evidenced by the strategic evalua-
tions 
EU added value is particularly evident in areas such as: 

  major general and/or sectoral operations of budget support with actual results. The EU has 
accumulated much  experience in  budget  support  since  the  early  1990s.  It  is  probably  the 
most important budget support provider aside from development banks. It has established 
detailed guidelines and a feedback process to learn from the experience. Such added value 
would be even stronger if EU and member states were  more effective at establishing and 
implementing coordinated action plans and complementary actions around budget support. 
  support  to  regional  integration  and  trade,  including  main  infrastructure  networks,  but  also 
peace and security and other strategic themes, is an area of strong EU added value in the 

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CPA framework. The potential at the regional level, including continental organisations like 
the AU, for strategic actions in a number of key areas for stability and growth, is not yet fully 
exploited.  

  peace  and  security  is  another  key  area  where  the  EU  added  value  is  particularly  strong. 
The neutral identity of the EU, combined with its potential ability to represent and bring to-
gether some of the most powerful political and military partners of the ACP countries, is the 
key  factor  of  the  EU  added  value.  This  puts  the  EU  at  the  forefront  of  stabilisation  and 
peace building programmes, although in most cases the necessary initiative and leadership 
are not yet fully ensured by the EU. 
joint programmes with EU member states should be an area of high added value, but it is 
still insufficiently exploited (see below, the 3Cs). 

 

Coherence,  co-ordination  and  complementarity  (3Cs)  are  an  important  concern for  the  EU  in 
the implementation of the CPA and, especially co-ordination and complementarity with EU member 
states could be largely improved as shown by the evaluations. 

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2 

Introduction 

6 

2.1  Objectives and scope of the review 
In view  of  the  approaching  negotiations between the  EU  and its  Member  States  and the  African, 
Caribbean and Pacific (ACP) Group of States, DG DEVCO and EEAS are planning a comprehen-
sive evaluation of the current partnership agreement in force. The present review of evaluation 
reports is one of four inputs contributing to this end, the other three being: 

  Post Cotonou Task Force which conducts analyses contributing to shaping future EU-ACP 

co-operation; 

  Joint  Consultation  Paper  –  Towards  a  new  partnership  between  the  European  Union  and 

the African, Caribbean and Pacific countries after 2020;  

  A Questionnaire to all EU Delegations in ACP countries (including both past and future is-

sues). 

The scope of the review covers the geographical (country and regional), thematic and aid modali-
ties  evaluations  related  to ACP  countries  managed  by DG  DEVCO.  The  temporal  scope is  2000 
(CPA was signed) to 2015. 
Apart from the general objective of the review – to provide inputs into the comprehensive evalua-
tion of the CPA - the specific objectives of the review are as follows: 

 

 

 
 

Identification of qualified or rated evidence related to the achievements of the objectives as 
specified in the intervention logic(s) to be developed during the inception phase; 
Identification  of  evidence  linked  to  the  evaluation  questions  presented  by  the  Evaluation 
Unit during the inception meeting; 
Identification of possible information gaps and suggestion how to fill them; 
Identification of broader lessons to be learned from the evaluations. 

In  short,  the  review  encompasses  analysis  and  synthesis  of  findings,  conclusions,  recommenda-
tions and key lessons from the evaluations, based on a predetermined set of evaluation questions 
that will serve as guidance for the analysis. The objectives of the CPA will be examined in accord-
ance with the DAC evaluation criteria and coherence and EU added value as additional criteria. 

2.2  Structure of the report 
The Draft final report consists of the following elements: 

  Chapter 2 introduces the scope of the review and the report structure. 
  Chapter 3 elaborates on the adopted methodology for the review phase. 
  Chapter  4  presents  the  reconstructed  intervention  logics  for  the  individual  pillars  and  the 

overall reconstructed intervention logic. 

  Chapter 5 presents the evidence linked to the evaluation questions. 
  Chapter 6 highlights information gaps and possible ways of filling them.  
  Chapter 7 presents conclusions per DAC criteria. It sets a synthesis of the main issues ad-

dressed by the EQs. 

  Chapter 8 presents main lessons learned from the evaluations. 
  Supporting  material  can  be  found  in the  Annexes,  such  as a categorised list  of  analysed 
evaluation reports, detailed methodology, the analysis matrix, country examples underpin-
ning the answers to the EQs, and rated levels of evidence per JC. 

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7 

3  Context and methodology of the review 

3.1  Context of the review 
The  EU’s  relationship  with  the  ACP  Group  of  States  has  been  governed  by  agreements  dating 
back  to  the  Lomé  convention  in  19752,  aiming  at  supporting  ACP  states’  efforts  towards  self-
sustained development. The Cotonou Partnership Agreement (CPA) is mainly funded by the Eu-
ropean Development Fund (EDF) which operates according to its own financial regulations. It has 
financial autonomy from the EU’s budget and is composed of direct contributions from EU Member 
States. 
The  current  CPA3  established  a comprehensive partnership for  economic,  social  and cultural  de-
velopment,  based  on  three  complementary  pillars:  development  co-operation,  economic  and 
trade co-operation,  and political  dimension. With  a focus on  the  long-term  eradication  of  poverty, 
the co-operation aims to contribute to peace, security and democratic and political stability of the 
ACP states4. The parties are committed to acting together to gradually achieve the MDGs. Equality 
of partners and participation are key principles of the partnership and therefore political dialogue is 
essential for the co-operation to flourish. 
As  stipulated  in  the  CPA,  the  contracting  parties  are  bound to enter  into  negotiations  of  a suc-
ceeding  partnership  agreement  by  31  August  2018  at  the  latest.5  In  order  to  assure  expedient 
preparations of the negotiations, it is important to retrieve sound  information on achievements, 
impacts and lessons  learned from  the  past  agreement,  which  will  be  achieved  through  a com-
prehensive evaluation to which the results of this review will have contributed. 

3.2  Review methodology 
The review has been organised in four phases: 1) structuring and categorising the reports, 2) de-
veloping a coding system to help organise the reading and extracting process, 3) actual analysis of 
the reports and extracting of relevant data segments, and 4) synthesizing the findings. 

3.2.1  Structuring the reports 
Reviewing  a  total  of  111  evaluation  reports6  has  been  a  challenging  and  time-consuming  task, 
which  called  for  a  systematic  approach  to  data  analysis.  The  reports  have  been  clustered  in 
three categories based on their relevance, as illustrated in Table 1, for the following benefits: 

1.  Adding a qualitative dimension: A greater weight has been attributed to segments extracted 
from reports considered as highly relevant, which facilitated and sped up the analysing and 
synthesizing processes. 

2.  A  quicker  and more focused extraction  process:  Documents  have been  treated  differently 
based  on  their  category  and  the  search  of  relevant  pieces  of  information  has  been  done 
with high precision.  

Table 1 

Categories of relevance 

Category 

Category  A  –  High  rele-
vance 

Explanation 

Reports in the first category have a clear focus on ACP countries and present 
strong  and  direct  thematic  links  to  the  EQs  and  JCs.  They  cover  a  period 
which is almost entirely after the CPA has come into force (2003).  
Reports in this category have been read extensively and even their annexes 
have been taken into account for further in-depth analysis. 

2 Or even back to the 1950s (the Yaounde Agreements). 
3 The CPA was signed in 2000 and entered into force in 2003. It has been concluded for the period of 2000-2020. There 
have been two amendments already in order to adapt the partnership to new challenges and developments, e.g. climate 
change or regional integration (2005 in Luxembourg and 2010 in Ouagadougou). 
4 78 out of the 79 ACP countries are currently members of the CPA. The Republic of Cuba did not sign it. 
5 EU (2000): The Cotonou Agreement, Article 95; 4. 
6 The ToR provided a list of 107 reports to which were added the recently finished Evaluation of EU support to Environ-
ment  and  Climate  Change  and  the  Evaluation  of  Budget  Support  in  Burkina  Faso,  both  implemented  by  Particip.  Two 
evaluation reports close to final, namely Transport and Chad, have been taken into account as well. 

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Category 

Category B – Partial rele-
vance 

Category  C  – Limited  rel-
evance 

8 

Explanation 

Reports in the second category may be of relevance in temporal, thematic or 
geographical terms but not in all three dimensions at the same time, or only to 
a  lesser  extent.  The  links  between  their  subjects  and  the  EQs  and  JCs  are 
weaker  and  often  indirect.  Although  ACP  countries  are  covered,  they  neither 
represent the majority of the case studies, nor does the evaluation have a dis-
tinct  ACP  focus.  Similarly,  even  though  they  cover  a  period  during  which  the 
CPA has already entered into force, a considerable part of their evaluation pe-
riod is before 2003. 
Reports  in  this  category  have  been  approached  in  the  following  way:  First, 
their executive summaries and conclusions  were read. This guided a stream-
lined  reading  and  data  extraction  from  the  relevant  volumes  (and  annexes, 
where relevant).  

Reports in the third category only focus on ACP countries to a limited extent, 
if at all, and their thematic emphases promise very little to no information relat-
ed to the EQs and JCs. More often than not, their evaluation period was before 
the CPA entered into force, or in some cases, even before it was signed. 
Reports in this category have only been screened rapidly by concentrating on 
the  conclusions  and  recommendations  to  identify  key  lessons  that  might  be 
valid and helpful despite the limited relevance of the overall report. Information 
from these reports is relevant to the extent to which it helps to track the conti-
nuity between the CPA and the previous agreements.  

Annex  2  describes  in  detail  our  understanding  and  definition  of  relevance  in  the  context  of  the 
evaluation reports and our approach towards the categorization of the reports based on the estab-
lished relevance criteria. The annex also contains a full list of evaluation reports by category. 

3.2.2  Defining clear and unambiguous codes derived from the judgement criteria 
A set of codes represented the backbone of the data extraction process. These codes guided the 
analysis of the reports and helped structure the mass of information and establish direct links 
to  the  EQs.  It  has  therefore  been  essential  that  these  codes  were  well  defined  and  were  made 
clear to the whole team. 
Answers to EQs establish findings on the contribution of interventions to pursued objectives; they 
are  broken  down  into  JCs,  which  define  the  individual  aspects  of  success/failure;  and  indicators 
help identify the extent of change in qualitative and quantitative terms. In line with this logic, codes 
are components of the JCs that are derived from their substance. The sum of the codes builds up 
the  entirety  of  the  essential  elements  to  which  the  evidence  has  been  identified. This  process of 
bringing JCs to the operational level organised the reading work. 
Codes have been derived directly from the JCs. For example, EQ 8 seeks to identify the extent 
to which the CPA has contributed to the improvement of basic social infrastructure and services. 
The first underlying JC concentrates on the increase in the availability of health and education ser-
vices. The codes for this particular JC directly target the individual components (i.e.  availability of 
health services and availability of education services). 
In order to assure the unambiguity of our codes, they were discussed extensively within the team 
and also shared with the RG to ensure common understanding before the actual start of the analy-
sis. This process assured a homogenous approach to analysis. 

3.2.3  Reading, extracting and analysing information 
Once  reports  had  been  categorised  and  codes  had  been  developed,  the  actual  work  of  reading, 
extracting  and  analysing  the  information  could  be  started.  The  different  tasks  in  this  phase 
should  not  be  seen  as  totally  independent  from  one  another,  but  quite  the  contrary:  they  were 
closely interlinked and the transition from one to another was fluent. In fact, all tasks had to run in 
parallel in order to respect the foreseen calendar but also to allow for feedback loops and con-
tinuous quality assurance. During the process, there was close vertical interaction between the 
team leader and the rest of the team engaged in reading, extracting and analysing the information. 
A strong horizontal interaction also existed as to allow for comparison and improvement of the pro-
cess of extraction and analysis. 

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Guided by the codes developed in the second phase of the review, the reports were read and rele-
vant text segments were assigned to one or several corresponding codes (“coding”) with the tool 
MAXQDA. The analysis team worked with the software with a view to generate a harmonised da-
ta base, easily accessible to all and shared by all. Having a shared database of evidence from all 
members  facilitated  the  follow-up  tasks,  especially  answering  the  EQs.  This  approach  led  to 
building a rigorous database for the final review report. 
Based  on  the  structuring  efforts  made  in  the  first  phase  of  the  review,  the  junior  experts  treated 
every  report  differently  depending  on  the  category  to  which  it  was  assigned.  This  allowed  for  a 
quicker  and  more  focused  extraction  process  by  giving  the  junior  experts  the  possibility  to 
search relevant pieces of information with higher precision.  
The coded text segments in their entirety constituted the aggregated database of evidence (output 
of the MAXQDA extractions) which has again been rated based on the relevance of their original 
documents (a greater weight was attached to coded segments extracted from Category A reports). 
With  this  second  effort  of  rating  and  restructuring,  the  findings  were  pre-filtered  and  pre-
analysed  for  the final  step  of the  review,  and thus  allowed  a smoother and  faster  analysing  and 
synthesising phase.  
In parallel, the aggregated extractions were pre-analysed with the aim of further highlighting links 
to the EQs as well as to provide a first roughly outlined draft in order to prepare the team lead-
er’s  final  synthesis  and  writing.  This  intermediate  step  was  also  useful  to  identify  potential  infor-
mation gaps and to allow for a second and more targeted review of specific reports and/or addi-
tional documents (e.g. annexes or case studies) where necessary. 

3.2.4  Final analysis of the extractions and synthesis of the findings 
In the synthesis phase, the team leader analysed the restructured extractions in order to identify 
links to the EQs and to the achievements of the objectives of the CPA as depicted in the re-
constructed IL. The synthesis of the findings led to answering the EQs; where this was not possi-
ble, gaps of information were identified. As a last step, broader lessons learned from the evalua-
tions have been formulated.  
This work resulted in the presented Draft Final Report. It will be discussed in the RG meeting and 
comments will be incorporated into the Final Report. 
The contents of the final report will include: 

  an executive summary, 
  a review of the methodology and its implementation, 
 
  a presentation of evidence linked to the achievements of the objectives, 
  a  synthesis  of  the  answers  to  the  EQs,  presenting  information  gaps  and  lessons  learned 

the intervention logics (both diagrams and narratives), 

from the evaluations, 

  a detailed answer to each EQ, with the main sources of information. 

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10 

4  Reconstructed intervention logics (IL) 
The proposed IL is reconstructed on the basis of the CPA document and its evolution over time. 
The significant evolutions of the CPA through its different revisions are stressed below.  

4.1  Evolution of the Cotonou Partnership Agreement 
The  EU`s  relationship  with  the  ACP  Group  of  States  has  been  governed  by  agreements  dating 
back  to  the  Lomé  convention  in  1975,
aimed  at  supporting  ACP  states’  efforts  towards  self-
sustained development. The Cotonou Partnership Agreement (CPA), signed in 2000 and revised in 
2005 and 2010, is mainly funded by the European Development Fund (EDF), which operates ac-
cording  to  its  own  financial  regulations.  It  has  financial  autonomy  from  EU’s  budget  and  is  com-
posed of direct contributions from EU Member States.  
The  current  Cotonou  Partnership  Agreement  (CPA)
established  a  comprehensive  partnership for 
economic, social and cultural development, based on three complementary pillars: political dimen-
sion, economic and trade co-operation and development co-operation. With a focus on  long-term 
eradication of poverty, the co-operation aims at contributing to peace, security and democratic and 
political stability of the ACP states, with the ACP countries playing a strengthened and equal role in 
the international context. The parties committed themselves to acting together in order to gradually 
achieve the MDGs. Equality of partners and participation are key principles of the partnership and 
therefore political dialogue is essential for the co-operation to flourish.  
Since the signing of the CPA in 2000, new priorities and urgent needs have arisen in the interna-
tional context, prompting a revision of the  CPA in order to adapt to and accurately reflect current 
priorities  and  needs.  The  amended  version  of  the  CPA  was  signed  in  Luxembourg  in  2005.  The 
fundamental  acquis  of the  CPA  was not  changed.  However,  on  the  background  of  pressing  con-
cerns  brought  about  by  international  terrorism,  increased  fragility  and  conflict  situations  in  poor 
countries, global environmental threats and accompanying migratory flows, the EU committed itself 
even more to a development-driven agenda, including its non-aid policies. The MDGs became the 
targets and principles for development. The EU-ACP dialogue was made more systematic, struc-
tured and formal, with ownership and partners’ equality as underlying principles. The participatory 
approach was strengthened by opening partnerships to non-state actors and local authorities. The 
political  dimension  was  enlarged  to  include  security  issues.  The  added  references  to  combating 
proliferation of weapons of mass destruction represented a very important commitment for the In-
ternational Criminal Court and the Statute of Rome to proceed jointly in these areas.  
The second (very comprehensive) revision in 2010 reflected new priorities linked to the aid effec-
tiveness agenda  (Paris, Accra),  with  a stronger focus  on  the  ownership of  the  ACP  states of the 
design and implementation of the development agenda and the coherence of EU policies and pro-
grammes  and  their  alignment  with  long-term  development  strategies  of  the  ACP  states.  The  re-
vised  version  emphasised  the  importance  of  regional  integration  of  ACP  countries  including  in 
ACP-EU  relations and recognized  the continental  dimension  of  Africa, with the  African  Union  be-
coming a partner in the EU-ACP relationship. The mutual dependence between sustainable devel-
opment and peace and security and the necessity to address root causes of conflicts as early as 
possible  (regarding  fragile  situations)  were  acknowledged.  The  necessity  of  joint  approaches  to-
wards major challenges (e.g. food security, climate change, HIV/AIDS) was reinforced. The role of 
the Economic Partnership Agreements (EPAs), trade adaptation strategies and aid for trade in the 
light  of  the  expiry  of  preferences  at  the  end  of  2007  was  reaffirmed.  The  Cotonou  agreement, 
signed in Cotonou on 23 June 2000 and revised in 2005 and 2010, provides the basis for the de-
velopment of the reconstructed intervention logic. 

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4.2  Overall intervention logic 

4.2.1  Overview 
The flow of effects shown in the graphic presentation of the IL highlights the causal relationship of 
contribution among the different levels of the IL: 

  Level 1: activities (including the necessary inputs) put in place under the CPA; 
  Level 2: outputs (effects to which the activities have directly contributed at different levels)7; 
  Level 3: results (changes in the behaviour of the targeted beneficiaries89, to which the out-

puts have contributed at different levels); 

  Level 4: specific impacts (consolidated and sustainable changes in the status and the  be-
haviour  of  the  targeted  beneficiaries,  to  which  the  results  have  contributed  in  different 
ways); and 

  Level 5: global impacts (longer term changes in the quality of life corresponding to the ac-
tual goals of the CPA, to which the specific impacts have contributed at different levels). 

The causal relationships of contribution may occur between specific items in the different contigu-
ous levels. The stronger relationships, however, are systemic and occur between the levels in their 
complexity10. This is particularly true because the individual items in each level interact with each 
other. As such, it would be impossible to isolate the individual effects. 

Intervention logic diagram 

4.2.2 
Overall,  the  CPA  encompasses  a vast  array  of  interventions  and  diverse  support  measures  and 
activities  in  three  dimensions  –  political,  economic  and trade  co-operation  and  development  co-
operation  –  which have  built  a comprehensive framework  of  support for the  ACP  countries since 
the 1970s.  
The different clusters of activities contribute directly to generating a spectrum of outputs. One key 
aspect is the establishment of consultation mechanisms and regular and structured dialogue. An-
other  essential  aspect  is  the  increased  capacity of  the  ACP  states:  on  the  one hand,  it  concerns 
the  capability  to  respond  to  and  coordinate  matters  of  common  EU-ACP  interest;  on  the  other 
hand, public institutions are strengthened so as to enable them to act more democratically, trans-
parently and accountably, managing public policies and external aid within sound and participatory 
frameworks. Such increased capacity enables the ACP states to address their peace and security, 
economic and trade, social and environmental challenges. Another key aspect is the enhanced ca-
pacity  to  relate  and  act  at  the  regional,  sub-regional  and  continental  level  in  order  to  accelerate, 
strengthen and multiply the national processes.  
Moving to the level of results, the CPA contribution is indirect as the outputs must fit and adapt to 
the endogenous processes and the contextual factors in order to achieve the expected results. At 
the  national  level,  inclusive  and  equitable  democratic  processes  and  public  governance  will  be 
strengthened, dynamics towards diversified and competitive market economies will be enhanced, 
significant steps toward equitable access to social basic services will be achieved, and more effec-
tive responses to climate change and environmental challenges will be put in place. At the interna-
tional level, shared agendas and strategic alliances and joint approaches towards issues of com-
mon/global concern will emerge and the ACP countries will acquire a greater say in agenda-setting 
on the international stage. The regional dimension will enhance all country-level achievements and 
contribute to their sustainability, while allowing coping with global opportunities and threats. 

7 Normally such effects are considered to be under the control or under the direct influence of the activities put in place. 
8 As stated in the CPA (Art. 9), the actual  targeted beneficiaries of the CPA are the  ‘persons’, intended as the human 
beings and their communities (local, national, regional and continental). 
9 Such effects are considered to be out of the sphere of control and direct influence of the activities put in place and the 
related outputs, but in the sphere of their indirect influence (i.e. the influence they can exercise in combination with other 
contextual factors). 
10 For instance, under Pillar I, the activity of ‘political dialogue’ generates the output of ‘consultation mechanisms’, which 
influences  the  outcome  of ‘shared agendas’.  But such chain  of  effects  does  not  take  place  in isolation  without  a  close 
intertwining with all the other activities and outputs, namely those that address the contents of the dialogue, the consulta-
tion mechanisms and the shared agenda. 

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12 

These results, being systemic in their mutual interactions and creating synergies, are expected to 
drive deep structural changes in the mid- to long-term. In other words, they are expected to con-
tribute to several specific impacts, provided they will be entrenched in the endogenous processes 
of the societies and adapted to contextual factors. Ideally, ACP countries, individually and through 
their networks of regional, sub-regional and continental co-operation and integration, will be ena-
bled to build democratic societies, intertwined in economic and political relationships, characterised 
by  accelerated  and  inclusive  growth,  being  key  actors  in  the  world  challenges of  climate  change 
and environmental degradation.  
Ideally, this logical chain will have a global impact on worldwide sustainable peace and security, 
as well as reduce and eventually eradicate poverty, while ensuring a parity position of ACP coun-
tries in the international economic and political scene.  

4.2.3  Overall assumptions 
Overall, the causal relationships of contribution on which the reconstructed IL is built rely on a set 
of core assumptions, which transpire through the CPA and the individual interventions arising from 
its implementation. Such assumptions are not actually related to the features of the context, which 
may be more or less favourable to the implementation of the IL. Indeed, the validity of the CPA is 
not  limited  to positive external  scenarios. The  assumptions  regard rather  the  attitude of  the  part-
ners, their respect of the spirit of the partnership and their capacity to translate it into action. Such 
basic assumptions are highlighted below: 

  The framework of principles and values established in the CPA, including the links between 
peace, security and development and the reference to human rights and fundamental free-
doms will continue to be adhered to by the parties. 

  Common understanding frameworks are built to address priority issues, and mechanisms to 

further develop them are pursued. 

  Obligations  under  international  conventions  are  implemented  and  parties  cooperate  with 

 

each other at all levels. 
Interest and commitment of the parties will be maintained, adapted and developed through-
out the evolution of the context. 

  Equality of partners and ownership of the ACP countries are respected in CPA actions’ de-

sign and implementation. 

  Mobilisation  of  key  actors  in  ACP  countries,  together  with  governments,  including  Parlia-

ments, local authorities, civil society and private sector remains a priority. 

  The  EU  ensures  enhanced  and continued  coherence of  its  multiple policies  with the  CPA 

objectives and modalities. 

  Management procedures are transparent, efficient and easy to apply. 
  Joint institutions are functional (effective and efficient). 

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Figure 1 

Overall intervention logic 

13 

Source: Particip GmbH 

Review of the strategic evaluations managed by DEVCO 
Revised Final report – April 2016 – Particip GmbH 

ActivitiesOutputsGlobal impactsSpecific impactsOverall intervention logicResultsPolitical dimension•Political dialogue (Art. 8)•Essential elements regarding human rights, democratic principles and the rule of law, and fundamental elements regarding good governance (Art. 9, 10, 95 and 96)•Peace building policies, conflict prevention and resolution, response to situations of fragility (Art. 11)•Migration (Art. 13)Economic and trade cooperation•Negotiations of new trading arrangements (Art. 34 to 38)•Cooperation in international fora/WTO  (Art. 39 to  43)•Promotion of trade in services and other trade related areas (Art. 44 to 54)Development cooperation•Economic development (Art. 21 to 24)•Social and human development (Art. 25 to 27)•Regional cooperation and integration (Art. 28 to 30)•Thematic and cross-cutting issues (Art. 31 to 33)ACP countries being an integral part of multilateral international relationsStable and democratic political environments consolidatedIncreased share in international trade and world economyDiversified and stable economies attractive for foreign investment, with reduced dependency of specific commoditiesSustainable development: inclusive growth, cultural, social and environmentaldevelopment of the ACP statesAdvanced and consolidated regional, sub-regional and continental cooperation and integrationRegional, sub-regional and continental cooperation for peace and security strengthenedIntegrated regional, sub-regional  and continental networks enhance goods, persons and knowledge exchangeReduction and eventually eradication of povertyACP countries play a strengthened role in international economic and political relationshipsSustainable peaceand security worldwideSee overall assumptions in the narrative 
14 

4.3  Pillar I: Political dimension 

4.3.1  Overview 
The political dimension, as stated in the Partnership Agreement signed in 2000, intends to promote 
the consistency and relevance of ACP-EU co-operation strategies making it possible to address all 
issues of common interest. Article 8 of the CPA sets out the specific modalities for a regular, com-
prehensive, balanced and deep political dialogue aimed at strengthening co-operation and promot-
ing an effective system of multilateralism, which would mean a greater say of ACP countries in in-
ternational relations. Political dialogue is conducted in a flexible way, under either a formal or an 
informal framework and at the most appropriate territorial level. Regional organisations and nation-
al parliaments are also encouraged to participate. 
Issues of common interest constitute the basis for  co-operation and include a wide range of poli-
cies related to peace-building, conflict prevention, migration, respect for human rights, democratic 
principles,  rule  of  law  and  good governance.  Good  governance,  as  stated in the  CPA,  underpins 
the ACP-EU Partnerships.  
In 2005, the revision of the Partnership Agreement set out a more systematic and formal dialogue 
in  relation  to  three  key  areas:  human  rights,  democratic  principles  and  rule  of  law.  Through  this 
structured approach, a more transparent and efficient political dialogue is promoted. It shall serve 
as  a key  preventive  tool  for  situations  in  which  one Party  might  deem  necessary  to resort  to the 
consultation procedure foreseen in Article 96. In such situations, Annex VII of the CPA lays out de-
tailed  modalities  for  this  dialogue,  including  joint  identification  of  benchmarks  and  targets  for  hu-
man rights, democratic principles and rule of law, which are based on international standards and 
take into account the particular circumstances in each country.  
This  revision  also  broadened  the  thematic  scope  of  co-operation,  paying  special  attention  to  the 
subject of security and peace, where the relevant ACP regional organisations and the African Un-
ion  should  be  fully  involved.  Mutual  dependency  between  development  and  peace  and  security 
was recognised. The emphasis was put on conflict prevention and early responses to fragile situa-
tions. An active involvement of women in peace building and the need to address violence against 
women and children was acknowledged. Three security-related provisions were introduced in the 
CPA  with  regard  to  countering  proliferation  of  weapons  of  mass  destruction,  provisions  on  the 
Statute  of  the  International  Criminal  Court,  provisions  on  international  co-operation  in  the  fight 
against terrorism and illegal trafficking. 
The second revision of the CPA was concluded in March 2010 and included a clearer reference to 
the  EU’s  commitment  to  address  policy  coherence  for  development  in  a  targeted,  strategic  and 
partnership-oriented way, as well as stating a commitment to strengthen dialogue on this issue.  
The Cotonou agreement, signed on 23 June 2000 and revised in 2005 and 2010, provides the ba-
sis for the development of the reconstructed intervention logic. More concretely, Title II: the political 
dimension (Articles 8 to 13) as well as Annex VII, which deals with political dialogue in regards to 
human rights, democratic principles and rule of law have been taken into consideration. 

Intervention logic diagram 

4.3.2 
The  Pillar  I  contribution to the final goals  of  reduction and eventually  eradication of  poverty, sus-
tainable peace and security worldwide and a strengthened/equal position of the ACP countries in 
the  international  relationships,  is made  of three specific  impacts,  i.e.  three  medium-long  term  ex-
pected effects, as follows:  

  ACP countries being an integral part of multilateral international relations. 
  Stable and democratic political environments in the ACP countries maintained and consoli-

dated. 

  Regional, sub-regional and continental co-operation for peace and security strengthened. 
The intervention logic highlights the expected sequence of effects from the inputs and the activities 
put in place by the CPA, to the outputs and the results, so as to attain the specific impacts. Such 
logical chain of contribution is described below and responds to the basic assumptions identified in 
the introduction of the overall intervention logic (see section 4.2).  

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15 

4.3.2.1  Activities 
At the implementation level, the political dimension of the CPA is implemented by means of differ-
ent  Activities.  Most  of the  activities cover  different thematic  areas  which are  deeply  interrelated. 
One activity – the dialogue – is cross-cutting and highlights the key approach of any other CPA ac-
tivity, particularly under this pillar: 

  Regular engagement in a comprehensive, balanced and deep political dialogue; 
  Promotion of human rights, democratisation, consolidation of rule of law and good govern-

ance; 

  Support to political, institutional and legal reforms; 
  Support to peace building, conflict prevention and resolution; 
  Support to law enforcement, fight against terrorism and counter-measures to proliferation of 

weapons; 

  Engaging in EU/ACP and EU/Africa migration dialogue. 

4.3.2.2  Outputs 
The above mentioned activities generate a number of outputs related to the increased capacity to 
address and respond in a coordinated manner to matters of common concern such as conflict and 
fragility  situations,  security  threats  and  migration.  In  addition,  these  activities  provide  common 
ground for establishing mechanisms for consultation and strengthening democratic institutions’ ca-
pacity, transparency and accountability in public administration:  

  Consultation mechanisms incl. channels of communication and dialogue established; 
  Democratic  institutions’  capacity,  transparency  and  accountability  in  public  administration 

are strengthened; 

  Conflict  and  fragility  situations  addressed  through  preventive  and  comprehensive  ap-

proaches; 

  Compliance  of  public  interventions  with  international  disarmament  and  non-proliferation 

treaties boosted;  

  Capacity to address new or expanding security threats increased; 
  Co-operation in legal and irregular migration issues increased; 
  Regional, sub-regional and continental approaches to peace, security and democratic sta-

bility enhanced. 

4.3.2.3  Results  
The mechanisms and capacities created as outputs of the CPA will adapt to and interact with the 
endogenous processes of the ACP societies and with the existing exogenous factors, and thus will 
contribute to the achievement of the expected Results. Changes will be visible in terms of estab-
lished agreed priorities and shared agendas, in which the partners are committed. In the ACP so-
cieties, the democratic processes are enhanced, and the civil society advocacy as well as the role 
of the ACP Parliaments are strengthened. At the international level, operational strategic alliances 
between ACP and EU actors are in place. National and international policies increasingly include 
the  underpinning  of  respect  of  human  rights,  democratic  principles  and rule  of  law.  Improved  re-
sponses to fragility and conflict prevention are produced. Migratory flows are jointly addressed to 
enhance  management  and  control.  The  regional,  sub-regional  and  continental  organisations  be-
come an effective participatory tool for peace keeping and enforcing, security and democratic sta-
bility. 

4.3.2.4  Specific impacts 
The consolidation of such results over time and their interaction and coupling with the endogenous 
processes and other exogenous factors are expected to contribute to the higher level, longer term 
achievements synthesised in the specific impacts mentioned above. 
Such specific impacts will interact with the specific impacts of the other pillars and will contribute to 
the final impacts. 

Review of the strategic evaluations managed by DEVCO 
Revised Final report – April 2016 – Particip GmbH 

Figure 2 

Intervention logic for Pillar I: Political dimension (Articles 8 to 13) 

16 

Source: Particip GmbH 

Review of the strategic evaluations managed by DEVCO 
Revised Final report – April 2016 – Particip GmbH 

ActivitiesOutputsSpecific impactsResultsPillar I: Political dimension (Art. 8 to 13) Engaging regularly in a comprehensive, balanced and deep political dialogueConsultation mechanisms  incl. channels of communication and dialogue establishedACP countries being an integral part of multilateral international relationsPromotion of human rights, democratisation, consolidation of rule of law and good governanceStable and democratic political environments consolidated Supporting political, institutional and legal reformsRespect for human rights, democratic principles and rule of law underpins domestic and international policiesDemocratic processes enhanced and capacities in ACP countries’ civil society organizations and parliaments strengthenedDemocratic institutions’ capacity, transparency and accountability in public administration are strengthenedSupporting peace building, conflict prevention and resolutionSupporting law enforcement, fight against terrorism and counter-measures to proliferation of weaponsCompliance of public interventions with international disarmament and non-proliferation treaties boostedConflict and fragility situations addressed through preventive and comprehensive approachesEngaging in EU/ACP and EU/Africa migration dialogueResponses to fragility are improved and conflict situations prevented or resolved Migratory flows management and control enhancedCooperation in legal and illegal migration issues increasedAgreed priorities and shared agendas establishedStrategic alliances between ACP and EU actors are operational Regional, sub-regional and continental cooperation for peace and security strengthenedCapacity to address new or expanding security threats increasedFeedback loopRegional, sub-regional and continental approach to peace, security and democratic stability enhanced 
17 

4.4  Pillar II: Trade and economic co-operation 

4.4.1  Overview 
The objective of the economic and trade co-operation in CPA is to increase the parity of the ACP 
countries in the global economy by enhancing their production, supply and trading capacity as well 
as their capacity to attract investments, ensuring conformity with WTO provisions. The key princi-
ples of  Pillar  II  highlight the  importance  of  strategic  partnerships,  based on  a comprehensive ap-
proach and built on regional integration initiatives and differentiated responses according to the dif-
ferent national contexts.  
The  CPA  establishes  the  Economic  Partnership  Agreements  (EPAs)  as  the  key  trade-related  in-
strument. EPAs are WTO-compatible agreements, but also focus on ACP development, taking ac-
count their socio-economic circumstances and including technical support and training, as well as 
measures to promote knowledge transfer and strengthen public services. 
In 2010, the second revision of the CPA reinforced the role of consultation mechanisms between 
EU and ACP in trade-related issues and included the possibility to channel resources from the mul-
ti-annual financial framework through existing or new regional financing mechanisms. Any negative 
effect of liberalisation has to be taken into account with a view to maintaining significant preferen-
tial access of the ACP states within the multilateral trading system as long as it is feasible. Addi-
tionally,  it should be ensured that any unavoidable reduction in preferences is phased in over as 
long a period as possible. 
The Cotonou agreement, signed on 23 June 2000 and revised in 2005 and 2010, provides the ba-
sis for the development of the reconstructed intervention logic. More concretely, Title II: economic 
and trade co-operation (Articles 34 to 54) has been taken into consideration. 

Intervention logic diagram 

4.4.2 
The Pillar II contribution to the final goals of reduction and eventually eradication of poverty, sus-
tainable peace and security worldwide and a strengthened/equal position of the ACP countries in 
international relationships is made of three specific impacts, i.e. three medium-long term expected 
effects, as follows:  

 
Increased share in international trade and world economy with no damage for vital areas. 
  Diversified and stable economies attractive for foreign investment, with reduced dependen-

 

cy on specific commodities. 
Integrated  regional,  sub-regional  and  continental  networks  enhance  goods,  persons  and 
knowledge exchange. 

The intervention logic highlights the expected sequence of effects from the inputs and the activities 
put in place by the CPA, to the outputs and the results, so as to attain the specific impacts. Such 
logical chain of contribution is described below and responds to the basic assumptions identified in 
the introduction of the overall intervention logic (see section 4.2). 

4.4.2.1  Activities 
A number of  Activities can be identified at the implementation level. These are grouped into dif-
ferent “clusters” according to their aim: 

  Enhancing trade dialogue and supporting participation of ACP countries in multilateral trade 

negotiations; 

  Providing aid for trade; 
  Supporting regional trade and integration initiatives; 
  Supporting ACP countries’ capacity to negotiate, participate, monitor and implement inter-

national agreements; 

  Negotiating new WTO-compatible Economic Partnership Agreements; 
  Providing assistance for infrastructure upgrading and investment promotion; 
  Addressing  interconnectivity  of  infrastructure,  economic  diversification  and  trade  develop-

ment measures. 

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18 

4.4.2.2  Outputs 
The  different  clusters  of  activities  generate  a  number  of  outputs  related  to  the  capability  of  the 
ACP countries’ economies to adapt to conditions in international trade, i.e. the ability to cope with 
the positive and possible negative sides of trade liberalisation. The countries should be better posi-
tioned to negotiate and implement trade agreements and common understanding and interests on 
trade issues (incl. at the sub-regional and regional level) should be identified.  
The individual outputs are: 

  Mutual understanding of trade issues fostered; 
  Economic Partnership Agreements concluded and implemented; 
  Regional and sub-regional trade and integration agreements boosted; 
  Liberalisation process incl. reduction of trade barriers facilitated; 
  Measures taken to overcome possible negative impact of liberalisation; 
  ACP countries’ capacity to access to EU and other markets for their products and services 

improved; 

  ACP states‘ capacities to deal with new conditions in international trade enhanced; 
  ACP countries’ capacity to attract investments enhanced; 
  Common interests of the ACP and the EU in international economic and trade co-operation 

identified and furthered.  

4.4.2.3  Results 
The outputs mentioned above will adapt to and interact with the endogenous processes of the ACP 
societies and the existing exogenous factors, and thus will contribute to the achievement of the ex-
pected Results: 

  ACP countries will play a greater role in the design and implementation of trade agenda on 
the international stage, while maintaining their preferential treatments until they are neces-
sary to reduce some negative effects of liberalisation. 
In addition, ACP countries’ trade with the EU and the rest of the world, their level of infra-
structure and their attractiveness for foreign investment will be increased. 

 

  The  start  and further  development  of  diversified  economies  will  make  ACP  countries  less 

vulnerable to the dependence upon specific commodities. 

  Last but not least, regional, sub-regional and continental frameworks to establish networks 
of exchange for goods, persons and knowledge will be implemented and strengthened. 

4.4.2.4  Specific impacts 
The  consolidation  of  such  results  over  time,  their  interaction  and  their  coupling  with  the  endoge-
nous processes and other exogenous factors are expected to contribute to the higher-level, longer-
term achievements synthesised in the specific impacts mentioned above. 
Such specific impacts will interact with the specific impacts of the other pillars to lead toward the 
final impacts. 

Review of the strategic evaluations managed by DEVCO 
Revised Final report – April 2016 – Particip GmbH 

Figure 3 

Intervention logic for Pillar II: Economic and trade co-operation (Articles 34 to 54) 

19 

Source: Particip GmbH 

Review of the strategic evaluations managed by DEVCO 
Revised Final report – April 2016 – Particip GmbH 

ActivitiesOutputsSpecific impactsResultsPillar II: Economic and trade cooperation (Art. 34 to 54)ACP countries’ capacity to attract investments enhancedACP-EU and international trade and investment flows increasedLiberalisation process incl. reduction of trade barriers facilitatedCommon interests of the ACP and the EU  in international economic and trade cooperation identified and furtheredACP countries capacity to access to EU and other markets for their products and services improvedNegotiating new WTO-compatible Economic Partnership AgreementsProviding aid for tradeMeasures taken to overcome possible negative impact of liberalisationDiversification of economies and reduced economic vulnerability developedProviding assistance for economic infrastructure upgrading and investment promotionSupporting ACP countries’ capacity to negotiate, participate, monitor and implement international agreements Supporting regional trade and integration initiativesEnhancing trade dialogue and supporting participation of ACP countries in multilateral trade negotiationsACP states ‘ capacities to deal with new conditions in international trade enhancedACP countries play an active role in setting and conducting agenda in international trade fora and organisationAddressing interconnectivity of infrastructure, economic diversification and trade development measuresMutual understanding of trade issues fosteredRegional and sub-regional trade and integration agreements boostedRegional, sub-regional, and continental trade and integration frameworks implementedand strengthenedIncreased share in international trade and world economyDiversified and stable economies attractive for foreign investment, with reduced dependency on specific commoditiesIntegrated regional, sub-regional and continental networks enhance goods, persons and knowledge exchangeFeedback loopEPAs concluded and implemented 
20 

4.5  Pillar III: Development co-operation 

4.5.1  Overview 
Overall, the Cotonou Partnership Agreement aims at contributing to reducing poverty, sustainable 
peace and security and a stronger position of the ACP countries in the world economic and political 
relationships. After the 2010 revision, progress towards the attainment of the Millennium Develop-
ment Goals was incorporated as a guiding principle.  
The CPA proposes an integrated approach that incorporates economic, social and human, cultural, 
environmental and institutional elements that must be locally owned. EU and ACP states and their 
partners  shall  work  together  to establish a  consolidated  and effective strategic framework  and to 
measure  progress  towards  results.  The  relevant  support  framework  establishes  the  principle  of 
mainstreaming into all areas of co-operation the following three horizontal or cross-cutting themes: 
gender equality, environmental sustainability, and institutional development and capacity building.  
The Agreement puts emphasis on three focal areas for support: economic development, with a fo-
cus on private sector development and investment, macroeconomic and structural policies and re-
forms,  and  sectoral  policies;  social  and  human  development,  focusing  on  social  sector  policies, 
youth issues, and cultural development; and regional co-operation and integration. 
In 2010, the second revision of the CPA recognized the importance of food security issues, equita-
ble and sustainable distribution of water resources and the key role of fisheries in ACP countries. 
In  the  social  dimension  of  the  development  co-operation,  although  education  and  health  were 
prominent before as well, additional consideration was given to several aspects, such as recogni-
tion  of  tertiary  education  and  support to safety  nets.  Emphasis  on  capacity  building  in support  of 
ACP regional co-operation and integration was strengthened, including economic, conflict preven-
tion and security issues. Current global challenges, such as climate change and state fragility were 
included as well.  
The Cotonou agreement, signed on 23 June 2000 and revised in 2005 and 2010, provides the ba-
sis  for  the  development  of  the  reconstructed  intervention  logic.  More  concretely,  Title  I:  develop-
ment strategies (Articles 19 to 33), has been taken into consideration. 

Intervention logic diagram 

4.5.2 
The Pillar III contribution to the final goals of reduction and eventually eradication of poverty, sus-
tainable peace and security worldwide and a strengthened/equal position of the ACP countries in 
the international relationships is made of two specific impacts, i.e. two medium-long term expected 
effects, as follows:  

 

Inclusive  sustainable  growth,  through  economic,  cultural,  social  and  environmentally  sus-
tainable development of ACP countries; and 

  Advanced  and  consolidated  regional,  sub-regional  and  continental  co-operation  and  inte-

gration. 

The intervention logic highlights the expected sequence of effects from the inputs and the activities 
put in place by the CPA, to the outputs and the results, so as to attain the specific impacts. Such 
logical  chain  of  contribution  is  described  below  and  responds  to  a  number  of  basic  assumptions 
identified in the introduction of the overall intervention logic (see section 0). 

4.5.2.1  Activities 
Different types of Activities can be identified at the implementation level. These are grouped into 
“clusters” according to their areas of intervention: 

  Supporting macroeconomic and structural reforms, budgetary adjustment and fiscal reform; 
  Supporting policies and reform of social infrastructure and services; 
  Promoting local ownership and private sector participation in economic and social reforms; 
  Supporting  social  dialogue,  development  of  policies  and  systems  of  social  protection  and 

cohesion; 

  Supporting  policies  and  programmes  in  climate  change  (e.g.  renewable  energy  sources, 

low-carbon technologies); 

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21 

  Supporting  policies  and  programmes  in  environmental  protection  and  natural  resource 

management; 

  Supporting policies and programmes on gender equity and equality; 
  Supporting  efforts  to  develop  and  strengthen  public  administration  reform  and  good  gov-

ernance in ACP countries; 

  Supporting capacity development in management and co-ordination of external aid; 
  Supporting regional and sub-regional dialogue, to help fix shared standards, common infra-

structure and joint development tools.  

4.5.2.2  Outputs 
Through the cooperative work of ACP and EU actors in a number of areas of common interest, the 
following outputs should be generated:  

  Public finance and fiscal management of ACP countries improved; 
  Reinforced local, national and regional frameworks for equitable access to: 

  economic activities and productive resources; 
  basic social infrastructure and services;  

  Capacity  to  address  climate  change  and  vulnerability  and  environmental  management 

strengthened; 

  Measures to ensure equitable and equal gender access taken; 
  Administrative,  economic  and  democratic  governance  at  the  local,  national  and  regional 

levels enhanced; 

  Space for NSA and CSO enhanced; 
  Regional and sub-regional frameworks for business,  social standards, and exchanges en-

hanced. 

4.5.2.3  Results 
The outputs mentioned above will adapt to and interact with the endogenous processes of the ACP 
societies and the existing exogenous factors, and will contribute to enabling development actors – 
people,  enterprises,  communities (local,  national,  regional)  –  to put  in place  new  behaviours  and 
express new dynamics (results) towards: 

  The establishment of efficient and competitive market economies with a key role of private 

sector;  

Increased employment and food security; 
Increased control of climate-related challenges and reduction of vulnerability;  
Improved natural resource balance;  

  More equitable access to the basic services and distribution of growth;  
 
 
 
  Stronger gender equity, respect of minorities, rule of law and pluralism; and  
  An effective regional dimension acting as a key multiplier. 

4.5.2.4  Specific impacts 
The  consolidation  of  such  results  over  time,  their  interaction  and  their  coupling  with  the  endoge-
nous processes and other exogenous factors are expected to contribute to the higher-level, longer-
term achievements synthesised in the specific impacts mentioned above. 

Review of the strategic evaluations managed by DEVCO 
Revised Final report – April 2016 – Particip GmbH 

Figure 4 

Intervention logic for Pillar III: Development co-operation (Articles 19 to 33) 

22 

Source: Particip GmbH 

Review of the strategic evaluations managed by DEVCO 
Revised Final report – April 2016 – Particip GmbH 

Reinforced local, national and regional frameworks for equitable access to: •economic activities and productive resources;•basic social infrastructure and services;ActivitiesSpecific impactsResultsPillar III: Development cooperation (Art. 19 to 33)Private sector and civil society key development actorsEfficient and competitive market economies establishedSupporting macroeconomic and structural reforms, budgetary adjustment and fiscal reformSupporting  policies and reform of social infrastructure and servicesSupporting policies and programmes in climate change (e.g. renewable energy sources, low-carbon technologies)Supporting efforts to develop and strengthen public administration reform and good governance in ACP countriesPublic finance and fiscal management of ACP countries improvedSustainable development: inclusive growth, cultural, social and environmental development of the ACP statesAdvanced and consolidated regional, sub-regional and continental cooperation and integrationEquitable access to resources and services and distribution of growth improvedAdministrative, economic and democratic at the local, national and regional levels enhancedRule of law, social justice, pluralism in the societies, and CSOs strengthenedOutputsPromoting local ownership and private sector participation in economic and social reformsSupporting social dialogue, development of policies and systems of social protection and cohesionPublic institutions’ role as a positive force for growth and development strengthened Space for NSA and CSO enhancedVulnerability to climate-related threats decreasedSupporting capacity development in management and coordination of external aidCapacity to address climate change and vulnerability and environmental management strengthenedMeasures to ensure equitable and equal gender access takenSupporting policies and programmes in environmental protection and natural resource managementSupporting policies and programmes on gender equity and equalityLimitations to gender access and discrimination reducedSupporting regional and sub-regional dialogue to help fix shared standards, common infrastructure and joint development toolsRegional and sub-regional frameworks for business, social standards, and exchange of persons enhanced Feedback loopIncreased employment, agricultural productivity and food security 
23 

5  Evidence linked to the evaluation questions 
The  overall  intervention  logic  and  the  intervention  logics  for  the  individual  pillars  constitute  the 
backbone  of  the  review.  For  this  review,  twelve  EQs  have  been  formulated  by  DG  DEVCO  and 
commented on by the team. They shed light on some critical points of the intervention logics and 
are broken down to more concrete judgement criteria to help operationalise the actual review pro-
cess. The EQs are thought-through, clear, and follow a traceable logical path. They constitute the 
basis for the development of codes, as in the proposed methodology. The following table presents 
an overview of the EQs, their coverage and attribution to the respective pillar of the CPA: 

Table 2 

The evaluation questions 

No. 

EQ 1 

EQ 2 

EQ 3 

EQ 4 

EQ 5 

Evaluation question 

Coverage 

CPA Pillar 

To what extent has policy and political dialogue 
at different levels (national, regional and through 
the joint EU-ACP institutions) facilitated the es-
tablishment of agreed priorities and shared 
agendas? 

To what extent have the mechanisms mentioned 
in the articles 8, 96 and 97 (i.e. political dia-
logue, consultation procedure, appropriate 
measures, and suspension of the agreement) 
contributed to meaningful improvements in the 
field of the essential and fundamental elements 
(human rights, democratic principles, rule of law 
and good governance) in ACP countries? 

To what extent has the implementation of the 
different instruments and approaches of the 
CPA improved peace and security in ACP coun-
tries/regions and has enhanced their capacity to 
cope with crises? 

To what extent have the provisions from article 
13 of the CPA contributed to meaningful im-
provements in addressing the structural con-
straints associated with the migratory flows? 

To what extent have EU interventions under the 
CPA (new trading arrangements, dialogue, co-
operation programmes) fostered the smooth and 
gradual integration of the ACP States into the 
world economy and enabled the ACP states to 
play a full part in international trade? 

Policy and political dia-
logue 

Human rights, democra-
cy, rule of law and good 
governance 

Peace and security 

Migration 

I. pillar 

Integration of ACP states 
into the world economy 
and their share in inter-
national trade 

II. pillar 

EQ 6 

To what extent has mutual co-operation be-
tween EU and ACP countries improved the iden-
tification and furthering of common interests in 
international fora? 

EU-ACP international 
economic and trade co-
operation 

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24 

No. 

EQ 7 

EQ 8 

EQ 9 

Evaluation question 

Coverage 

CPA Pillar 

To what extent has the CPA contributed to mac-
roeconomic growth/stabilisation and institutional 
reforms and policies at national and regional 
level resulting in a favourable environment for 
investment and the development of the private 
sector? 

To what extent has the CPA contributed to im-
proved coverage, quality and access to basic 
social infrastructure and services? 

To what extent has the CPA contributed to the 
attainment of substantial results on cross-cutting 
issues? 

Macroeconomic reforms, 
private sector and in-
vestment,  

Social infrastructure and 
services 

III. pillar 

Cross-cutting issues 

EQ 10  To what extent has the design and implementa-
tion of EU interventions adequately delivered on 
poverty reduction and addressed the needs of 
the most vulnerable groups? 

Poverty reduction and 
the needs of most vul-
nerable groups 

EQ 11  To what extent has the work of the joint institu-
tions contributed to the results achieved by the 
CPA? 

Joint institutions 

EQ 12  To what extent has the EU mix of "tools" (in-

Mix of tools 

Process 

struments, approaches and financing modalities) 
and the co-management system contributed to 
reaching the goals of the ACP-EU partnership? 

The EQs can be linked to one or more of the five DAC evaluation criteria (relevance, effectiveness, 
efficiency,  impact  and sustainability),  as well  as  coherence and EU  added  value.  These linkages 
are illustrated in the following table. 

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Table 3 

Coverage of the evaluation criteria by the evaluation questions 

25 

Evaluation criteria 
y
t
i
l
i

Question 

EQ 1 on policy and political 
dialogue 

EQ 2 on human rights & 
democratic principles 

EQ 3 on peace & security 

EQ 4 on migration 

EQ 5 on international trade 
and world economy 

EQ 6 on regional trade co-
operation 

EQ 7 on private sector & 
macroeconomic stability  

EQ 8 on social infrastruc-
ture & services 

EQ 9 on cross-cutting is-
sues 

EQ 10 on overall reduction 
of poverty 

EQ 11 on joint institutions 

EQ 12 on mix of tools 

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n
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y
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f
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b
a
n
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t
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S

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t
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m

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The level of evidence linked to the EQs and JCs will be assigned to three categories that combine 
quantitative and qualitative aspects and have been defined as follows: 

  High: Extensive and substantial information, thorough analysis on ACP countries and clear 

examples informing the JC occur frequently; trends can be easily identified over time. 

  Medium: Relevant and specific information and/or less focused analysis on ACP countries 
and/or a number of concrete examples informing the JC occur  less frequently; trends can 
be identified but not always confirmed.  

  Low: Limited or no specific information on ACP countries and very few examples are avail-

able; it is not possible to establish trends over time. 

Each summary per JC contains the level of evidence (defined as above), the number of reports on 
which  the  evidence  is  based  (a  purely  quantitative  aspect),  and  where  possible,  an  evolution  or 
trend was described. More information is to be found in 9.5.  

5.1  EQ 1 – Political and policy dialogue 

EQ 1 

To what extent has political and policy dialogue at different levels (national, regional 
and through the joint EU-ACP institutions) facilitated the establishment of agreed 
priorities and shared agendas? 

Main  sources:  Evaluating  co-ordination  and  complementarity  of  country  strategy  papers  with  na-
tional development priorities (2006), Thematic Evaluation of the EC support to Good Governance 
(2006); Thematic Evaluation of the European Commission support to respect of Human Rights and 

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26 

Fundamental  Freedoms  (2011),  Evaluation  of  the  European  Union’s  Trade-related  Assistance  in 
third Countries (2013), Evaluation of the European Union’s Support to Private Sector Development 
in Third Countries (2013),  Evaluation  of  EC  aid  delivery  through  civil  society  organisations.  Also, 
diverse country/Regional evaluations (including country evaluations on Budget Support) have con-
tributed to inform this EQ (for example Cameroon 2014 and Mozambique 2007). 

5.1.1  Summary answer 

This  EQ  addresses  the  dialogue  as  the  method  of  implementation  of  the  CPA  to  identify 
shared priorities and implement shared agendas. There is very little evidence in the evaluations on 
political dialogue. When mentioned, it refers mainly to essential and fundamental elements (Article 
9)  and  not  to  the  comprehensive  political  dialogue  (Article  8).  This  is  due  to  the  fact  that,  until 
EEAS creation, DEVCO evaluations did not have the mandate to work on political issues, including 
dialogue11.  
Political  dialogue,  apart  from  specific  areas  such  as  human  rights  and  democracy,  is  often  re-
ferred to in Budget Support (BS) evaluations as a missing link to enhance policy dialogue, particu-
larly when there are diverging interests between the partners, and/or political economy obstacles to 
the implementation of the agreed reforms12. 
Policy dialogue is widely referred to in the evaluations. Although it should be the method for pro-
gramme  identification,  planning  and  monitoring,  the  process  is  sometimes  weak,  thus  showing 
ownership  and  commitment  problems  that  should be  addressed  through  political  dialogue.  Policy 
dialogue is a core input of BS programmes. Especially in GBS, its strategic dimension is very ambi-
tious, although in the last few years the financial and political leverage of GBS has decreased and 
the related dialogue has become more formal and less effective. 
NSAs are often associated with policy dialogue and, according to the CPA, should be linked with 
political dialogue. The evaluations do not contain sufficient information in their participation in the 
political dialogue. As far as policy dialogue is concerned, such participation is not always systemat-
ic, particularly  when it comes to Parliaments’ and local governments’ involvement in the dialogue 
related to significant sectoral programmes, e.g. PFM in the case of both and service delivery in the 
case of local governments. 
No evidence on the perception and visibility of the CPA. 

5.1.2  Answers to the judgement criteria 

5.1.2.1  JC 1.1 Agreed priorities and shared agendas established and implemented 

Level of evidence: High 
Number of evaluations: 72 
Trend: This responds to the original approach since the early stage, but it has received a complete-
ly new impetus with the revision of the Agreement in 2005 and the practice of budget support (BS) 
since the early 2000s. 
Although the EQ 1 and this JC fall under Pillar 1, here is the most appropriate section to as-
sess the dialogue as a whole, including both political and policy dialogue, as the key work-
ing method of the CPA, which cuts across all Pillars. 

The political dialogue has specific venues and scheduling regulated by Article 8 of the CPA. Given 
its comprehensive scope, it should be addressed whenever high-level convergences, clarifications 
and actions are needed for the sake of the co-operation programmes. The evaluations provide very 

11 After the establishment of the European External Action Service (EEAS), the country evaluations should have included 
a consideration of the political dimension of the EU country level intervention. The references to such dimension, howev-
er, even in the most recent evaluations, are limited. 
12 Political dialogue is regulated by the Art. 8 of the CPA. At country and regional level it should be carried out by the re l-
evant institutions of the two parties. It should cover “all the aims and objectives” of the CPA and “encompass cooperation 
strategies, including the aid effectiveness agenda, as well as global and sectoral policies”. Policy dialogue is the method 
to manage the cooperation strategy, including programming and implementation. Political dialogue and policy dialogue 
should be deeply combined, as policy dialogue in the different areas should inform political dialogue and the latter should 
ensure the mutual commitment toward the agreed policy agendas. 

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27 

little  information  on  political  dialogue,  apart  from  the  reference  to  political  dialogue  as  a  crucial 
support for policy dialogue. 
On the other hand, policy dialogue and the related search for shared priorities of action represent 
the basic approach through which the co-operation between the Community and the ACP states is 
planned and implemented. 
Political and policy dialogue are crucial for establishing country and regional strategies and the 
content  of  the  related  programmes.  In  a  number  of  countries,  however,  the  Government’s  com-
ments  seem  to  be  an  issue  of  formality  rather  than  an  opportunity  for  dialogue  and  debate  (e.g. 
Angola, Mauritius), although it should be noted that the EC CSPs are among the most detailed13. 
Policy  dialogue  in  Budget  support  is the key  tool  for  establishing shared priorities and ensuring 
that the financial and technical resources put in place are used accordingly (Mozambique, Uganda, 
Burkina Faso14 and others). However, budget support dialogue presents some weaknesses, espe-
cially in the last decade. GBS in the ACP countries seems to have partly lost its leverage and the 
related dialogue is more and more diluted in formal structures (e.g. Uganda, Mozambique, Burkina 
Faso), often including all donors, meeting a few times a year without a substantial exchange.  
At  the sectoral  level,  the  quality  of  policy  dialogue  –  although  it remains focused  on key  sectoral 
policy issues – is often hampered due to the disputes related to the performance assessment for 
disbursement. “There  is a conflict for the  EU  arising from  two different roles (auditors and  part-
ners in dialogue) which contributes to the low level of openness of the Government for discussing 
performance problems and looking for shared solutions” (e.g. Tanzania). 
The effectiveness of policy dialogue is dependent on the interest of the partner countries in the 
specific sectors and themes involved, but also on the political emphasis of the EU (Burundi 2014). 
Issues that are not specifically addressed as a key priority or are considered cross-cutting risks to 
be overlooked, such as (in some cases) governance, gender, environment and climate change or 
trade capacity building and regional standards (e.g. Angola, Guyana). 
Combining  political  and  policy  dialogue  is  a  prominent  CPA  challenge.  The  evaluations  show 
cases where such combination has been strong (e.g. Uganda after 2010), but also cases where it 
has been weak (e.g. Burkina Faso, Haiti 2010-2014). In general, such a combination is not particu-
larly clear and effective, as political dialogue under Article 8 does not seem to  systematically ad-
dress the political bottlenecks related to CPA co-operation, and some evaluations that refer to polit-
ical dialogue mention areas such as justice and human rights, which are rather issues under Article 
9 (e.g. Cameroon). 

5.1.2.2  JC 1.2 Local authorities, national parliaments and non-state actors involved in the 

implementation of the partnership 

Level of evidence: High 
Number of evaluations: 28 
Trend: In the last decade, the emphasis on the participation of Parliaments and NSAs in dialogue 
has become stronger. 

CPA has contributed to the promotion of a conducive legal framework for NSAs to become full-
fledged development  actors  and  allow  for  a more  ambitious  use  of  the  CSO  aid channel.  CPA 
support to NSAs has significantly increased in the  second half of the 2000s after the adoption of 
the participatory agenda15. In a variety of partner countries (across the different regions), promising 
steps have been taken to effectively involve a wide range of ‘non-state actors’ as well as local 
governments in (sector) policy dialogue and, to a minor extent, also in political dialogue process-
es16. Often this has been done with the agreement of the partner country. In many cases, however, 

13 Evaluating co-ordination and complementarity of country strategy papers with national development priorities, 2006 
14 Here Burkina Faso is mentioned referring to a BS evaluation of which the final draft has been approved, but not yet 
published. 
15 Evaluation of EC aid delivery through civil society organisations (2008). 
16 Thematic evaluation of the EC support to good governance (2006). 

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the  EU  has  had  to exercise pressure  to  ensure genuine  participation  of other  actors than central 
governments. In still other instances, the EU faces fierce government resistance (e.g. Ethiopia17).  
Evidence from the CSP/RSP shows that the line between support for and through civil society is 
often blurred. Despite the huge increase in NSA support programmes, the EC approach to CSOs 
as an aid delivery channel still ranges from a strategic vision on the specific added value of CSOs 
to  a  purely  instrumental  or  ephemeral  consideration  of  CSOs,  although  the  more  recent  evalua-
tions show some significant improvements (e.g. Haiti, Jamaica) as a result of the significant guide-
lines, orientations and training produced by the Commission18. 
There  are  significant  examples  of  NSAs  participation  in  the  identification  and  design  of  CSPs, 
(e.g. Fiji, Senegal), but this is not yet a consolidated practice. In areas regarding economic policies 
and  trade19  and/or  monitoring  public  expenditure  (e.g.  Budget  support)  and  support  to  good gov-
ernance and anti-corruption, the role of CSOs is still behind the actual potential. 
Further  efforts,  however,  are  required  to  improve  the  quality  of  participation  of  Parliaments  and 
local  governments  in  both  planning  and  implementation.  Indeed,  local  governments  are  rarely 
addressed as actors of dialogue. There are significant but rather isolated examples of specific sup-
port to local leadership (e.g. Haiti). There are not significant examples of accompanying measures 
to support the parliaments in the framework of BS. 

5.1.2.3  JC 1.3 CPA20 recognised and understood by the relevant authorities/interest groups 
at the different levels and perceived as still responding to critical needs and prob-
lems 

Level of evidence: Low 
Number of evaluations: 25 
Trend: There is no evidence on recognition and understanding of the CPA 

5.1.2.4  JC  1.4  Unintended effects  have  played  a  minor/major  role in the  attainment  of  the 

results 

Level of evidence: Low  
Number of evaluations: 2 
Trend: There is no evidence on unintended effects. 

5.2  EQ 2 – Human rights, democracy, rule of law and good governance 

EQ 2 

To what extent have the mechanisms mentioned in the articles 8, 96 and 97 (i.e. po-
litical dialogue, consultation procedure, appropriate measures, and suspension of 
the agreement) contributed to meaningful improvements in the field of the essential 
and fundamental elements (human rights, democratic principles, rule of law and 
good governance) in ACP countries? 

Main  sources:  External  Evaluation  of  Community  Aid  concerning  positive  actions  in  the  field  of 
Human  Rights  and  Democracy  in  ACP  Countries,  1995-1999  (2000),  Thematic  Evaluation  of  the 
EC support to Good Governance (2006), Thematic Evaluation of the European Commission sup-
port to respect of Human Rights and Fundamental Freedoms (2011), Thematic Evaluation of Euro-

17  Thematic  evaluation  of  the  European  Commission  support  to  respect  of  human  rights  and  fundamental  freedoms, 
2011. 
18 It is also recognized that important efforts have been made by relevant Commission services to provide guidance to 
EUDs in their work with CSOs. In ACP countries this support has been translated into guidelines (1- “Guidelines for EC 
Delegations  on  the  implementation  of  CPA  provisions  regarding  NSA”,  2003;  -2  “Guidelines  on  Principles  and  Good 
Practices for the Participation of Non-State Actors in the development dialogues and consultations”, 2004; 3- Orientation 
note on micro-projects funded under the EDF, 2007); seminar and exchanges on governance (Tanzania, 2006; Ethiopia, 
2008) or focused specifically on CSO issues (Benin, 2007). Also facilitation of thematic networks on civil society (e.g. in 
West Africa) has been promoted. 
19 Evaluation of the EU’s trade-related assistance in third countries (2013). 
20 When mentioning CPA, all its instruments, tools and procedures should be included. 

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pean Commission Support to Justice and Security System Reform (2011). Country and/or regional 
reports provided additional examples (for example Angola 2009 and Timor Leste 2015). 

5.2.1  Summary answer 

Especially  in  the  last  decade,  the  CPA  has  strongly  emphasised  the  issues  related  to  human 
rights,  democracy  and  broad  governance.  Recently,  specific  tools  such  as  the  State  Building 
Contracts in fragile states and Sector Wide Programmes to support good governance have been 
put  in  place.  Support  to  electoral  and  democratic  processes  has  been  multiplied  and  HR  was 
brought into the focus of the political agenda (e.g. Timor Leste, Angola, Nigeria or Pacific region). 
The results, however, are mixed and a number of difficulties are identified: difficult mainstreaming 
in  the  country  programmes  and  sometimes  reluctance  of  partners;  compartmentalisation  and/or 
fragmentation of the interventions and tools and insufficient capacities; low political leverage of the 
EU and reduced financial leverage of the CPA in several countries. 
Political dialogue is directly mentioned in the evaluations with a reference to dialogue on HR and 
Democracy  (Article  9)  and  not  to  the  broader  political  dialogue  as  in  Article  821.  This  broader  di-
mension  is  often  mentioned  to  highlight  its  weakness  and  difficult  integration  with  the  policy  dia-
logue. An attempt to establish an explicit and shared good governance platform at the country lev-
el, through the Governance Initiative of the 10th EDF, has been abandoned. 
Suspension. This tool is regulated by art. 96 and 97 (including consultations) and has only been 
used in a limited number of circumstances. It has also been shown to have some strong contrain-
dications,  although  its  existence  and  possible  use  is  a  factor  of  credibility  for  political  and  policy 
dialogue (Madagascar, but also BS evaluations in Uganda and Burkina Faso). 
Several  negative  effects  are  associated  with  the  use  of  suspension,  which  may  be  mitigated 
through the adoption of adapted/tailored measures. 

5.2.2  Answers to the judgement criteria 

5.2.2.1  JC 2.1 Improvements have been made in the field of human rights, democratic prin-

ciples, rule of law and good governance 

Level of evidence: Medium-high 
Number of evaluations: 87 
Trend: Strong focus since the late 1990s. 

Over the period under consideration (2000-2015), the CPA has mixed records in the field of human 
rights, democratic principles, rule of law and good governance. Despite the persistence of a com-
partmentalised and/or fragmented approach, a lot has been done in HR and democracy, especial-
ly to support the electoral processes and, particularly in the last period, HR have been brought to 
the forefront of the political agenda (e.g. Timor Leste, Angola, Nigeria or Pacific region). In Zambia, 
a  transparent  electoral  process  has  been  supported  and  several  successful  EU  EOM  (Electoral 
Observation  Missions)  were  deployed  over  the  period  2005  -  2010  in  Ivory  Coast  (2010),  Sierra 
Leone (2007) and Timor-Leste (2002, 2007). 
In  regards  to  broader  governance  issues  (economic  governance,  corruption  and  transparency, 
access to and equity of justice and rule of law), interventions have multiplied since the early 2000s. 
General  budget  support  programmes  contribute  to  improved  PFM  and  budget  transparency  and 
sometimes contain other specific sectoral targets. Over the last decade, however, there has been 
an attempt to establish rather comprehensive thematic (or  sub-sectoral) approaches. These have 
included  sectoral  and  sub-sectoral  strategies,  funded  through  sectoral  budget  support  and  other 
projects, including capacity building and involvement of civil society and other NSAs (e.g. Rwanda 
and Chad security and justice programmes). Very recently, a specific tool to address comprehen-
sive  governance  issues  in  fragile  states  (State  Building  Contract)  has  been  shaped.  Despite  the 
priority of this theme has increased over the years, according to the evaluations, there are still no 
adequate  reference  frameworks  (either  global  or  sectoral),  to  ensure  proper  co-ordination  of  the 
various EU actions between themselves and with the MS. 

21 See footnotes in EQ 1. 

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Political contexts and/or political will are important. In some cases the EU support has contribut-
ed  to  the  improvement  of  HR  but  political/institutional  crises  have  reversed  the  trend  (Burundi, 
Ethiopia  and  Kenya),  or  actions  have  not  followed  the  engagements  (Madagascar,  Burundi, 
Mozambique  –  especially  regarding  performance  of  justice,  courts  and  prisons).  Fragmentation 
and limited capacities of CSOs also limit the scope and coverage of human rights interventions. 
Comprehensive support to broad governance and human rights require a strong political leverage 
that the EU does not always put in place22, despite the many instruments provided by the CPA. 
There  are  also  limits  in  capacities  and  procedure-related  bottlenecks:  for  instance  the  rigid 
budget lines are not always accessible (OCTs) and limited complementarity between them further 
hampers their efficiency as well as not always well-adapted procedures and funding modalities. 

5.2.2.2  JC 2.2 The CPA mechanisms (political dialogue, consultation procedure, appropri-
ate measures, and suspension of the agreement, including its legally binding char-
acteristic) have played a substantial role in the achievement of the improvements 

Level of evidence: Medium  
Number of evaluations: 29 
Trend: Strengthened after the 2005 revision. 

Political dialogue is a fundamental tool of the CPA, especially after its 2005 revision. It is regulat-
ed by art. 8 of the CPA, which highlights its large scope, with a focus on both the co-operation and 
aid  effectiveness  agenda,  on  the  one  hand,  and  the  broader  political  issues  ‘of  mutual  concern’, 
such as security, democracy, human rights, rule of law, etc., on the other hand. Article 8 also men-
tions a complex system of formal and informal multilevel political dialogue. 
In practice,  however,  the  main focus  of  political  dialogue  is  still  on  human  rights, key  democratic 
concerns  and  security,  whilst  the  connection  with  the  co-operation  programme  seems  weak 
(as  shown  by  the  most  recent  BS  evaluations).  Furthermore,  political  dialogue  is  increasingly 
formalised, although this trend is also visible in policy dialogue (e.g. enlargement of the scope and 
formalisation  tend  to  dilute  the  contents  and  the  effectiveness  of  policy  dialogue  in  Uganda  and 
Burkina Faso). Finally, the declining leverage of the CPA co-operation due to its reduced rela-
tive  weight  and  the  multiplication  of  international  partners  is  noted  in  various  recent  evaluations 
(e.g. Tanzania, Uganda, Burkina). 
There is little information on the application of the Consultation procedures envisaged by Articles 
96 and 97.There have been a few cases in which the suspension mechanisms foreseen by CPA 
have been put in place and support has been partially or totally suspended. The strategic evalua-
tions  mention  some  cases  in  which  the  binding  mechanisms  are  used,  without  clear  positive  im-
pacts:  
 

In  Liberia,  the  EC  initiated  formal  political  dialogue  on  the  worsening  human  rights  situa-
tion, on the violations of democratic principles and rule of law in the last years of the Taylor 
Presidency (2000) based on Article 96. 

  Madagascar:  in  June  2010,  the  application  of  Article  96  led  to  the  suspension  and  rear-
rangement  of  the  country  programme  to mitigate  any  negative  consequence  on  the  poor. 
Indeed the suspension (although necessary for the credibility of the CPA) and the related 
restructuring led to a practical stop of two years with negative consequences for the most 
vulnerable groups and the further deterioration of the state institutions. 

  Ethiopia: a huge political crisis in 2006 led to several European Parliament resolutions and 
a decision in 2006 to withhold General Budget Support in the absence of any visible sign of 
advancement  in  democratisation  and  good  governance.  Project-based  support  for  major 
road construction was allowed to continue, albeit with rigorous monitoring.  
In  Ivory  Coast,  the  possible  use  of  Article  96  of  the  Cotonou  Agreement  was  examined 
during the peak of the crisis but it was decided against owing to a lack of consensus among 

 

22 Thematic evaluations on governance and human rights (2001 and 2010) 

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the EU MS. Finally, following the results of the 2010 presidential elections, the EU imposed 
sanctions against Ivorian leaders (e.g. visa bans and freezing of assets). 

  Other cases include Fiji, Central African Republic, Guinea-Bissau, Mauritania, Guinea, Hai-

ti, Togo, Niger, and Zimbabwe.  

The  Evaluation  on  HR,  2001,  considering  the  addressees  of  some  bold  EU  actions  and  sanc-
tions, suggests that these have tended to include primarily “economically weak or strategically rel-
atively unimportant countries [...] whereas human rights violations in important countries ”are treat-
ed in a different way, as most Member States’ positions are watered down in order to agree on the 
lowest  common  denominator  (particularly  when  one  or  more  Member  States  oppose  bold  action 
due to strong national interests)”.  

5.2.2.3  JC 2.3 The respect of the fundamental principles has been and still is a priority for 

the ACP countries 

Level of evidence: Medium 
Number of evaluations: 19 
Trend: Increased importance after the 2010 revision. 

Article 2 specifies the fundamental principles of: ownership and alignment in the respect of the 
essential and fundamental elements; participation of Parliaments, Local governments and different 
development actors; dialogue and mutual accountability; and differentiation and regionalisation, to 
ensure adaptation to the contexts and consideration of the regional dimension. 
Indeed, the evaluations show that the ownership principle is generally at the core of the planning 
and execution, although in some cases it is noted that its application is rather formal (e.g. Mauri-
tius). The evaluations also show an interesting debate among the government and DPs, especially 
in the framework of GBS (e.g. Uganda and not only), on whether GBS - which provides a high form 
of government ownership - should be linked to the respect of HR. According to the Article 2 of the 
CPA, this should be the case, as the text states that the ownership principle should be applied with 
“due regard for the essential and fundamental elements” (i.e. HR and good governance, as in Arti-
cle 9). 
The application of the participation principle, (also addressed under other EQs) is not ensured in 
all cases, as a principle should be. This is due to the prominence of the relationships with the cen-
tral governments, which often overshadows the participation of other actors. 
According to the differentiation and regionalisation principle the programmes should be tailored 
to the characteristics, capacities and regional specificities of the different countries. This happens 
in general  terms,  as shown  by the  positive  consideration of  the  programmes’  relevance.  The  as-
sessment of the capacities, however, is not always adequate and some important programmes (in 
fragile contexts and or in different budget support operations) overlook the capacity gaps and the 
need for capacity development. 
Dialogue and mutual accountability. Some recent evaluations (e.g. budget support) show that, 
on key development priorities, the dialogue has partially lost its leverage and the link between poli-
cy and political dialogue is still weak. 

5.2.2.4  JC 2.4 Unintended effects of the mechanisms have played a minor/major role in the 

attainment of the results 

Level of evidence: High 
Number of evaluations: 1 
Trend: NA. 

Partial or total suspensions of aid have had unintended effects and created additional difficulties for 
the most vulnerable groups. Some of such effects are emphasised by programming and implemen-
tation  weaknesses  (e.g.  Madagascar).  Others  seem  inevitable  to  ensure  the  respect  of  the  CPA 
principles. In general, the use of partial suspension, namely of the most risky aid modalities miti-
gates the  negative effects.  In Uganda, the  reduction  of  BS funds after  some  corruption  scandals 
(2008 and 2011) has contributed to a visible deterioration of the public expenditure and results in 

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the social sectors, but they have also functioned as incentives to the government to reduce tax ex-
emptions and raise the levels of tax revenues. 

5.3  EQ 3 – Peace and security 

EQ 3 

To what extent has the implementation of the different instruments and approaches 
of the CPA improved peace and security in ACP countries/regions and has en-
hanced their capacity to cope with crises? 

Main  sources:  Thematic  Evaluation  of  the  European  Commission  support  to  Conflict  Prevention 
and Peace Building. Preliminary study: scoping and mapping (2009); Thematic Evaluation of Euro-
pean  Commission  Support  to  Conflict  Prevention  and  Peace-building  –  CPPB  (2011).  Country 
evaluations:  Angola  2009,  Burundi  2014,  Caribbean  2012,  Central  African  Republic  (CAR)  2009, 
Chad 2015, Democratic Republic of Congo 2014, Ethiopia 2012, Haiti 2014, Jamaica 2012, Timor-
Leste 2015, Liberia 2010, Niger 2010, Republic of Congo 2012. 

5.3.1  Summary answer 

An integrated and joint approach, including a multitude of instruments, to address the root caus-
es of conflict has been progressively promoted in the framework of CPA. However, its mainstream-
ing has not been a widespread practice over the past few years and most interventions are dictat-
ed  by  emergencies.  The  capacities  for  its  implementation  are  still  to  be  developed.  In  particular, 
linking release, rehabilitation and development is on a learning curve (e.g. Haiti). 
Especially  in  recent  years,  the  EU  has  significantly  contributed  to  conflict  prevention  and 
peace building although the actual effects of such renewed action are not yet fully measurable and 
still appear marginal in the evaluations (Burundi, Haiti, Ethiopia, etc.). 
The  EU  added  value  in this  area appears particularly  strong: for  the level  of  neutrality  of the 
EU, but also for its link with regional organisations, most of which play a significant role in Conflict 
prevention and peace building. 
This does not imply that the co-ordination with the other stakeholders (EU MS and others) is fa-
cilitated, as it still is a challenge.  

5.3.2  Answers to the judgement criteria 

5.3.2.1  JC 3.1 Evidence of CPA contribution to sustainable improvements in peace and se-

curity for the populations of the ACP countries and regions 

Level of evidence: Medium-High 
Number of evaluations: 14 
Trend:  Since  2001  the  European  Commission  has  implemented  a  substantial  shift  in  support  to 
Conflict  Prevention  and  Peace  Building  (CPPB)  by  developing  its  funding,  policy  framework  and 
instruments. 

Conflict prevention interventions in ACP countries have been mainly focused on Peace consolida-
tion  and  prevention  of  future  conflict,  partly  implemented  through  Regional  and  International 
Organisations  (i.e.  African  Peace  Facility,  ECOWAS  Conflict  Prevention  Framework,  AU  peace-
keeping  missions  in  Sudan  and  Somalia,  CEMAC  operation  with  multinational  force  -FOMUC-  in 
CAR)  and  Multi  Donor  Trust  Funds  (MDTFs)  for  reconstruction  (e.g.  in  Southern  Sudan)  and for 
post-crisis rehabilitation programmes (e.g. in Haiti, East DRC, Burundi and Northern Uganda). 
Flexible crisis and emergency instruments have been introduced over the years including spe-
cial procedures (including the emergency (and post-emergency) assistance defined in articles 72 
and  73  of  the  CPA). While  early-warning  mechanisms  have  not  always  enhanced  its  capacity  to 
detect and react to nascent conflicts (e.g. Central African Republic 2009, Ivory Coast); the reaction 
once the conflict had broken out has been often rapid, with positive effects on stabilisation.  
The  Commission’s  support  contributed  positively  to  conflict  mitigation,  stabilisation,  recon-
struction and rehabilitation (Liberia, Angola, Sierra Leone, CAR) through capacity building initia-
tives to security forces, demobilization, disarmament and reintegration of former combatants, reha-
bilitation of victims of conflict, law enforcement agencies and raising-awareness activities (e.g. Car-
ibbean, Timor Leste, Burundi, Rep. of Congo). Support to the recovery of agriculture and access to 

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basic social services in the affected areas (e.g. Angola, Kenya) have also contributed to enhanced 
security and peace. 
Although it seems EU support to the Security and Justice sectors (drug trafficking, organized crime 
and violence) in most of the reviewed countries has been appropriate, its impact has been limited/ 
challenging due to several reasons:  

1.  The lack of information and quality data has usually hampered EU efforts to measure pro-

gress of its actions properly (e.g. the Caribbean region);  

2.  EU interventions’ failure to tackle chronic violence (like in Burundi where the improvement 
of the capacity of security forces has helped to improve the situation but this has not trans-
lated into a global sense of security);  

3.  Weak alignment with other donors (e.g. East Timor). 

Nevertheless, there are positive results in several countries, notably through capacity building initi-
atives  to  security  forces,  law  enforcement  agencies  and  awareness-raising  activities  (Caribbean, 
Timor  Leste,  Burundi).  At  the  regional  level,  support  to  the  implementation  of  regional  pro-
grammes/initiatives, like the ECOWAS Conflict Prevention Framework; the AU peacekeeping mis-
sions in Sudan and Somalia; the operation of the CEMAC multinational force (FOMUC) in the Cen-
tral African Republic have been also considered important. 
The  Commission  was  also  a  strong  supporter  of  civil  society  organisations  around  conflict 
management issues, mainly through international NGOs and specialised networks.  
Despite  increasing  efforts,  the  linking  of  short-term  and  long-term  support  was  often  chal-
lenged in practice particularly on account of the lack of capacity of national and regional authorities 
(e.g. CAR and the FOMUC/MICOPAX, ECOWAS) along with insufficient exit strategies or prema-
ture  transition  from  rehabilitation  to  development.  There  are  cases  where  a  LRRD  approach  has 
been promoted (e.g. Sierra Leone, Ivory Coast, Angola, Haiti) with mixed results. 
Individual  cases  also  illustrate  the  risk  of  moving  too  rapidly  towards  development,  both  for  the 
Commission’s strategy and for the priorities of the partner governments (e.g. Liberia, Timor-Leste).  

5.3.2.2  JC  3.2  Evidence  of  CPA  contribution  to  improvements  in  conflict  prevention  and 

addressing their root causes by ACP countries 

Level of evidence: Medium-High 
Number of evaluations: 24 
Trend:  The  revised  Article  11  of  the  CPA  allowed  the  process  of  Conflict  Prevention  and  Peace 
Building to focus more on the root causes of conflicts and the establishment of confidence-building 
measures, with a view to creating lasting solutions.  

Support  has  generally  not  been  geared  to  tackling  the  root  causes  of  conflict,  but  rather  to 
mitigating their consequences or to provision of “classic” development support in a conflict context 
(e.g. Ethiopia, Timor Leste, Burundi). Political dialogue was used to a certain extent to address root 
causes, but this has not been systematic.  
Insufficient formal and documented conflict analyses and monitoring frameworks have led to weak 
understanding  of  the  causes  of  conflicts.  Support  to  national  initiatives  and  involvement  of  local 
populations has not been systematic. 

  The  EC  has  developed  some  tools  and  mechanisms  but  they  remain  unknown or  are  not 
widely used, including: Checklist for root causes of conflict (2001); confidential “Watch List” 
in constant  revision;  Commission’s  Crisis  Room  (2001),  ARGUS  rapid alert  and  response 
system (2005), Monitoring and Information Centre (MIC) (2010) operated by ECHO; 

  A shortage of human resources, in terms both of numbers and CPPB expertise in this com-
plex sector, which often requires innovative and experimental approaches (e.g. Jamaica); 
  Weak  conflict  analysis  skills:  although  a  specific  guidance  on  a  structured  approach  has 
been made available (“Resource Pack”) to structure conflict analysis, the EC did only con-
duct formal  and documented  conflict  analysis  in a few  cases (non ACP countries)  while it 
provided support to CPPB in more than 100 conflicts. The Commission usually used ad hoc 
channels and analysis from other stakeholders to monitor conflict situations. However, the 

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Commission generally analysed the geographical dimension of the conflict and the ensuing 
needs of specific zones. 

Support to the  Security  and Justice  sector  (drug trafficking,  organized  crime  and  violence)  has 
become more frequent over  the  last  decade.  It has  been  often  appropriate,  including  attempts  to 
establish sector-wide approaches with the use of different tools, as in Rwanda (including a signifi-
cant participation of NSAs).  Its impact is not yet fully measurable, but it has been challenging for 
several reasons: lack of specific capacities in the EU delegations; information and quality data (e.g. 
the  Caribbean  region);  difficulties  to  tackle  chronic  violence  (e.g.  Burundi);  weak  alignment  with 
other donors (e.g. Timor Leste). 

5.3.2.3  JC  3.3  Evidence  of  complementarity  and  synergy  between  CPA,  the  common  EU 
foreign and security policy and the policies of EU MS (co-ordination, complementa-
rity and coherence – 3Cs) 

Level of evidence: Medium 
Number of evaluations: 3  
Jamaica, 2012 
Conflict Prevention, 2011 
Justice and security, 2011 
Trend: Since the Lisbon Treaty entered into force and the EEAS were established, there has been 
a push toward a stronger EU political initiative in Conflict prevention and an improved co-ordination 
within the EU MS.  

To address this JC, it should be kept in mind that the EEAS, after the Lisbon Treaty, was estab-
lished  in  January  2011  and  became  fully  operational  in  the  following  months.  Most  evaluations 
available regard the period pre-EEAS or the very initial EEAS period. 
A coordinated approach to Conflict prevention with a shared strategy and a division of labour be-
tween the EU bodies and the EU and MS has been particularly challenging in the pre-EEAS peri-
od,  relying  rather  on  exchange  of  information  than  on  a  real  co-ordination.  Common  strategic 
frameworks  and  institutional  instruments  were  established  (e.g.  Joint  Africa-EU  Strategy  on 
Peace and Security  -  2009,  Africa Peace  Facility),  but  their  implementation  still  reflected  specific 
MS’  priorities  and  difficulties  of  co-ordination.  In  the  post-EEAS  period,  however,  there  are  good 
examples  of  coordinated  approaches  in  (post-)  conflict  situations,  e.g.  Ivory  Coast,  Sierra  Leone 
and Rwanda. 
EU institutions and the EU MS did not have a shared strategy with clear objectives, leadership 
and joint instruments to ensure a whole-of-EU approach. Sometimes, this uncoordinated response 
was  due  to  differences  in  priorities  and  diverging  positions  among  EU  MS.  Within  the  EU  the 
Commission had limited leverage, apart from its financial weight, to ensure a coordinated approach 
with the EU MS23. 
The EC channelled half of its total financial support to CPPB through international organisations 
and  in  these  circumstances  channelling  was  conducive  to  a  coordinated  approach.  Whenever  a 
coordinated approach from the entire international community took place during or after a conflict 
or crisis, it yielded stronger impact. 

5.3.2.4  JC 3.4 EU interventions provided an additional value in comparison to bilateral in-

terventions of EU MS 

Level of evidence: Medium 
Number of evaluations: 4 
Trend: Growing role of the Commission since the Lisbon Treaty. 

Six types of value-added can be distinguished: 

23 Thematic evaluation of European Commission support to conflict prevention and peace-building (2011) 

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  Less  characterised  “political  profile”  being  perceived  as  not  tied  to  national  interests 
enhances  its  capacities  to  enter  into  dialogue  with  the  different  parties  concerned  by  the 
conflicts (e.g. Ivory Coast, Sierra Leone and Timor Leste, Nigeria). 

  EU and regional organisations have a special relationship, as the latter see in the EU one 
of their most strategic and reliable partners. This becomes a strong added value, because 
of the growing involvement of the Regional organisations in Conflict prevention and Peace 
Building. 

  Reliability:  in  terms  of  its  capacity  to  establish  long-term  partnerships  and  its  continued 

presence notably when others had suspended their co-operation (e.g. Ivory Coast). 

  The critical mass of its financial support (allowing for wide geographical and sector cov-

erage and political leverage).  

  The ability to draw on a wide range of instruments and on multi-national expertise.  
  Long-term thematic experience in sectors potentially impacting Conflict prevention.  
 

Its credibility in terms of promoting democracy, peace and human rights. 

5.4  EQ 4 – Migration 

EQ 4 

To what extent have the provisions from article 13 of the CPA contributed to mean-
ingful improvements in addressing the structural constraints associated with the mi-
gratory flows? 

Main  sources:  Thematic  evaluations  on  Population  (2004),  Employment  (2011),  Human  Rights 
(2011),  Visibility  (2012),  Border  Management  (2013).  Country  evaluations  Guyana,  Mali,  Nigeria, 
OCTs, Senegal.  

5.4.1  Summary answer 

Very  little  evidence  has  been  found  on  migration  issues  in  the  Evaluations  under  this  review. 
Hence, it is not possible to provide specific information under each Judgement Criterion. However, 
a summary answer is provided on the basis of the available information. Judgement Criteria under 
EQ 4 were:  

  JC 4.1 CPA contribution to fair treatment of third country nationals who reside legally in EU-

MS or ACP countries;  

  JC 4.2 CPA contribution to prevention policies in the context of illegal immigration;  
  JC 4.3 CPA contribution to acceptation by EU-MS and ACP countries of return and of re-

admission of any of their nationals illegally present on their respective territories;  

  JC 4.4 Unintended effects in the attainment of results;  
  JC 4.5 Complementarity and added value of EU interventions. 

5.4.2  Answers to the judgement criteria 

Level of evidence: Low 
Trend:  The  concept  of  migration  has  been  widened  in  the  CPA,  from  focusing  on  regulatory 
frameworks (fair treatment of legal and irregular migration flows) to linking migration and develop-
ment, including issues relating to diasporas, brain drain and remittances. However, those linkages 
between migration and development have not been fully explored. 

In recent years, migration has become an issue on the development agenda, in particular the 
links between migration and development. This is reflected in the number of intergovernmental fora 
and policy documents that have increased in recent years.  
Priorities under this sector include inter alia, remittances, diasporas as actors of home country de-
velopment, circular migration and brain circulation, mitigating the adverse effect of brain drain, and 
mainstreaming  migration  into  development  policy  and  assistance  to  third  countries.  The 
CPA recognises that strategies aimed at reducing poverty, improving living and working conditions, 
creating employment and developing training contribute in the long term to normalising migratory 
flows. 

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Notwithstanding the increasing importance of migration, there seems to be  little concrete incor-
poration of these issues at the sectoral implementation level. The EC has provided assistance 
aimed at addressing long-term solutions to irregular migration and forced displacement and it has 
contributed  to several  National  strategies  and  policies  on  migration.  However,  little  evidence  has 
been found in the Evaluations on this long-term perspective and most of the information available 
has been mainly focused on emergency issues. 
Despite this general consideration,  some positive results can be recognised in the areas of mi-
gration, labour migration and remittances. Employment and migration are also receiving increased 
attention. Labour migration aspects have been integrated into programming in some countries (e.g. 
Mali and Niger). 
Integrated Border Management (IBM) matters in which the EU support has contributed to enhanc-
ing  the  legal/regulatory  frameworks  also  show  positive  results.  However,  many  countries  did  not 
tend  to  seek  a  full  adaptation  of  their  legislation  but  limited  themselves  to  certain  aspects  (e.g. 
Mauritania which envisages a system of migration management rather than IBM).  
For interventions in ACP countries (e.g. Mauritania, Zambia), joint financing or clear task division 
with EU  MS played a particularly prominent role. The fact that migration issues occurring at their 
borders directly concern certain EU MS may explain this situation. 
Additionally, the need to elaborate an approach to integrating the population into programmes 
in the poorest countries (many of them ACP countries) is also suggested. In many of these coun-
tries, the pressing HIV/AIDS epidemic, plus humanitarian issues requiring interventions to help ref-
ugees and IDPs make it difficult to concentrate on population issues (which tend almost by defini-
tion to be longer term). Governments in many of these countries have typically not expressed great 
concern with IDP issues. However, greater co-ordination with partner countries could ensure that, 
where a re-orientation of country priorities is desirable, ICPD concerns are more effectively advo-
cated in policy dialogue with governments.24 

5.5  EQ 5 – Integration of ACP states into the world economy and their share in in-

ternational trade 

EQ 5 

To what extent have EU interventions under the CPA (new trading arrangements, 
dialogue, co-operation programmes) fostered the smooth and gradual integration of 
the ACP States into the world economy and enabled the ACP states to play a full 
part in international trade? 

Main  sources:  Evaluation  of  the  European  Union’s  Trade-related  Assistance  in  third  Countries 
(2013),  Joint  evaluation  of  co-ordination  of  trade  capacity  building  in  partner  countries  (2006), 
Evaluation  of  the  European  Union’s  Support  to  Private  Sector  Development  in  third  countries 
(2013), Evaluation of EU support to the transport sector in Africa (2015)25. Country/Regional evalu-
ations:  Caribbean  2012,  Lesotho  2015,  Madagascar  2015,  Malawi  2011,  Namibia  2001,  Nigeria 
2010, OCTs 2011.  

5.5.1  Summary answer 

The CPA is a predominant and unique comprehensive support framework of the regional integra-
tion process. Although this process is slow and complex, and – in Africa – complicated by a multi-
plicity of sub-regional overlapping and sometimes contradictory agreements, it advances and pro-
vides key opportunities for trade and economic development. Trade Related Assistance (TRA) as 
part of the larger Aid for Trade support is a key tool to support the economic integration role of the 
regional organisations. 
EU-ACP trade has doubled between 2004 and 2014 with a light balance in favour of the ACP. ACP 

24  Recommendation  2  from  Thematic  Evaluation  of  Population  and  Development  Programmes  in  EC  External  Co-
operation, 2004 
25 This evaluation was not yet finalised at the time of the review and only a draft final version was available to the evalua-
tion team.  

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trade with the rest of the world has grown even faster: ACP exports have more than doubled, while 
ACP  imports  have  almost  tripled26.  Foreign Direct  Investment  (FDI) flows,  according  to  UNCTAD 
data, quintupled between 2000 and 2008, but have declined or stagnated since then. 
The EPAs should have been the key tool to translate the new Aid for Trade approach. Strongly an-
chored in the regional integration system, they should have created new opportunities for promo-
tion of new value chains and increased diversification of trade, attraction of FDI and creation of re-
gional infrastructure. Unfortunately the EPA process encountered a number of unforeseen (or un-
derestimated) difficulties, such as few incentives for LDCs. The process was almost stopped (with 
some exceptions) during the economic crisis (2008-11) but resumed thereafter. The reopening of 
the EPA process over the last few years may open new prospects to the CPA in the area of trade. 

5.5.2  Answers to the judgement criteria 

5.5.2.1  JC 5.1 The CPA  contributed to the strengthening of regional trade and integration 

frameworks  

Level of evidence: High 
Number of evaluations: 17 
Trend: Support to regional integration has found new strength with the launch of EPAs in the mid-
2000s 

ACP countries acknowledge that regional integration benefits political stability, economic develop-
ment and the provision of regional public goods27. The CPA recognises the regional integration or-
ganisations as main partners for the Economic Partnership Agreements. 
The use of Contribution Agreements in regional support since 9th EDF offered an interesting po-
tential  for  a  broader  multi-donor  policy  in  Trade  Capacity  Building  (TCB).  TRA  (part  of  Aid  for 
trade28) is also a key tool to support regional economic integration organisations.  
CPA  regional  programmes  focus  on  common  regional  markets,  including  policies,  regulation, 
standards,  customs’  unions,  institutions  and  infrastructure.  In  the  ESA-IO  region,  for  instance, 
standards harmonisation has been enhanced and the establishment of the EAC and SADC Cus-
toms Unions has been facilitated29.The involvement of the private sector and other non-state actors 
is only just emerging, and remains a weak point. 
The  main  identified  challenges  relate  to  the  overlapping  of  regional  organisations  (Sub-Saharan 
Africa),  combined with  mixed  political  will  (Caribbean),  partly  due  to national  protectionism,  weak 
technical capacities and the inter-governmental nature vis-à-vis supra-national structures. Generic 

26  According  to  EU  statistics,  total  EU-ACP  trade  between  2004  and  2014  has  increased  approximately  from 
EUR 90 billion to EUR 176 billion, with a negative balance for the EU of EUR 5 billion. Total ACP trade in the same peri-
od with the rest of the world has increased from  EUR 246 billion to more than EUR 600 billion, with a negative balance 
for the ACP passed from EUR 11 billion to EUR 85 billion. The global increase of ACP market share between 2003 and 
2012 has been 26%, while the increase of intra-ACP trade has been 5.5%. Only in the Caribbean and the EAC areas the 
intra-regional trade has increased more than the extra-regional one (International Trade Centre, ACP Trade, 2014). 
According to UNCTAD statistics, the intra-ACP trade grew as well, but its share of the international trade declined. It was 
not so for intra-African trade, of which the share on total trade remained almost the same.  
27 Communication “Regional Integration for Development in ACP Countries”, 10th EDF.  
28  The  2006  WTO  Aid  for  Trade  Task  Force  identified  six  Aid  for  Trade  categories:  (1)  Trade  policy  and  regulations; 
(2) Trade development; (3) Trade-Related infrastructure; (4) Building productive capacity; (5) Trade-related adjustment; 
(6) Other trade-related needs. The first two categories above are referred to as Trade-Related Assistance. Categories 3 
to 6 are referred to as the “wider Aid for Trade agenda” which includes support to economic infrastructure and productive 
sectors in the wide sense. The EC is a large and longstanding donor in this area (EU, Making Trade Work for Develop-
ment, 2008). Its 2007 AfT strategy embraces the full WTO AfT agenda. In 2011, the EU and Member States confirmed 
their position as the largest provider of Aid for Trade (AfT) in the world, accounting collectively for 32% of total AfT, de-
spite the global economic downturn. The combined annual Aid for Trade from the EU budget and those of the EU Mem-
ber States reached EUR 9.5 billion in 2011 (of which  EUR 2.7 billion from the EU budget). For the subset of EU Trade 
Related Assistance, the collective amount was nearly EUR 3 billion, o/w almost one half from the EU budget. With almost 
36%, Africa is the biggest recipient of collective EU AfT (EU, Permanent mission to WTO, WebPage). These amounts do 
not include the policy support to trade included in budget support programmes. 
29 Evaluation of the EU’s trade related assistance in third countries (2013) and Thematic global evaluation of the Europe-
an Union’s support to integrated border management and fight against organised crime (2013) 

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approaches without sufficient strategic analysis (i.e. linkages between integration and growth) have 
also undermined the process in some cases (Pacific, OCTs).  
The co-ordination between regional and national interventions has improved over time, but it still 
represents a major challenge.  
Particularly, the transport sector, driven by the EPA negotiations with the African Regional Eco-
nomic  Communities  (RECs),  has  facilitated  regional  connectivity.  Strategic  changes  introduced 
with 11th EDF dramatically reduced the resources and gave to RECs a pivotal role in programming 
and implementation of EU sector support albeit capacity gaps to manage and monitor projects per-
sist.  

5.5.2.2  JC 5.2 The CPA has contributed to increased ACP-EU trade and investment flows, 
including  key  infrastructure,  attractiveness  of  FDI  and  promotion  of  PPPs  in  the 
ACP countries 

Level of evidence: High 
Number of evaluations: 33 
Trend: Trade supported by EPAs. 

The CPA has identified TRA support packages, tailor-made to the specific conditions, especially 
related to the quality infrastructure and capacity enhancement of technicians. There has been sig-
nificant contribution in terms of trade policy analysis, including diagnostic studies, support to trade 
strategies  and  capacity  development.  Impact  was  achieved  in  better-prepared  countries,  and 
where greater dependence on EU trade increased the competitive pressure for compliance. 
The Aid for Trade concept has pushed TRA to embrace trade diversification and support to the 
private  sector,  but  the results  of  such  enlarged  scope are  not  yet  particularly  strong. There is a 
weak  co-ordination  between  regional  and  country  support  strategies  and  the  assistance  has  fo-
cused specific export sectors, but not the expansion and consolidation of the value chains and the 
related bottlenecks in the business environments30. 
Product diversification in ACP exports has increased, although success in increasing trade has 
been greater than in diversification. Support in this area has enhanced the added value of exports 
and promoted more innovations and research in the industries supported. CPA support in this area 
faced difficult economic and regulatory environments (e.g. Jamaica) and there are only a few ex-
amples of support to productive sectors that are the catalyst for more structural change in benefi-
ciary countries due, inter alia, to the combination of trade-related support and investments in infra-
structure (e.g. Kenya Northern Corridor; Core Road Network-Zambia). 
In  poorer  countries,  TRA  has  supported  the  stabilisation  and  modest  expansion  of  trade31.  but 
there is still an unfinished agenda − especially in Africa and LDCs − to assist in making trade and 
associated growth more inclusive by accelerating efforts aimed at diversifying economies and trade 
characteristics. 
Impacts are mixed. Although in the last decades ACP trade has featured high rates of growth, it is 
noted that the limited focus both on improving the investment climate − including attracting foreign 
direct  investment (FDI) −  and trade finance  has  weakened  the  EU’s  contribution  to changing  the 
trade and production structure towards high productivity activities that are key drivers of sustained 
economic development. 

5.5.2.3  JC  5.3  The  CPA  contributed  to  the  conclusion of WTO-compatible Economic Part-

nership Programmes 

Level of evidence: High 
Number of evaluations: 26 
Trend: EPAs are a big innovation of the mid-2000s, but remain an unfinished job 

30 Evaluation of the EU’s trade related assistance in third countries (2013) 
31 Ibid. 

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EPA strategy: EPAs aimed to develop an open, transparent and strong WTO-compatible regulato-
ry framework for trade in goods and services. However, achievements are still limited, since EPAs 
are  just  coming  out  from  a  stagnation  period  (aggravated  by  the  economic  crisis)  and  many  re-
sources which were allocated to their implementation have not been ( or are no longer) mobilised. 
EPA process32: Among ACP regions, there are several cases of mixed situations inside regional 
groupings:  

 

 

 

In the Caribbean, not all EU and CARIFORUM countries have ratified the agreement and 
only five CARIFORUM countries have started their phased customs duty reduction accord-
ing to the agreement. EU funding has been critical for the EPA negotiation process, but the 
involvement of Non-State Actors was minimal.  
In the Pacific, only an interim EPA with Papua New Guinea (PNG) and Fiji was agreed up-
on. Many of the other countries already benefit from free access to the EU under the Every-
thing But Arms (EBA) scheme or have only insignificant and erratic trade with the EU. 
In Africa33, results are mixed and in many cases negotiations are still pending. Some coun-
tries from the Least Developed Countries (LDCs) category benefit from the “Everything but 
Arms”  (EBA)  initiative,  providing  unilateral  duty  and  quota  free  access  to  the  EU  market; 
and others which are not LDCs do not benefit from the EBA. LDCs therefore see little inter-
est  in  EPAs  whereas  non-LDCs  do.  Such  was  the  case  for  Cameroon  and  Ghana  (non-
LDCs located in regional grouping of mostly LDCs), which therefore individually signed “in-
terim bilateral EPA agreements” with the EU. This is however contradictory with one of the 
fundamental EPA objectives: regional integration.  

The  EPA  process  was launched  with a  strong  emphasis  on aid for trade  and  with  a focus  on  at-
tracting  investment  (infrastructure  fund  and  other  aid-for-trade  related  investment  -  e.g.  ESA-IO-
2008). This was deeply integrated with the Regional Integration programmes. However, the nego-
tiations on trade regulation and standards became more important and partly replaced the devel-
opment  related  dialogue  at  regional  level  (TRA-2013),  thus  reducing  the  attractiveness  and  in-
creasing the concerns of the ACP parties about the whole process. 

5.5.2.4  JC  5.4  Unintended effects  have  played  a  minor/major  role in the  attainment  of  the 

results 

Level of evidence: Low 
Number of evaluations: 3 
Trend : NA. 

As a positive ‘unintended’ effect, the Commission support in the framework of EPAs to the formula-
tion  of  partner governments’  strategies aimed  at  promoting trade  and economic integration  at re-
gional  and  international  levels  may  be  considered  to  be  an  indirect  support  to  the  formulation  of 
export diversification strategies in the agricultural sector34 (e.g. Ghana and the discussions on the 
issue of diversification around cocoa within the framework of the EPA negotiations). 
Big questions are raised on the winners and losers of the regional integration processes (e.g. cus-
toms’  unions,  as  in  the  mentioned  case  in  SADC)  and  the  EPAs  themselves.  Simulation  studies 
and  adequate  provisions  for  the  identification  and  monitoring  of  such  consequences  exist  and 
should be further envisaged. Modalities and mechanisms to tackle such consequences should be 
put in place. 

32 Overview of EPA Negotiations, Updated September 2015:  
http://trade.ec.europa.eu/doclib/docs/2009/september/tradoc_144912.pdf  
33 In sub-Saharan Africa, there are some Interim EPAs signed in 2007/2008, which include Ghana, Cameroon and six 
states of the ESA region (Comoros, Madagascar, Mauritius, Seychelles, Zambia and Zimbabwe). In 2014, the negotia-
tion processes have been concluded for all sub-regions excluding Central Africa: for ECOWAS (Economic Community of 
West Africa States), EAC (Eastern African Community) and SADC (Southern African Development Community), the EPA 
documents are now under signature. 
34 Thematic evaluation on Agricultural commodities (2012). 

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5.6  EQ 6 – EU-ACP international economic and trade co-operation 

EQ 6 

To what extent has mutual co-operation between EU and ACP countries improved 
the identification and furthering of common interests in international economic and 
trade fora? 

Main  sources:  Thematic  Evaluation  on  Trade  Capacity  Building  (2006),  Thematic  Evaluation  on 
Trade-related Assistance (2013), Evaluation of the European Union’s Trade-related Assistance in 
Third  Countries  (2013).  Country/regional  evaluations:  ESA-IO  2008,  Botswana  2009,  Dominican 
Republic 2011, Caribbean 2012, Jamaica 2012, Pacific 2015.  

5.6.1  Summary answer 

This EQ regards the modalities of the EU support to ACP countries in the area of trade. The key 
instrument of EU support has been the Trade Related Assistance – TRA. Among the different TRA 
areas, support to trade policies and regional integration has been the most important. A strong fo-
cus was put on strengthening the role of regional organisations, of which the EU is absolutely the 
most important partner. In the ACP region, the ESA-IO and WA regions accounted for almost one 
half of the TRA channelled through regional organisations. 
The CPA contribution in trade areas focuses on the identification of common interests  at regional 
level, improving trade environment (institutions, regulation and infrastructure), enhancing the har-
monisation  and  implementation  of  trade  agreements  and  protocols.  This  is  mainly  done  through 
TRA at both the regional and national level, and also through some budget support operations. 
TRA has increasingly been aligned to partners’ priorities and mainly focused on support of regional 
trade organisations and/or country programmes (decreasing tendency to use GBS). 
In more fragile environments, the focus has been on addressing specific infrastructure bottlenecks 
and capacity weaknesses. 
The effects of regulatory reform and capacity building have been limited by systemic bottlenecks, 
such as conflicting interests between members of the regional organisations, conflicts among dif-
ferent organisations and staff incentives. 
A key weakness of the EU- and CPA-related action is the poor monitoring system and particularly 
its weak focus on outcomes (e.g. private sector response). 

5.6.2  Answers to the judgement criteria 

5.6.2.1  JC  6.1  The  CPA  has  helped  in  the  mutual  understanding  of  trade  issues  between 
ACP countries and EU and the identification and implementation of common inter-
ests in international economic and trade co-operation 

Level of evidence: Medium-High 
Number of evaluations: 4 
Trend: Stronger since the mid-2000s 

Between 2004 and 2010, the EU’s direct support to Trade Related Assistance - TRA (i.e. exclud-
ing the support channelled through budget support) has been concentrated in three main regions, 
with ACP ranking first (48%). Within the ACP region, 54% of TRA was allocated to Sub-Saharan 
African  countries,  15%  to  Caribbean  countries,  and  2%  to  Pacific  countries.  The  remaining  29% 
covered one or several ACP countries, which cannot clearly be attributed to one of the three major 
ACP regions. These allocations can also be intra-ACP allocations. 
Areas  of  action:  Within  the  ACP  region,  TRA  was  mainly  devoted  to  the  support  of  regional 
(trade)  organisations  and/or  regional  trade  agreements35  followed  by  work  on  business  sup-
port/promotion  and  policy  and  administrative  management.  Compared  to  national  organisations, 

35  Regarding  regional  integration  schemes,  the  Eastern  and  Southern  African  region  had  more  than  5%  of  the  overall 
TRA, followed by the West African region (4%) and the Caribbean region (around 2%). Evaluation of the European  Un-
ion’s Trade-related Assistance in Third Countries (2013). 

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regional organisations played a major role as a channel in ACP countries, both for funds that were 
directed to specific regional programmes and for intra-ACP allocations36.  
Modalities:  A  project  approach  seems  to  be  the  preferred  modality  (with  a  strongly  fluctuating 
share over the period). GBS with trade-related indicators represented 38% of the total GBS funds 
transferred to partner countries, a total of 27 countries out of which 21 are located in the ACP re-
gion (Zambia, Tanzania, Ghana, and Mauritius among the top five). However, increasing concerns 
about the effectiveness of budget support as a means of reaching the specific trade related objec-
tives has been translated into a tendency to reduce the use of this modality. 
Alignment: Most TRA project interventions were jointly elaborated, although not all relevant enti-
ties of the partner countries participated (e.g. Côte d’Ivoire and Ghana, where weak NSA participa-
tion was noted) and with slower progress than expected.  
In  fragile  contexts,  support  has  been  concentrated  on  reducing  specific  supply-side  constraints 
(less on policy, more on specific institutional and infrastructure bottlenecks) and on providing  ad-
hoc advice to the government according to specific demand (e.g. Ivory Coast). 
Co-ordination and complementarity have been strengthened over time (e.g. joint strategies im-
plemented in Southern Africa and Zambia). However, potential synergies between the EU and MS 
interventions have often not been explored – for instance in the Central African and the West Afri-
can regions.  
Irrespective  of  the  degree  of  alignment,  there  are  very  few  examples  of  well-functioning  M&E 
systems.  Assessment  of  the  EU  contribution  and  monitoring  of  the  implementation  of  the  trade 
regulations  are  weak  areas.  Most  monitoring  mechanisms  have  been  established  at  the  input  or 
output  level,  while  the  outcomes  (actual  implementation  of  the  new  regulations,  response  of  the 
private sector, including bottlenecks identified and changes in production) have not been sufficient-
ly addressed. Even the monitoring of the trade volumes are not an adequate indicator of the effec-
tiveness and impact of the implementation of trade policies. 

5.6.2.2  JC 6.2 The CPA contributed to the improved capacity of ACP countries to negotiate 

and monitor international agreements 

Level of evidence: Medium-High 
Number of evaluations: 11 
Trend: Stronger since the mid-2000s 

Trade negotiation capacity: The EU has provided valuable assistance to trade negotiation capac-
ities and has improved the capacity of public institutions involved in trade policy and facilitation, but 
with  insufficient  analysis  of  the  context  shaping  the  incentive  frameworks  for  trade  development, 
especially in more fragile environments. Notably in weaker contexts, results have often been less 
than anticipated (often gap analysis being inadequate in determining systemic causes of dysfunc-
tionality).  The  root  causes were  frequently  related  to poor  (real)  staff  incentives for  performance, 
high staff rotation in ministries, and pervasive corruption. Predictably, supplying inputs (e.g. training 
and TA) into a partly dysfunctional system was often ineffective.  
Capacity in trade policy management: The targeted focus has been on legal framework revision, 
technical training and equipment provision as key capacity constraints (e.g. Botswana 2009, Car-
ibbean, Pacific). The impact of legislation revision  remains to be seen in the longer term, but the 
groundwork for reform has been firmly established in most cases. Substantial progress has been 
made in terms of institutional strengthening, training and equipment. The improvement of the har-
monisation  and  implementation  of  agreements  on  standards,  by  unblocking  key  capacity  con-
straints has contributed with mixed results to implementing new protocols, framework agreements 
and  harmonised  regulations.  For  example,  the  EU  has  spearheaded  the  process  of  establishing 
regional SPS (Sanitary and Phytosanitary) and TBT (Technical Barriers to Trade) regulations, alt-

36 Intra-ACP cooperation is embedded in the regional cooperation and integration framework and covers all regional op-
erations that benefit many or all ACP States. Such operations may transcend the  concept of geographic location. They 
fall  into  three  main  areas:  global  initiatives,  “all-ACP”  initiatives,  and  pan-African  initiatives.  Thematic  Evaluation  on 
Trade-related Assistance (2013). 

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hough often the overlapping regional organisations in Africa and the resistance of the national sys-
tems have hampered their effectiveness (e.g. SADC/COMESA/EAC Tripartite Task Force). EPAs 
are expected to become a key mechanism to strengthen implementation of trade agreements and 
they include specific tools and provisions. 
In Africa, a key TRA focus, indeed with mixed results, regards two levels of negotiations: 

  within the regional organisations to address and conciliate the interests of the multitude of 
member  states  (intra-regional  negotiations) to  address  the  actual  implementation  of  the 
adopted trade framework all-over the regional territory; 

  and between the regional organisations (inter-regional negotiations), to address the prob-
lems  of  overlapping  and  contradictory  regulations,  ensuring  absolute  harmonisation.  As  a 
concrete example, the Better Training for Safer Food (BTSF) initiative contributed to signifi-
cantly raising the knowledge of the EU food/feed safety control staff and of the third country 
participants involved in the production, delivery and inspection processes of products dedi-
cated to exports. 

5.7  EQ 7 Macroeconomic reforms, private sector and investment 

EQ 7 

To what extent has the CPA contributed to macroeconomic growth/stabilisation and 
institutional reforms and policies at national and regional level resulting in a favour-
able environment for investment and the development of the private sector? 

Main  sources:  Thematic  Evaluation  on  Trade-related  Assistance  (2013),  Evaluation  of  General 
Budget Support (2004), Thematic Evaluation of the EC support to Good Governance (2006), Eval-
uation  of  the  European  Union’s  Support  to Private  Sector  Development  in third countries (2013), 
Thematic Global Evaluation of European Commission Support to agricultural commodities in ACP 
countries  (2012),  Evaluation  of  EU  support  to  the  transport  sector  in  Africa  (2015)37  and  a  wide 
range of country evaluations, including BS country evaluations. 

5.7.1  Summary answer 

Since  the  1990s,  the  main  CPA  contribution  to  economic  growth  in  the  ACP  region  is  through 
budget support38 and its country-level effects on macroeconomic stabilisation, improved PFM and 
more strategic and efficient public expenditure. Support to infrastructure (especially road networks) 
has been very important as well. 
Private  sector  development  has  benefited  from  such  interventions,  while  more  direct  support  - 
aimed at the creation of an enabling environment, improving quality standards, facilitating access 
to  finance  -  despite  some  positive  examples,  has  been  generally  fragmented  and  weakly  main-
streamed in the national strategies. 
Support to agriculture has been focused on food security and commodities, while the sectoral ap-
proach including food value chains and rural development has been weak. 
Governance has become a strong priority in the last decade. It is part of most budget support pro-
grammes and is addressed through sector approaches in various cases, although a still weak inte-
gration  of  political  and  policy  dialogue  and  poor  capacity  development  tools  challenge  its  imple-
mentation. 
The EU is the leader in support to Regional organisations and trade. The latter have contributed to 
economic growth, thanks to their efforts to boosting intra- and extra-regional trade39, strengthening 

37 This evaluation was not yet finalised at the time of the review and only a draft final version was available to the evalua-
tion team.  
38 According to ECDPM (EC Budget Support: thumbs up or down? - 2005), budget support - in the form of EDF contribu-
tion to Structural Adjustment - covered 30% of the disbursements of EDF 7th (1990) and EDF 8th (1995) and 25% of the 
commitments. Under the 9th EDF (2000-2007) the share of budget support has been further strengthened, while under 
the 10th EDF (2007-2014) it was expected to reach 50% of the programmable aid. A peak was reached in 2008, while a 
decreasing trend has taken place since then, with the share coming back to around 25%. 
39  Data  on  Trade  (UNCTAD,  Economic  Development  in  Africa:  intra-African  trade:  unlocking  private  sector  dynamism, 
2013) show that African trade has grown significantly between 1996 and 2011, faster than other regions with the excep-
tion of East-Asia. Intraregional trade has grown at high rates in absolute terms in all sub-regions, although trade with the 
rest of the world has grown even faster in several cases. Comparing the period 2001-2006 with the period 2007-2011, 

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transport networks and enhancing peace building. EPAs could be their new frontier, but their pro-
spect is uncertain and the regional organisations show many institutional weaknesses. 
EU added  value is key for its perceived neutrality and multinational dimension, for its capacity to 
mobilise significant resources and bring together multiple actors, and for its specific competencies. 

5.7.2  Answers to the judgement criteria 

5.7.2.1  JC 7.1 The CPA contributed to disciplined and transparent fiscal and monetary pol-

icies in ACP countries, including control of Parliaments and CSOs 

Level of evidence: High 
Number of evaluations: 21 
Trend: Since the mid-1990s with the participation to Structural Adjustment, then with the support to 
adjustment with human face, then PRSP and GBS and SBS 

  Significant financial contribution to macro-economic stabilisation (mainly through Joint BS). 
  Moderate contribution  to  enhanced  capacities in macroeconomic management (compared 

to IMF, regional partners, etc.). 

  Significant contribution to enhanced capacities in PFM (through BS dialogue and accompa-

nying measures), including matching budget allocations and policy priorities. 

  Especially in the last decade, support to PFM has embraced accountability issues, includ-

ing anti-corruption. 

  Direct support to CSOs and Parliament to enhance their participation in PFM-related control 

is not frequent in the framework of BS.  

5.7.2.2  JC  7.2  The  CPA  contributed  to  the  provision  of  timely  responses,  at  a  reasonable 
cost, to the challenges faced by the private sector in ACP countries, including re-
moval  of  obstacles  and access  of  formal  and informal  SMEs to innovative  and ef-
fective financial and economic services 

Level of evidence: Medium – High 
Number of evaluations: 50 
Trend: PSD has been a priority since the late 1990s, no significant recent changes 

Indirect  support  to  private  sector  via  support  to  macroeconomic  stabilisation  (Budget  Support), 
road infrastructure (specific projects) and trade (regional organisations) has been high. 
CPA support to infrastructure planning and implementation (mainly roads, but also water sup-
ply and to a less extent energy supply) has been critical to increasing long-term competitiveness 
(Mozambique, Tanzania), while poor infrastructure has shown to be a key constraint to private sec-
tor development (Zambia, Madagascar, Malawi). The EU has played a leading role for the devel-
opment of regional transport networks. 
Support to improved PSD environment (e.g. country and regional programmes) has not found an 
adequate  response  and  commitment  at  the  governmental  level40;  private  sector  institutions  have 
not  been  adequately  involved  and  supported,  and  the  programmes  do  not  rely  on  accurate  anal-
yses of the key environment bottlenecks (Jamaica, Kenya). 
Direct support to enterprises, quality standards and enhanced competitiveness (though success-
ful – e.g. Burkina Faso) had limited sustainability. 
EIB investment facility for ACP countries provides relevant and effective venture capital and loans 
as  well  as  capacity  building  to  ACP  financial  intermediaries,  through  joint  and  coordinated  pro-
grammes with other IFIs. 

intraregional trade has grown faster than extra-regional trade for the CENSAD (Sahel), CEMAC, and SADC regions. It 
has grown slower in the other regions.  
40 Evaluation of the EU’s support to private sector in third countries (2013). 

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Various instruments have been put in place, such as: the Global Energy Efficiency and Renewa-
ble Energy Fund (GEEREF), an innovative risk capital-based fund of which the EU is the founder 
and lead donor, the ACP/EU Microfinance Programme, of which the final evaluation is positive, the 
Private Sector Enabling Environment Facility (BizClim), the Centre for the Development of Enter-
prise (CDE), PROINVEST, etc. 
Some positive experiences are present, but a coherent approach to be replicated and adapted  
region-wide is not in place. 

5.7.2.3  JC 7.3 The CPA contributed to strengthening the agricultural and rural development 

policies with a view to enhance inclusive growth and food security 

Level of evidence: High 
Number of evaluations: 47 
Trend: Low priority since the 1990s. Recent signs of renewed interest. 

More than EUR 2.1 billion were provided from 2000-2009 in support of agricultural commodities, 
all instruments or budget lines considered: EDF, Stabex, Sugar and Banana budget lines, and oth-
ers. The approach to the traditional commodity  support was reviewed  with a focus on production 
chains, risk management, diversification, integration into  international trade and sustainable busi-
ness.  Although commodity  support  has  benefited  sector  competitiveness (e.g.  support to banana 
and sugar in the Caribbean41), it was rarely mainstreamed in comprehensive agricultural and rural 
development interventions. 
Food security is another important area in many country programmes, but often the interventions, 
as  in  the  case  of  the  commodities,  are  punctual  (e.g.  Haiti),  provide  immediate  benefits  to  their 
beneficiaries, but have a weak sector approach. 
In terms of sector approach, in most BS evaluated in the past decade since the Joint GBS eval-
uation, agriculture and rural development rarely appear among the targeted sectors for which de-
velopment indicators are established as a matter of joint monitoring and dialogue. Where such in-
dicators appear (e.g. Zambia), government compliance with the relevant indicators is poor and dia-
logue on the policy factors that determine the poor performance is weak. 

5.7.2.4  JC 7.4 The CPA contributed to establish of a democratic and efficient governance 

framework, including modernised PA, independent and effective justice 

Level of evidence: High 
Number of evaluations: 33 
Trend: Increasingly strong priority in the last decade 

Budget  Support  has  been  the  main instrument to strengthen the governance  reform  processes. 
The focus has been primarily on improving public financial management, less on influencing other 
critical  governance  processes  (e.g.  improved  public  accountability  and  Parliamentary  control; 
strengthening oversight bodies, etc.). In the last decade, however, such areas have become more 
important (including anti-corruption and fundamental principles). 
Budget support is not sufficiently combined with sector-specific complementary tools (e.g. CSOs 
involvement, TA, etc.) at the central and local levels, in particular to enhance implementation ca-
pacities.  In addition,  the  EU  Delegations  are  not  adequately  equipped  to  address governance  is-
sues in BS-related dialogue. 
A  project  and  programme  approach,  under  certain  conditions,  has  shown  to  be  effective  (e.g.  in 
Angola42), but capacity development support often overlooks the actual incentive framework (weak 
political economy assessments - e.g. in the case of Trade Related Assistance43). 

41 Thematic global evaluation of European Commissions support to agricultural commodities in ACP countries (2012). 
42 Thematic evaluation of the EC support to good governance (2006). 
43 Evaluation of the EU’s trade-related assistance in third countries (2013). 

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5.7.2.5  JC 7.5 The CPA contributed to private sector and civil society organisations having 
a meaningful impact on preparation and implementation of policies related to eco-
nomic growth and private sector development 

Level of evidence: Medium 
Number of evaluations: 7 
Trend: In principle it has always been a priority 

The Evaluation of the EU’s Support to Private Sector Development in Third Countries (2013) indi-
cates that the private sector was generally not thoroughly consulted when institutional and regu-
latory (I&R) reforms conducive to PSD were prepared and undertaken, with only limited targeting of 
private business. 
Evidence  suggests  that  channelling  support  through  government  departments  and  intermediary 
organisations  increased  the  results  in  terms  of  institutional  capacity  building  without  necessarily 
encouraging the sustainable trickle-down effect to enterprises. Opportunities have been missed 
in  terms  of  long-term  institutional  building  of  private  sector  business  service  organisations  that 
would support SMEs on a more sustainable basis. 

5.7.2.6  JC  7.6  The  CPA  contributed  to  strengthen  the  role  of  regional,  sub-regional  and 

continental organisations to support development standards and opportunities 

Level of evidence: High 
Number of evaluations: 14 
Trend: In principle it has always been a priority, but relaunched with EPA 

The CPA recognises the regional integration organisations as the main partners for the Economic 
Partnership  Agreements,  which  were  launched  in the  2000s  as the  new  comprehensive frame-
works for the development of the ACP region (See also EQ 5). 
Evidence suggests that the CPA provided important support to the ACP business development in 
the 9th and 10th EDF with trade and regional integration most often chosen as a focal sector of 
regional  co-operation,  especially  in  the  second  half  of  the  2000s.  CPA  support  to  improve  intra- 
and extra-regional trade has been huge (policies and regulations  - ESA-IO region) and rather ef-
fective, especially when combined with road planning and implementation (East and Western Afri-
ca), although other trade agreements (e.g. WTO negotiations or EPAs) showed slow progress. 
Challenges identified refer to a) the poor co-ordination between regional and national support 
plans  and  implementation  as  a  main  obstacle  toward  effective  integration  (ESA-IO,  CariCom, 
SADC, Pacific), b) the overlapping and different capacities of the regional organisations (ESA-
IO region, SADC, Central Africa, UEMOA/CEDEAO) and c) the involvement of the private sector 
and other non-state actors which is only emerging. 
Some  regional  organisations  are  particularly  active  in  conflict  prevention  and  management 
(ESA-IO region, ECOWAS), which is a key component of the integration and regional development 
process. 

5.7.2.7  JC  7.7  Unintended effects  have  played  a  minor/major  role  in the  attainment  of  the 

results 

Level of evidence: High 
Number of evaluations: 5 
Trend: NA. 

In  a  limited  number  of  cases,  it  was  found  that  significant  amounts  of  budget  support,  not  ade-
quately supported by a mutual accountability framework, have facilitated the use of funds in non-
priority areas (e.g. large tax exemptions in Uganda, politically driven expenditure in Burkina Fa-
so). This has shed new light on the ground of convergence and trust on which GBS must rely.  
There are some unintended effects of the  strong focus on mutual accountability of many pro-
grammes aimed  at  supporting governance,  when they  are  not  aware  of the  complex governance 
systems that they need to address (e.g. in the Dominican Republic). 

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The  concentration  on  national-level  PFM  and  sector  strategies,  mainly  determined  by  the  use  of 
BS and comprehensive sector programmes has resulted in local government capacity and NSA 
participation  receiving  insufficient  attention  (e.g.  Uganda,  Haiti). There are  only  a few  examples 
where global or sectoral support is accompanied by significant support for NSA and local govern-
ments. 

5.7.2.8  JC 7.8 EU interventions have been complementary and provided an additional value 

in comparison to bilateral interventions of EU MS 

Level of evidence: High 
Number of evaluations: 7 
Trend: Complementarity and joint programming are particularly stressed since the 10th EDF 

The use of BS as one of the main modalities facilitates co-ordination as this is implicit in the nature 
of the aid modality. BS-related co-ordination is strong with member states when they participate in 
BS operations and is much stronger than with other PTF. 
Co-ordination  mechanisms,  outside  the  BS  programmes,  are  numerous  at  the  country  level.  In 
some  countries,  joint  programming  is  in  place  in  some  sectors  (e.g.  Haiti)  and/or  specific  joint 
programmes (many examples). 
EU  specific  added  value  in  comprehensive  support  programmes,  like  GBS,  especially  in  fragile 
countries (e.g. Haiti) is deeply linked to the neutrality of the EU as a whole compared to any sin-
gle member state, or to other powerful nations with hard political, economic and military interests, 
or also to the IFIs with their hard technical standards. 
Its neutrality, its specific experience and trade competence allows the EU to play a unique role to 
support regional integration, which is perceived as a crucial development challenge especially in 
Africa. 
The EU, despite rigorous preliminary assessments and rigorous conditionalities, is ready to sup-
port new policy challenges of committed governments (Haiti, Ivory Coast). 
The EU has access to significant amounts of funds and can mobilise a multitude of instruments, 
including financial facilities. 

5.8 

 EQ 8 – Social infrastructure and services 

EQ 8 

To what extent has the CPA contributed to improved coverage, quality and access 
to basic social infrastructure and services? 

Main  sources:  Thematic  evaluation  of  Population  and  Development  Programmes  in  EC  External 
Co-operation (2004), Thematic evaluation of the European Commission support to the health sec-
tor (2012), Thematic global evaluation of European Commission support to the education sector in 
partner countries (including basic and secondary education) (2010). Also, diverse country/Regional 
evaluations (including country evaluations on Budget Support) have contributed to inform this EQ 
(for  example  Burkina  Faso  2010  and  Uganda  2009,  Tanzania  2013,  Mozambique  2014,  Uganda 
2015, Burkina Faso (draft) 2016). 

5.8.1  Summary answer 

Since the late 1990s, CPA has supported ACP governments to shape and finance education and 
health  policies,  thus  contributing  to  improved  strategies  and  increased  social  infrastructure 
and services, with a focus on the poor. 
BS (including GBS and SBS) has been a major supporting modality, while sectoral programmes 
in Education and Global funds in health have increased during the last decade. 
The supported government policies have led to improved equitable access to the basic services, 
including a significant increase in the enrolment rates in primary and secondary school, improved 
rates  of  access  to  basic  health,  with  positive  impacts  on  the  literacy  and  basic  health  indicators, 
increased access rates to clean water, etc. 
The quality of government services has been partly overlooked, and has partly deteriorated under 
the pressure of the large increase in numbers. 
NSAs  are  involved  in  identification  and  delivery  of  social  services  to  a  different  extent  and  with 

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varying intensity, but not systematically as a consolidated government partner for service delivery. 
Donor co-ordination is facilitated by the financing modalities put in place in the area of social ser-
vices (namely GBS, SBS and participation to global funds in health). There are a number of other 
instruments, including successfully delegated co-operation to EU MS. 
EU added value is particularly important considering its financial weight, especially in budget sup-
port and participation in global funds. 

5.8.2  Answers to the judgement criteria 

5.8.2.1  JC  8.1  The  CPA  contributed  to the increase in availability  of  health and education 

services 

Level of evidence : High 
Number of evaluations: 47 
Trend : During the first half of the 2000s, GBS has been a major source of funding, while Sectoral 
programmes in Education and Global funds in health have increased in the last decade. 

Education 
In the education sector, as for the geographical breakdown, 40% of the EC direct funding44 went to 
the ACP region. 
Interestingly, direct EC funding to education, in relative terms, represents only 3.3% of the total in 
ACP.  The  great  majority  of  EC  funds  was transferred  to  ACP  countries in  the  form  of  GBS,  with 
education-related indicators (a total EUR 3.2 billion from 2000-2007). Out of the 37 countries that 
benefited from GBS with education related indicators, 35 are ACP countries45. 
Budget support has played a catalytic role46, strengthening systems and tools to improve educa-
tion  sector  policies,  service  delivery  and  resourcing  (e.g.  Zambia,  Mozambique,  Uganda  in  the 
2000s,  then  Tanzania,  Mozambique,  Uganda,  Burkina  Faso,  the  Dominican  Republic,  and  other 
countries). Government ownership has been high and since the late 1990s, new education policies 
and plans have been established and updated in the mentioned countries. 
Contribution  to  an  increase  in  the  availability  of  education  services  via  educational  infrastruc-
ture, increased equipment, number of teachers and improved incentives and training opportunities 
is visible. However, new resources and inputs provided are still insufficient, as an increase  in en-
rolment has stretched them even further.  
Health 
In the health sector, the main beneficiary of direct support was the ACP region (46%). Worldwide, 
direct  EC  support  was  channelled  through  the  individual  project  modality  (45%  of  total  support), 
followed  by  ‘Support  to  sector  programmes,  excluding  sector  budget  support’  (18%)  and  SBS 
(16%).  21%  of  EC  funds  were  channelled  through  global  trust  funds,  the  main  recipient  being 
GFATM. The EC’s indirect support referring to the health sector (i.e. GBS with health related indi-
cators) amounted to around EUR 5 billion over the period 2002-2010. Obviously, it is not possible 
to estimate how much of this was actually assigned to health. This amount represents 72% of the 
total  GBS  funds  transferred  to  partner  countries  during  the  period  and  concerned  a  total  of  45 
countries, out of which 39 are located in the ACP region. The weight of GBS has been significantly 
reduced over the last years. 
The contribution to an increase in the availability of health services is reflected in quantitative 
terms (expansion, reconstruction and equipping of health facilities), mainly via the support to sec-
toral expenditure, and in qualitative terms (improved policies, including better human resource mo-
bilisation, e.g. Zambia, Burkina Faso, Angola), via the EC participation in policy dialogue and other 

44 Support that targets directly and entirely the sector. 
45 Thematic  global  evaluation  of  European  Commission  support  to  the  education  sector  in  partner  countries  (including 
basic and secondary education), 2010 
46 Important to note that in the thematic evaluations and in the budget support evaluations there is a certain difference on 
the understanding of the effects of budget support (namely GBS) on the sectoral policies and performance. Such differ-
ence is probably due to the different methodological tools used in the two types of evaluations. 

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policy support. In the last decade, important funds have been channelled through the Global Fund 
and other global projects, to focus specific health care areas.  
There is evidence of a general increase in sectoral public expenditure and the significant contribu-
tion provided, inter alia, by the EC funds and other inputs, as shown by the mentioned BS evalua-
tions, and various country evaluations (e.g. Timor-Leste and others). The sector however remains 
heavily  underfunded  (Thematic  Evaluation,  2012),  the  structures  are  still  not  adequate  and 
quality of services is generally low (i.e. little impact on promoting essential medicine guarantees 
compensated by essential medicine supply through provision of basic benefit packages in a small 
number of settings). In general, the underfunding by the partner governments and inadequate hu-
man resources, exacerbated by the extremely high population growth in many regions, are seen as 
the key factors of the limited improvements. 
Some improvements in coverage of services are indicated (infrastructure, staff) including clinics 
in underserved regions, either through NGO-supported projects, sector support or multi-donor GBS 
(e.g. Ghana). 

5.8.2.2  JC  8.2  The  CPA  contributed  to increase  equitable  access  to  health and  education 

services 

Level of evidence : High 
Number of evaluations: 60 
Trend: Since the early 2000s, this has been a priority.  

Education 
There is evidence of a tremendous increase in access to school, especially at the primary level, 
in the  ACP  countries  in  the  past few  decades47  mainly  due to the  strengthened  sectoral focus of 
national policies, including increased investment, reduction of fees and related increase in service 
delivery,  together  with other  contextual factors  (demographic and income factors,  etc.). The  CPA 
contribution  to  such  strengthened  policy  is  highlighted  in  most  evaluations  (namely  budget  sup-
port). 
In terms of equitable access, the enrolment of girls has grown faster and investment in rural areas 
has been significant with strong increases of access by the poor (Zambia, Tanzania), although im-
portant  differences  among  geographic  zones  persist.  There  is  also  much  evidence  of  increased 
access to higher levels of education, i.e. increased progression and transition rates, in a number of 
countries. 
In fragile states or poorly-governed states, EC’s alignment to government systems may be substi-
tuted  by  support  to  NGOs  as  alternative  channels  both for  mainstream  education  and  pilots  for 
new concepts, some of which have achieved impressive results, especially in regards to reducing 
gender disparities, enhancing learning outcomes and improving access.  
Health 
A key CPA concern has been increasing access and utilisation while reducing access costs for 
the poor. Budget support to countries engaged in reducing health access costs (e.g. Burkina Fa-
so), or project financing of specific health care services through global funds, are the main tools put 
in place. 
In  terms  of  equitable  access,  support  has  been  geared  towards  providing  health  care  for  those 
with  special  needs  through  basic  health  care  provision  programmes  (e.g.  GBS  programmes  with 
indicators related to maternal health) or contribution to global initiatives (e.g. GFATM48, GAVI49, po-
lio eradication). These efforts have been successful mainly in improving maternal health (although 

47 In sub-Saharan Africa, the net enrolment ratio in primary school passed from 58% in 1999 to 78% in 2012 (gross en-
rolment passed from 80% to 102%), with an increase in the number of pupils enrolled from 82 million to 144 million. The 
ratio of female to male was 88% in 1999 and 93% in 2012. Out-of-school children were 42 million in 1999 and 29 million 
in 2012.  
The  net  enrolment  rate  in  secondary  education  passed  from  20%  in  1999  to  33%  in  2012,  with  the  female/male  ratio 
passing from 85% to 87%. 
48 Global Fund to Fight AIDS, Tuberculosis and Malaria. 
49 Vaccine Alliance. 

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gaps remain between rural and urban areas) and, to a lesser extent, in increasing the utilisation of 
health  facilities  by  children.  This  resulted  in  higher  immunisation  rates  and  better  monitoring  of 
growth  and  nutrition  status.  The  improvement  of  other  health  outcomes  has  been  supported  as 
well. 
Such  outcomes,  however,  are  not  sustainable,  as  the  demographic  growth  and  the  pressure  of 
other  investment  priorities  represent  a serious  threat for  health financing and the  sectoral  perfor-
mance may easily deteriorate, as shown in some cases (Uganda). 

5.8.2.3  JC 8.3 The CPA contributed to the establishment of effective quality assurance sys-

tems  

Level of evidence : Medium-High 
Number of evaluations: 8 
Trend : Stronger focus in the last decade 

Despite improvements in terms of systems’ capacities (e.g. Burundi, Madagascar, Namibia, Pacif-
ic), the actual impact on the quality of education is still poor and, despite the jump of the enrol-
ment data, the learning targets are often not met.  
In education, SBS and sector support programmes, especially in middle-income countries, have 
assisted  partner  country  governments  to  accommodate  quality  improvement  strategies  through 
system-wide support. In other cases, GBS has assisted governments to meet the bare necessities 
for education systems’ survival, including financing of teacher salaries and textbooks. Without such 
support, the quality of education provision would have further deteriorated, while experiencing sub-
stantial quantitative increases. 
In  the  health  sector,  there  has  been  a  clear  contribution  to  strengthening  health  policy  strategy 
processes (i.e.  policy  analysis  and  data,  national  strategic  health  plans,  performance  monitoring, 
health  indicators  or  sector  co-ordination).  Key  issues  related  to  health  sector  management  and 
governance such as PFM, accountability and capacity have also been incorporated into policy dia-
logue in most cases. PFM at sectoral level, however, has been addressed with poor results, espe-
cially  at  decentralised  level,  where  lack  of  capacity,  political  patronage  and  other  inefficiencies 
weaken the system (Uganda, Burkina Faso). 

5.8.2.4  JC 8.4 The CPA contributed to the integration of population issues in development 

strategies and policies 

Level of evidence : High 
Number of evaluations: 5 
Trend : Unchanged 

EC policy statements regarding population development have evolved (see EQ 4), in line with the 
ICPD50, from concern with macroeconomic impacts of population growth to concern with individual-
level  reproductive  health  and  rights51.  Special  attention  has  been  given  to  reproductive  health 
(including HIV-AIDS) and family planning but this dimension is still not fully integrated. For ex-
ample, none of the CSPs under the 10th EDF have chosen Sexual Reproductive Health52 as a fo-
cal or prioritised sector.  

50 International Conference on Population and Development. 
51 Thematic Evaluation of Population and Development Programmes in EC External Cooperation, 2004 
52  Sexual  Reproductive  Health  (SRH)  has  received  the  smallest  share  of  direct  EC  support,  amounting  to  only  5%  or 
EUR 219 million of the total direct support over the period 2002-2010. Thematic evaluation of the European Commission 
support to the health sector, 2012. 

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5.8.2.5  JC 8.5 The CPA contributed to private sector and civil society organisations having 
a meaningful impact on preparation and implementation of policies related to social 
infrastructures and services 

Level of evidence : High 
Number of evaluations: 6 
Trend : Unchanged 

There is evidence of positive contributions made by CSOs, with the CPA support, in delivering 
social services to poor communities (e.g. housing, education, health, food security, water, human 
rights, etc.), and through different ‘gap-filling’ operations where CSOs stepped in to substitute for 
failing/unwilling governments. 
While there is a growing trend to involve CSOs in dialogue processes organised in specific sectors 
(health, education, water and sanitation), the intensity and quality of participation tends to vary 
substantially, and hence it is difficult to assess the impact of actions, beyond the positive results of 
individual  projects  and/or  programmes.  Positive  examples  can  be  found  in  Uganda,  Somalia,  or 
Dominican  Republic,  where  EC  support  has  been  particularly  successful  in  contributing  to 
strengthening NSAs and in developing their capacity to participate in policy dialogue with govern-
ment. 

5.8.2.6  JC  8.6  Unintended effects  have  played  a  minor/major  role in the  attainment  of  the 

results 

Level of evidence : Medium 
Number of evaluations: 2 
Trend : NA. 

As an example, education SBS and GBS in Tanzania and in Zambia show several unintended ef-
fects linked to the scale of expansion of primary and secondary education. Indeed, this expansion 
has affected quality with negative effects on average pass rates, although the aggregate number of 
secondary school pupils passing exams has increased.  
Another example is the increased support for the global trust funds in health, which has improved 
effectiveness in addressing a number of diseases, but has weakened the health systems as such, 
creating imbalances and ill-coordinated interventions (Burkina Faso, Uganda, 2015, Burkina Faso -
draft 2016). 

5.8.2.7  JC 8.7 EU interventions have been complementary and provided an additional value 

in comparison to bilateral interventions of EU MS 

Level of evidence : Medium 
Number of evaluations: 7 
Trend : Unchanged 

Co-ordination  by  modality.  The  EU  sectoral  support  provided  through  GBS  has  strengthened 
government ownership and donor co-ordination capacity since the early 2000s. More recent sector 
budget  supports  provide  a  stronger  contribution  to  sector  dialogue  (e.g.  health  sector  in  Burkina 
Faso, draft-2015). The increased intervention through the global funds in the health sector, despite 
some mentioned negative consequences, has also a positive effect on donor co-ordination. 
There is a good co-ordination with the EU MS, with some successful examples of delegated co-
operation (e.g. health sector in Tanzania, delegated to Germany). There is also evidence of an in-
creasing number of tools aimed at ensuring complementarity such as Joint Assistance Strategies 
(JAS), donor matrices, joint field visits or trust funds. 
The EU added value has shown to be stronger in budget support, given the financial weight of its 
interventions and also its influence in the area of PFM and resource management. 
An important limiting factor is identified in the poor sector expertise, especially in the EU delega-
tions. The administrative workload, which hampers the response capacity, is another limiting factor. 

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5.9  EQ 9 Cross-cutting issues 

EQ 9 

To what extent has the CPA contributed to the attainment of substantial results on 
cross-cutting issues? 

Main sources: Evaluation of EU Support to Gender Equality and Women’s Empowerment (GEWE) 
in Partner Countries (2015), Thematic evaluation of EU support to environment and climate change 
in third countries (2015). Regional/country evaluations: Angola 2009, Botswana 2009, Burkina Fa-
so 2010, Caribbean 2012, Jamaica 2012, Pacific 2015, Rep. Congo 2012, Uganda 2009) 

5.9.1  Summary answer 

Despite significant investment and high political commitment in the ACP region, the EU has had a 
weak capacity to deliver on gender equality and empowerment of women. 
Although the information is limited, the evaluations confirm that the EU contribution to fight against 
HIV/AIDS  has  been  generally  significant,  through  either  country  programmes  or  international 
funds. 
Especially since the 10th EDF, environment has received strong support through a multiplicity of 
instruments, rather adapted to the specific conditions. Implementation, however, is still weak and 
mainstreaming  of  environment  sustainability  into  country  strategies is  not  yet  achieved,  but  there 
are significant positive examples. 
Climate change is central since the introduction of the Kyoto  It became prominent on the agenda 
since 2009 and in view of COP21. Recently, focus has evolved from primarily curbing emissions to 
increasingly  addressing  adaptation  in  vulnerable  countries.  Effective  EU  participation  in  interna-
tional programmes. Still challenges in country ownership and mainstreaming. 
Gender  and  environmental  programmes  are  largely  executed  through  CSOs,  although  key  chal-
lenges  remain  at  the  level  of  capacities,  legal  environment  and  fragmentation.  On  other  cross-
cutting issues (e.g. governance), the level of involvement of CSOs remains low. 
Co-ordination with other donors and EU MS is good as regards climate change as it is facilitated 
by international programmes, while it is weak in gender and other areas. 

5.9.2  Answers to the judgement criteria 

5.9.2.1  JC  9.1  The  CPA  contributed  to the integration of  an  effective gender  sensitive ap-

proach at every level of development co-operation 

Level of evidence: Medium 
Number of evaluations: 50 
Trend: NA. 

A total of 58% of EC investment in GEWE from 2007–13 came from DCI and a further 24% came 
from the EDF. The main remaining instruments supporting GEWE-targeted interventions include: 
EIDHR, ENPI and the IfS. The ENPI, IfS and ‘others’ category comprise less than EUR 100 million 
each of committed values of GEWE-targeted interventions. The EIDHR leads in terms of the pro-
portion of its overall value committed for GEWE- targeted interventions in the period, at 11%. The 
geographic  instruments  (DCI  geographic,  ENPI  and  EDF)  lag  behind  with  only  1%-2%  of  their 
combined  funding  dedicated  to  GEWE-targeted  interventions  (EDF  only  1%).  However,  it  is  im-
portant to highlight that only the EDF has shown a marked increase in the amount of GEWE tar-
geted  interventions  committed.  Amounts  committed  through  DCI  have  been  erratic,  while  those 
committed through EIDHR have changed minimally. 
Delivery  on  the  institutional  commitment  and  leadership  of  the  Gender  Equality  and  Women 
Empowerment  (GEWE)  agenda  is  weak.  Also,  there  seems  to  be  a mismatch  between  the  EU’s 
strong policy commitments and the organisational capacity to deliver on them. 
There are also significant questions about the quality of GEWE contributions, as gender analysis 
is  rarely  used  to  inform  strategy  and  programming,  and  gender-sensitive  indicators  are  not  ade-
quately  integrated  in  programme/project  results frameworks.  Despite the importance attributed  to 
context assessments, understanding of the gender context is usually limited, which is reflected in 

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weak/absent  country  strategy  objectives,  programmes  and  dialogue.  As  a  result,  windows  of  op-
portunity may be missed. 
In ACP countries, while gender has been present at the design stages, it is difficult to track its 
implementation. Gender equality and equity principles have been often declared in public policies, 
but they have almost never been effectively implemented through specific policies and measures 
(e.g.  Timor–Leste,  Jamaica,  Pacific,  Uganda,  Burkina  Faso).  It  can  be  noted  that  better  results 
have  been  achieved  when  gender  issues  have  been  specifically  addressed  at  the  sectoral  level, 
especially education and agriculture (e.g. Angola, Botswana, Ethiopia, Malawi).  

5.9.2.2  JC 9.2 The CPA contributed to the effective fight against HIV/AIDS  

Level of evidence: Low-Medium 
Number of evaluations: 28 
Trend: Unchanged 

Information  on  CPA  contribution  to  fight  against  HIV/AIDS  is  scarce  but  there  is  information  on 
specific interventions -notably through project approach- which show good results on average. A 
large portion of EU support to fight HIV/AIDS has been channelled through annual contributions to 
the Global Fund (GFATM), with beneficiaries worldwide (the EU committed EUR 1.2 billion to the 
three  poverty  related  diseases  HIV/AIDS,  malaria  and  Tuberculosis  over  the  period  2002-2010 
(GFATM)53. 
HIV/AIDS has been tackled, in most cases, as a cross-cutting issue mainly in specific health sec-
tor interventions (in some cases also in education54, food security and infrastructure sectors). In 
this regard, support has been focused on the availability of and access to health services for per-
sons living with HIV/AIDS (e.g. Rep. Congo, Angola). 
In  some  countries,  positive  results  have  been  achieved  by  moving  forward  from  standalone  pro-
jects, addressing specific needs of those affected by HIV/AIDS, to a more  systematic approach 
to social protection (Lesotho, Angola, Botswana) combined with capacity development of nation-
al institutions. At the regional level, in the SADC region, three main programmes were of significant 
importance;  

  Under EDF 8: Regional Support for an Expanded Response to HIV and AIDS;  
  The Regional HIV/AIDS Awareness and Education Programme (Soul City) Edutainment;  
  The Health and Development Innovative Consortium (HDIC) – Network of ACP Universities 

to strengthen National HIV/AIDS Responses. 

5.9.2.3  JC  9.3  The  CPA  contributed  to  the  mainstreaming  of  environmental  sustainability 
into all aspects of development co-operation and support programmes and projects 
implemented by various actors 

Level of evidence: Medium-High 
Number of evaluations: 44 
Trend: Environment has been more effectively mainstreamed since the 10th EDF, notably in 2 sec-
tors (agriculture and rural development and infrastructure). 

The  main beneficiary  regions  of  the  EU  support  to  environment  were  ACP  countries,  receiving 
45% of all funds (9 ACP countries ranking among the top 20 countries receiving EU support)55. Ten 
ACP countries receive 53.4% of all ACP countries’ contracted amounts. A further breakdown of the 
ENRTP  interventions  in  global,  regional  and  bilateral  funds  shows  that,  while  supra-regional 
ENRTP  funding  is,  as  expected,  mostly  financed  by  global  programmes  (84%),  a  big  part  of  the 
funding in ACP countries relies on country programmes (47%)56.  

53 Thematic evaluation of the European Commission support to the health sector, 2012. 
54 A considerable number of teachers are victims of AIDS every year in Botswana, Zambia and Uganda. 
55 Thematic global evaluation of the EU support to environment and climate change in third countries (2007-2013), 2015. 
56 This is partly explained by Global Climate Change Alliance (GCCA) funding at country level (23% of all ACP country-
level funding). 

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ACP countries were among the main beneficiary regions of the EU support to environment, re-
ceiving 45% of all funds57 mainly at country level or through support to the ACP-EU Energy Facility 
and to the Sustainable Energy for All initiative (SE4ALL). 
The use of mixed instruments has contributed to increasing the readiness and ability of the gov-
ernments to implement their commitments. However, implementation is often weak, indicating that 
the level of prioritisation is still modest in several countries (e.g. Kenya, Ghana, Chad or Madagas-
car).  
Some of the identified challenges relate to weak linkages between environment and poverty re-
duction,  lack  of  a  comprehensive  strategy  and  policy  dialogue  (e.g.  Timor-Leste)  or  weak  co-
ordination (e.g. Lesotho).  
Positive  examples  in  which  EU  contribution  has  been  recognised  include  Rwanda,  (the  EU,  to-
gether with other donors, contributed to mainstreaming environment into the Government’s agen-
da), Malawi (where sustainable management of natural resources features prominently in both 9th 
and 10th EDF) or Ghana (through the strategic Environmental Assessment). In the Pacific, the EU 
interventions have also contributed to the strengthening of natural resource conservation. 
From a thematic point of view, it is noted that environment received a lot of attention in the agricul-
tural commodities projects (e.g. in the Caribbean, Cameroon, Ghana and Madagascar) and the 
transport sector. 

5.9.2.4  JC 9.4 The CPA contributed to the strengthening of policies and implementation of 
support programmes to mitigate and adapt to the consequences of, and the threat 
posed by, climate change 

Level of evidence: Medium-High 
Number of evaluations: 9 
Trend: Climate change, present since the 1990s, became prominent after 2009 and after 2011 was 
focused on facilitating the achievement of binding agreements in 2015. 

A substantial amount of EU climate change funding through the Global Climate Change Alliance 
(GCCA) has been allocated to the Pacific on top of the regular EDF allocations. The activities of 
the  Alliance  have  enhanced  the  capacity  of  the  Pacific’s  climate  change  negotiators  and  helped 
mobilise communities in conducting vulnerability assessments, as well as making some improve-
ments  in  mainstreaming  climate  change  in  national  policies.  However,  some  EU  stakeholders  in 
the Pacific region argued that the GCCA projects implemented in the region could have benefitted 
from greater regional consultation in the design phase. 
Overall, EU policies and strategies for climate change are appropriate according to the evaluations. 
Specifically, EU support has contributed to the creation of an environment conducive to reaching 
global  agreements,  the  establishment  of  climate  financing  mechanisms,  building  stronger 
knowledge, tools and approaches to address climate change issues e.g. Rwanda  
However,  some  major  challenges  remain  with  regard  to  fragmentation  of  climate  change  strate-
gies or understanding/political will from partners’ countries (e.g. Timor-Leste). The case of Rwanda 
is a positive example which shows how a partner-led mainstreaming approach can be an element 
of success. 

5.9.2.5  JC 9.5 The CPA contributed to private sector and civil society organisations having 
a  meaningful  impact  on  preparation  and  implementation  of  policies  related  to  the 
cross-cutting issues 

Level of evidence: Medium 
Number of evaluations: 4 
Trend: Stronger since the 10th EDF 

57 Thematic global evaluation of the EU support to environment and climate change in third countries (2007-2013), 2015. 

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Between  2007  and  2013,  civil  society  organisations  (CSOs)  received  44%  of  Gender-targeted 
funding. Under the Environment thematic programme - ENRTP, international organisations were 
the  most-used  channel  (56%),  followed  by  CSOs  (16%).  Capacity-building  has  been  largely  pro-
vided through the Green Economy and Social and Environmental Entrepreneurship in Africa Pro-
gramme and the Partnership for Action on Green economy (PAGE) programme: positive and sus-
tainable results have been seen in Kenya, Ghana and Burkina Faso.  
Some BS evaluations show that civil society and private sector have been engaged successfully in 
monitoring public expenditure and support anti-corruption policies in the framework of budget 
support programmes. Such accompanying measures have been financed by EU member states in 
co-ordination with the EU, but not directly financed by the EU.  
Remaining challenges to overcome include: 

 

 

the fragmented and fluid nature of civil society in many countries, with CSOs often suffering 
from major legitimacy, capacity and internal governance weaknesses;  
the predominance of urban based NGOs in policy processes, as compared to the involve-
ment of decentralised, grassroots CSOs;  

  political  restrictions  to  the  action  of  civil  society,  reflected  for  example  in  control-oriented 

regulatory frameworks; and  

  difficulty in developing new partnership arrangements. 

5.9.2.6  JC  9.6  Unintended effects  have  played  a  minor/major  role in the  attainment  of  the 

results 

Level of evidence: Low 
Number of evaluations: 0 
Trend: NA. 

In  the  environment  and  climate  change  sectors,  the  strategy  of  working  through  leading  interna-
tional  programmes  (e.g.  UNDP, WB,  ICAO  and  ICLEI)  has  led  to  greater  efficiency  and  reduced 
the danger of fragmentation. However, the EU capacity to better integrate the whole CPA agenda 
and  the  action  of  such  international  actors  needs  to  be  strengthened,  to  avoid  incoherence  and 
fragmentation.  

5.9.2.7  JC 9.7 EU interventions have been complementary and provided an additional value 

in comparison to bilateral interventions of EU MS 

Level of evidence: Medium 
Number of evaluations: 6 
Trend: NA. 

The EC Services and EEAS have not systematically fostered complementarity between their gen-
der related actions and those of EU Member States. Some positive examples of co-ordination exist 
(coordinated  programming,  joint  vulnerability  assessments,  and  common  policy  and  political  dia-
logue messages), but these are rather a result of country context and proactive leadership of key 
stakeholders.  
On  environment,  the  EU  support  has  been  coherent,  coordinated  and  complementary  to  assis-
tance  provided  by  Member  States  and  other  donors,  as  well  as  between  the  thematic  and  geo-
graphic  instruments.  There  is  room for  improvement  particularly  in  linking  the  support  of  the  the-
matic and geographic instruments for implementing international conventions. One clear example 
of  synergy  is  that  many  environment-related  actions  are  not  only  funded  by  the  EU,  but  also  re-
ceive significant financing from other donors, which reduces transaction costs, enhances delivery 
and capacity of funded programmes, and generates knowledge and approaches for wider applica-
tion.  

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5.10  EQ 10 – Poverty reduction and the needs of most vulnerable groups 

EQ 10 

To what extent has the design and implementation of EU interventions adequately 
delivered on poverty reduction and addressed the needs of the most vulnerable 
groups? 

Main sources: Joint evaluation of general budget support (2006), Thematic global evaluation of Eu-
ropean  Commission  support  in  the  sectors  if  ESI  (employment  and  social  inclusion)  in  partner 
countries (including vocational training) (2011), Evaluation of the European Union’s Support to Pri-
vate  Sector  Development  in  Third  Countries  (2013),  Thematic  evaluation  of  the  European  Com-
mission support to the health sector (2012), Thematic global evaluation of European Commission 
support to the education sector in partner countries (2010)and a wide range of country evaluations, 
as well as BS evaluations (for example BS Mozambique 2014 and BS Uganda 2015) 

5.10.1  Summary answer 

The  poverty  incidence  in  ACP  countries  has  been  reduced  over  the  last  decades,  although  the 
present  levels  are  still  very  high  and  there  extreme  poverty  persists  in  some  large  areas  and 
among  certain  groups.  The  improvements  in  poverty  reduction  are  mainly  the  consequence  of 
economic growth (income poverty) and increased access for the poor to basic social services (non-
income poverty). The CPA has contributed to strengthening the endogenous factors of growth, by 
supporting macroeconomic stability, PFM, trade and transport networks. And it has contributed to 
enhancing government policies towards strengthening equitable access to basic social services. 
CPA’s contribution has been weaker in supporting the productive sectors, namely agriculture and 
rural development, energy and – in general – private sector development. Employment support is 
becoming a priority in many CPA country strategies, but still the employment support strategies are 
linked  to  education  and  employability.  They  are  not  connected  with  the  private  sector  support, 
namely SMEs/MMEs. 
Food security at the national level has been addressed mainly through macroeconomic and insti-
tutional support, which has enabled recipient countries to develop their strategies to face structural 
recurrent insecurity. Specific programmes aimed at providing direct support to food-insecure com-
munities have been put in place as well, although their strategic dimension has remained weak. 
CPA’s interventions in fragile states affected by either conflicts or other fragility factors have be-
come a key priority. In many cases, their relevance is high, as they aim at a deep combination of 
state building concerns and relief-rehabilitation and development priorities. Indeed the implementa-
tion  of  such  strategies  is  complex  and  long.  The  information  on  their  outcomes  is  rather  limited, 
although the main weaknesses are identified. 
The  CPA  specific  role  and  added  value  in  such  differentiated  matters  is  diversified.  Given  its 
weight and representative capacity, CPA has a prominent role in supporting the growth factors and 
the equitable access to social services, especially in low income countries. CPA role has a leading 
function also to promote trade and transport networks. 

5.10.2  Answers to the judgement criteria 

5.10.2.1 JC 10.1 The CPA contributed to the overall reduction of poverty 

Level of evidence: High 
Number of evaluations: 59 
Trend: Strong focus on poverty reduction since the mid-1990s. 

Budget support evaluations58, (and more recently Mali, Zambia, Tanzania, Uganda, Mozambique 
and Burkina Faso), together with a number of country strategy evaluations (e.g. Haiti) converge on 
concluding  that  significant  joint  BS  amounts  contribute  to  poverty  reduction  through  two  specific 
effects:  

58 Joint Evaluation of General Budget Support 1994–2004, 2006. 

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  contribution  to macroeconomic  stability  and  improved  PFM  policies,  which  create an  ena-
bling  environment  for  trade  and  private  sector  development,  thus  boosting  growth  and  in-
come poverty reduction; and  
the  contribution  to  increasing  investment  and  improving  policies  in  basic  social  services, 
which  increase  access  to  and  possibly  quality  of  the  services  for  the  poor,  thus  reducing 
non-income poverty. 

 

Sector support, through BS programmes, mainly focused on education, health and water & sani-
tation compared to the productive sectors (agriculture and SMEs/MMEs), as confirmed by most BS 
evaluations.  This  limited  their  contribution  to  actual  poverty  reduction  (Zambia,  Mozambique, 
Burkina Faso, Uganda). 
Apart from  budget  support,  CPA  has  put  in place  other  interventions  to address  either  economic 
growth (economic infrastructure, as discussed in other sections of this study), or specific aspects 
of poverty, namely food security, social protection, community development. In this area, the 
EU support to Micro Projects Programme (MPP) in ACP countries merits special attention.59 
On the other hand, the role of the context and its endogenous factors and the key responsibility of 
the national and regional leading groups should be considered, the CPA’s support being one of the 
contributing factors. As stated in the Zambian case, “it would be illusive to think that with relatively 
small amounts of aid per capita it would be possible to “make poverty history” within a few years.”  
Significant  progress  were  reported  in terms  of  poverty  reduction (e.g.  Rwanda,  Uganda,  Mozam-
bique, Malawi and many other countries), although the incidence of poverty is still high (40% in Af-
rica and in the other conflict affected ACP countries) and extreme poverty is hardly affected. There 
are also cases in which the results were lower than expected (e.g. Timor-Leste, Mali, Caribbean). 
In  other  cases,  poverty  reduction  strategy  was  well  designed  and  is  starting  to  yield  positive  im-
pacts (e.g. Tanzania in the road investment sector, Ghana).  

5.10.2.2 JC  10.2  The  CPA  contributed  to  economic  inclusive  growth  thereby  reducing  in-

come poverty  

Level of evidence: High 
Number of evaluations: 11 
Trend: Since the early 2000s, BS has had a strong focus on social sectors. 

The CPA underlines the link between growth and poverty reduction, as the EU Agenda for Change 
spells out the “drivers of inclusive growth’, mentioning equitable access to social services, enabling 
business environment and sustainable agriculture and energy.  
There is evidence of the CPA contribution to the establishment of an enabling economic environ-
ment for growth (macroeconomic stability, PFM). But there is little evidence of comprehensive sup-
port to private sector development (improved regulatory environment, support to value chains) and 
sustainable agriculture (see the specific EQ 7), which ensure the highest inclusiveness of growth 
(agriculture productivity and non-agricultural employment). Particularly in fast growing low-income 
countries, the specific opportunities faced by the private sector are overlooked60 (Zambia, Burkina 
Faso, Uganda, Mozambique). 
In  general  the  CPA,  for  objective  difficulties  and  probably  also  for  its  nature  of  inter-government 
agreement, hardly considers the political economy implications of its support and the need of put-
ting in place growth distribution policies, based on the access to assets and not only to services by 
the poor. This would mean improving investment in the rural areas (e.g. roads and  water) instead 
of increasing tax exemptions for large enterprises (Uganda, 2015), or undertaking huge politically-
driven investments (Burkina Faso, draft-2016). 

59 Evaluation of European Commission support to Micro-Project Programmes under the European Development Fund In 
ACP Countries, 2006. 
Thematic global evaluation of EC support in the sectors of ESI (employment and social inclusion) in partner countries, 
2011. 

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5.10.2.3 JC 10.3 The CPA contributed to reducing food insecurity and vulnerability to food 

crises 

Level of evidence: Medium-high 
Number of evaluations: 58 
Trend: Food security has had a strong evolution in the 2000s. 

Food security has been addressed through a multifaceted approach, including a foreign currency 
facility  to  channel  a  large  part  of  food  aid  and  generate  counterpart  funds  to  be  used  as  budget 
support and various areas based interventions to enhance community-level resilience against cli-
matic shocks. 
The  data  from  the  thematic  evaluations  is  rather  out  of  date,  while  country  evaluations  provide 
more  up-to-date information. The  EU  Food  Facility  has  been  appreciated by  recipient  countries, 
but has only partially been able to support the mainstreaming of food security into national policies. 
The area-based interventions have been conceived according to a project approach, with a low 
strategic consistency (Burundi, Haiti), including post conflict interventions (Liberia, Angola), where 
linking release, rehabilitation and development is always a challenge. 
Other programmes do have a direct effect on household level food security. A generally effective 
and direct way to increase access to food stems from “aid” channelled through NGOs (e.g. Zambia 
or Niger), where this kind of aid seems irreplaceable, even when its effectiveness is questioned. 
At the regional level, it is noted that the tendency has been to regard food security as a national 
concern rather than addressing opportunities for regional food security. A positive example, how-
ever, is provided by the African Trans-boundary River Basin Support programme, coordinated by 
SADC. Also in West Africa (and not only), the effects of the improved road networks on food secu-
rity have been shown. 

5.10.2.4 JC  10.4  The  CPA  contributed  to  increasing  employment  especially  for  the  youth 

and effective social protection 

Level of evidence: Medium-high 
Number of evaluations: 18 
Trend: Employment and social inclusion is a rather recent priority in thesecond half of the 2000s. 

An  overall  analysis  of  the  Indicative  Programmes  for  all  ACP  countries  (Employment  and  Social 
Inclusion - ESI evaluation – 2011) shows that 38% of them have at least one ESI-relevant sector 
as a core area of intervention: 22 countries in Africa, five in the Caribbean and three in the Pacific. 
These  include  actions  on  vocational  education  and  training,  private  sector  development  (in 
Mali,  Niger,  Uganda,  Tanzania  ESI  is  a  secondary  area),  and  some  actions  at  the  regional  level 
(Trade Related Assistance and institutional strengthening).  
In  working  towards  mainstreaming  trade  into  national  development  strategies,  the  EU  also  pro-
motes the inclusion of trade-related labour market reforms that may be needed to reap the full 
benefits of trade liberalisations.  
Education,  training  and  labour  market  needs  have  been  judged  poorly  integrated  in  most 
CSPs considered. The EU seems to have isolated its attention to employment from its Private Sec-
tor Development (PSD) assistance and addressed employment mainly under education, vocational 
or social assistance in an effort to improve labour force employability. Employment concerns were 
not  systematically  mainstreamed  in  the  economic  reform  and  private  sector  support.  Exceptions 
existed where a clear employment objective was included in the programme, such as the banana, 
rum and rice support programmes. 
The contribution of the EU’s assistance to employment in the informal sector (access to and con-
ditions of employment) has been limited, mainly based on project approach (e.g. Kenya, Jamaica).  

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5.10.2.5 JC 10.5 The CPA has contributed to tackling the roots of and to reduce fragility 

Level of evidence: Medium-high 
Number of evaluations: 12 
Trend: Strong focus on fragility in the second half of the 2000s. 

The  European  Consensus  on  Development  from  November  2005  set  out  an  approach  to  “ad-
dressing  state  fragility”  through  governance  reforms,  rule  of  law,  anti-corruption  measures  and 
the  building  of  viable  State  institutions.  It’s  a  holistic  approach  linking  peace,  security  and  devel-
opment, according to the international Principles for engagement in Fragile States (OECD).  
In Haiti and Burundi, there was a relevant effort to integrate different instruments and components 
in the country programmes to address state building and rehabilitation. In both cases, however, the 
results were behind the expectations as there was a missing political link. In Haiti, until 2013 the 
level of political dialogue was low as was the government’s commitment. In Burundi, it was difficult 
to establish an accepted ground of political dialogue and the identification of a shared agenda with 
the government. State Building Contracts (SBCs) have recently proved to be flexible GBS instru-
ments for rapid support to fragile states (e.g. Mali, South Sudan, Haiti) and could be a response to 
such weaknesses provided that they rely on high-level political dialogue. However, their implemen-
tation is quite recent and there is no evidence in the evaluations.  
Fragility under conflict prevention has been already addressed in EQ 2. 

5.10.2.6 JC 10.6 EU interventions have been complementary and provided an additional val-

ue in comparison to bilateral interventions of EU MS 

Level of evidence: Medium 
Number of evaluations: 3 
Trend: NA. 

The EU added value is particularly strong with respect to the establishment of an  enabling envi-
ronment for economic growth. This is due to the dimension of the EU intervention, especially when 
significant amounts of BS are involved, and also due to the EU capacity to establish synergies with 
various (smaller) contributions of the EU MS (most recent BS evaluations). 
With  respect  to  PSD,  including  agricultural  and  rural  development,  the  EU  contribution  does 
not show a significant added value, although it would have the potential to become a key partner in 
sectoral strategies. Due to its mandate, the EU has a leading role on trade and regional integra-
tion, which provide a key framework for growth and PSD. 
The role of the EU in Employment and Social inclusion-related sectors is widely recognised. 
On fragility, the EU has a specific added value for its neutrality (Haiti) and capacity to aggregate 
key development partners (Burundi). 

5.10.2.7 JC 10.7 Unintended effects have played a minor/major role in the attainment of the 

results 

Level of evidence: Medium 
Number of evaluations: 1 
Trend: NA. 

Unintended effects of the support for growth have been limited to some cases, which were rather 
quickly  identified,  of  distorted  use  of  the  resources  provided  by  BS  programmes,  namely  GBS, 
when the strategic trust between partners was deteriorated (e.g. Uganda and Burkina Faso). 
In  the  area  of  fragility,  interventions  are  complex,  as  they  insist  in  very  sensitive  contexts  where 
insufficient links between rehabilitation and development, and between short and longer term may 
introduce imbalance factors that contribute to a worsening of the situation after a first period of re-
covery (Burundi, Angola). 

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5.11  EQ 11 – Joint institutions 

EQ 11 

To what extent has the work of the joint institutions contributed to the results 
achieved by the CPA? 

5.11.1  Summary answer 

Evidence found on that particular EQ has not been sufficient to draft a valid answer. 

5.11.2  Answers to the judgement criteria 

5.11.2.1 JC 11.1 An effective flow of information between the Parties 

Level of evidence: Low 
Number of evaluations: 3 
Trend: Activities in the field of capacity development and knowledge sharing (e.g. trainings, work-
shops, seminars, study visits) take place between the Parties aimed at promoting the exchange of 
ideas,  practices  and/or  priorities  as  well  as  in  order  to  get  acquainted  with  the  EC  procedures. 
However, there is not wide evidence on this particular aspect in the Evaluations reviewed. 

Article 5 of the Cotonou Agreement sets the basis for co-operation aimed at supporting operations 
to provide more information and create greater awareness of the basic features of ACP-EU Part-
nership.  It  also  stresses  the  importance  of  encouraging  partnership  and  building  links  between 
ACP  and  EU  actors,  and  strengthening  networking  and  exchange  of  expertise  and  experience 
among the actors.  
Evidence on this particular aspect is very scarce in the reviewed evaluations. One could argue that 
this  dimension,  while  being  an  important  driver  for  good  communication  and  understanding  be-
tween  the  Parties,  actually  belongs  to  the  internal  functioning  and  organisation  of  the  Cotonou 
Agreement and does not necessarily fall under the assessment of the concrete geographic and/or 
thematic interventions. 
Two concrete examples of effective knowledge sharing opportunities have been identified: 

  A particular and relevant example of knowledge sharing is provided by the EU/ACP Micro-
finance programme61, considered as part of an effort to improve the microfinance capacity 
and knowledge base within the Commission and ACP Secretariat. By way of example, this 
peer-learning event provided a powerful tool for sharing ideas between peers working in dif-
ferent organisations, countries and regions. The Programme’s final evaluation found there 
had been a positive impact on Commission expertise in microfinance and stakeholders ex-
plained  that  interaction  with  centralised  operations  consisted  mainly  of  exchange  of  infor-
mation rather than enhancing synergies with country operations. On a particular note, insuf-
ficient  links  with centralised  and regional  support  were  observed  in Jamaica (EU/ACP  Mi-
crofinance Programme).  
In  the  framework  of  the  implementation  of  the  Cotonou  Agreement  provisions  regarding 
Non  State  Actors  (NSA),  the  EC  provided  support  to  the  ACP  Secretariat  to  produce  a 
Manual  for  NSAs  on  the  Cotonou  Agreement62  in  order  to  disseminate  appropriate  infor-
mation  on  how  NSA  can  benefit  from  and  the  opportunities  available  under  the  Cotonou 
Agreement.  

 

5.11.2.2 JC 11.2 Effective and efficient joint institutions 

No evidence has been found on this particular Judgement Criterion. 

61 Evaluation of the European’s Support to Private Sector Development in Third Countries (2013). 
62 A user’s guide for Non State Actors, Source: http://ecdpm.org/publications/cotonou-agreement-users-guide-non-state-
actors/.  

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5.11.2.3 JC  11.3  Joint  institutions  contributed  to  increase  co-ordination,  complementarity 

and coherence between the EU and its MS 

No evidence has been found on this particular Judgement Criterion. 

5.11.2.4 JC  11.4  Added  value  of  the  joint  ACP-EU  institutions  as  compared  to  regional 

frameworks for dialogue and co-operation within the ACP regions 

No evidence has been found on this particular Judgement Criterion. 

5.11.2.5 JC 11.4 Unintended effects of the functioning of the joint institutions 

No evidence has been found on this particular Judgement Criterion. 

5.12  EQ 12 – Mix of tools 

EQ 12 

To what extent has the EU mix of "tools" (instruments, approaches and financing 
modalities) and the co-management system contributed to reaching the goals of the 
ACP-EU partnership? 

Main  sources:  Evaluating  co-ordination  and  complementarity  of  country  strategy  papers  with  na-
tional development priorities (2006), Evaluation of Commission’s aid delivery through development 
banks  and  EIB  (2008),  Evaluation  of  Commission’s  external  co-operation  with  partner  countries 
through the organisations of the UN family (2008), Evaluation of EC aid delivery through civil socie-
ty organisations, Mid-term evaluation of the Investment Facility and EIB own resources operations 
in ACP countries and the OCTs and numerous thematic, regional and country evaluations (for ex-
ample Haiti 2014 and Tanzania 2006, ESA-IO 2008, Health 2012, PSD 2013).  

5.12.1  Summary answer 

A  good  combination  of  a  large  variety  of  different  instruments  -  namely  budget  support,  sector 
programmes  and  accompanying  projects,  mobilisation  of  NSAs  and  specific  stabilisation  tools  - 
has allowed the CPA to successfully address diversified and complex contexts. In most cases, this 
combination has been relevant and sometimes effective. In other cases, however, its implementa-
tion has been difficult. There is not a tool that works and others that do not, but the links between 
the different tools in place sometimes have worked and were successful and sometimes were not, 
depending upon the ownership of the recipient country and also the quality of the design.  
The increasing use of sector wide programmes (SWAp) supported with budget support is not al-
ways complemented with specific accompanying projects and CSOs mobilisation. While there is a 
growing trend to involve CSOs in SWAp-related dialogue (health, education, water and sanitation), 
the intensity and quality of participation tends to vary substantially. 
Investment facilities and various EIB interventions are effective but  at risk of being marginal as 
they are not adequately integrated into the country strategies, while they could play a determinant 
role for PSD and to address the new growth expectations of many ACP countries and regions. 
The  Stabex  and  Sysmin  instruments  designed  to  help  the  agricultural  and  mining  sectors  were 
abolished by the CPA in 2000. FLEX mechanism streamlined the EDF and introduced a system of 
rolling programming, making for greater flexibility and giving the ACP States greater responsibility.  
The efficiency and effectiveness of the National Authorising Officer’s Support Units (NAO SUs) is 
questioned, as sometimes they play a role of filter vis à vis the policy dialogue. NAO Services have 
little involvement in preparing the NIPs. Services are geared to financial and administrative issues 
and have little or no involvement in the strategic phases. This trend has not changed over time. 

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61 

5.12.2.1 JC 12.1 Instruments (national/regional/intra ACP) effective and efficient  

Level of evidence: Medium 
Number of evaluations: 20 
Trend: BS has been the main instrument until the mid-2000s, but attempts to combine it with other 
instruments have always been present  

It is impossible to make a comprehensive judgement on the effectiveness and efficiency of the 
national and regional instruments as these vary according to the national/regional and sector con-
texts and have evolved over time. 
EU strategies at the national level have been considered mostly  relevant, while their quality and 
adaptation to changing contexts vary considerably.  
Coherence and complementarity between EC instruments show several weaknesses, internally 
(intra-region and intra-country) and externally (region and country). In some cases a low degree of 
visibility/knowledge of the regional instruments in place has been identified63.  
A shift in funding is noted in the ACP countries between the 9th and 10th EDF, from funding at the 
intra-ACP level64 in the 9th EDF (2000-2007), to more funding at the regional level in the 10th EDF 
(2008-2013).  Governance  and  management  weaknesses  at  the  intra-ACP  level  (e.g.  Pro€Invest, 
CDE and to a lesser extent BizClim) and limited absorption capacity among regional organisations 
(e.g. SADC, ECOWAS)65 have been also noted. 

5.12.2.2 JC 12.2 Approaches (project approach, budget support, SWAp, joint funding) effec-

tive and efficient 

Level of evidence: High 
Number of evaluations: 64 
Trend: Increasingly, a combination of aid modalities has been applied in the different sectors. 

The combination and/or sequencing of different instruments, according to the country context, has 
helped maximise the effects of the support. The “project versus budget support” debate appears 
out of place, as both have their own specific features and may apply well or poorly to address dif-
ferent objectives66. 
Project modality can contribute to sector support if it is aligned  with and uses the sector perfor-
mance indicators. Also, it can be useful for innovative or pilot interventions. Some of its limiting fac-
tors are: relative isolation from the sectoral strategy, limited impact in leveraging reforms, fragmen-
tation  of  critical  aspects  of  institutional  capacity-building,  greater  administrative  burden  by  EDF 
procedures, and too many and different implementing partners with variable performance records.  
Sector approach is “a marriage between government ownership and efficient sector management 
and well-coordinated donor funding67”. Its advantages include global vision, flexibility, avoidance of 
duplication and integrated activities. The disadvantages can include high transaction costs, domi-
nance (not leadership) by donors with specific leverage, concentration on macro-level policies and 
limited local participation. The sector approach has been implemented through sector budget sup-
port  in  most  cases,  but sometimes  also through  participation  in sector  trust funds or  coordinated 
support and GBS. 

63Based on the Synthesis of geographical evaluations managed by the Evaluation Unit during the period 1998-2006 
64 Intra-ACP cooperation in the 10th EDF includes three groups of actions: to enhance the response of ACP against in-
ternational threats and participation to related global initiatives; to facilitate ACP protection from exogenous shocks relat-
ed to climate change; and to improve African capacity to address peace building. A full description of ACP instruments is 
provided in Annex 4 
65 Evaluation of the European Union’s Support to Private Sector Development in Third Countries (2013) 
66 Evaluation of the EU Co-operation with Timor-Leste (2015). Thematic and geographic evaluations all address the is-
sue of combination of instruments as a relevant way to manage the programmes,  which sometimes either is not put in 
practice as necessary, or is badly implemented. 
67 Thematic global evaluation of European Commission support to the education sector in partner countries (2010) 

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General  budget  support  (GBS)  has  proven  to  be  an  effective  modality,  especially  in  the  2000s 
when it supported comprehensive poverty reduction strategies and accompanied significant inclu-
sive growth processes (Uganda, Mozambique, Burkina Faso, others). When strategic convergence 
of  partners,  trust  and  financial  leverage  have  declined,  GBS  has  shown  significant  weaknesses, 
including formalisation and deterioration of dialogue, distorted use of funds, slow down of key sec-
toral reform processes. Attempts to mitigate such weaknesses through the introduction of stricter 
links between targets and disbursements (e.g. variable tranches) have contributed to reducing the 
quality  of  dialogue,  without  improving  the  strategic  effectiveness  (Tanzania).  Whenever  the  right 
conditions exist, GBS is recommended (Haiti, Burkina Faso) and would benefit from complemen-
tary  SWAp68  and  sectoral  budget  support69,  and  different  accompanying  measures  (stand-alone 
projects in specific cases, to open pathways into new areas of co-operation and to strengthen the 
capacity of actors)70.  
The  EU  shows  a  specific  added  value  in  providing  significant  amounts  of  budget  support  (both 
general and sectoral), for its financial capacity and its capacity to lead EU MS coalitions in different 
geographic areas. 

5.12.2.3 JC  12.3  Financing  modalities  (ACP  government,  private  sector,  NSA's,  multilateral 

organisations and EU MS) effective and efficient 

Level of evidence: High 
Number of evaluations: 30 
Trend: Increasing use of sector-wide programmes supported with budget support. 

In  many  cases,  the  most  important  financing  modality  has  been  from  EU  to  ACP  governments 
(e.g. education and decentralisation sectors71). There is little information on the comparative effec-
tiveness/efficiency of the different modalities. In particular, it is impossible to say whether a modali-
ty is effective/efficient per se, without considering the context and its application. 
An interesting example is provided by the case of Haiti, where the EU has shown that working with 
both  NSA  and  the  State  is  absolutely  necessary,  although  not  at  all  easy.  Both  modalities  have 
shown  strong  effectiveness,  but  both  have  also  shown  to  be  unsustainable  for  multiple  reasons, 
namely poor complementarities on both sides. 
Positive  contributions  made  by  CSOs  in  delivering  social  services  to  poor  communities  (e.g. 
housing,  education,  health,  food  security,  water,  human  rights,  etc.)  are  frequent.  EU  support  to 
civil society, however, is at risk of being compartmentalised, not based on strategic dialogue with 
national authorities and not mainstreamed in the main sector strategies. 
International organisations have also been important in ACP countries, especially the United Na-
tions system72. There has been a positive impact through making delivery of aid possible in chal-
lenging  contexts,  particularly  in  politically  sensitive  situations  despite  problems  of  efficiency  and 
loss of visibility. 
Aid delivery has also been channelled through the EIB (see EQ 12 JC 12.4) based on the specific 
banking  functions  (notably  for  providing  financial  instruments),  and  grounded  in  strategic  EU  co-
operation agreements (interest rate subsidies, technical assistance, risk capital).  
Regarding execution through EU member states, the information from the evaluations is limited, 
with the exception of the health sector in Tanzania (2006). 

68 Sector Wide Approach 
69 BS evaluations in Uganda and Burkina, Haiti evaluation. 
70 Evaluating co-ordination and complementarity of country strategy papers with national development priorities, 2006 
71 Thematic global evaluation of European Commission support to the education sector in partner countries (2010)  and 
Thematic global evaluation of the Commission support to decentralisation processes (2012) 
72 33% of EU funds channelled through UN bodies were allocated in the ACP over the period 1999-2006. Evaluation of 
Commission’s External Cooperation with Partner Countries through the Organisations of the UN family, May 2008.  

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5.12.2.4 JC 12.4 Operations of the investment facility were effective and efficient 

Level of evidence: High 
Number of evaluations: 2 
Trend: Endowment revised downwards under the 9th EDF following the setting-up of the EU Water 
Facility and the EU Energy Facility.  

Over the period 2003-2013, endowment for IF operations through ACP EIB IF (EUR 3,587 million) 
contributed directly or indirectly to the Cotonou objectives of poverty reduction, integration into the 
world  economy,  and  sustainable  development.  The  portfolio  was  balanced  between  country-
specific (51%) and regional operations (49%)73. 
IF  operations  mainly  supported  the  financial  sector,  including  credit  lines.  Energy  and  industry 
were  also  important  areas of  attention.  For  operations in financial  services and in  industry,  inter-
ventions targeted the private sector. Public-sector-led operations were mainly focused on the en-
ergy sector.  
The  financed  operations  generated  positive  results,  notably  in  terms  of  reinforcement  of  the  fi-
nancial viability and competitiveness of the supported enterprises, particularly in the financial sec-
tor,  although  their  impact  at  the  country  level  was  minimal.  However,  the  lack  of  prioritisation 
strategy and limited EIB/EC co-ordination hampered maximisation. Careful analysis of creditwor-
thiness  of  operators  and  selection  of  projects,  which  overall  favoured  the  efficiency  of  ACP/OCT 
operations, were applied. 

5.12.2.5 JC 12.5 Additional financial support contributed to the mitigation of the adverse ef-
fects  of  instability  of  export  earnings  and  the  safeguarding  the  development  pro-
gramme jeopardised by drops in revenue 

Level of evidence: Low 
Number of evaluations: 2 
Trend:  Eligibility  criteria  of  FLEX  revised  twice  to  allow  more  accessibility.  Complemented  since 
2009 by the ad-hoc V-FLEX to address the fall out of the global financial crisis.  

Support  under  FLEX74  is  to  be  provided  as  an  additional  single  payment  to  the  already  existing 
budget support programmes, or, if necessary, through existing projects or programmes, including 
social safety nets (a second-best proposition)”. 
FLEX has been used in many countries, ensuring rapid responses to crises (e.g. Jamaica, in cop-
ing with reduced export earnings or Grenada). When FLEX interventions aimed at building disaster 
preparedness systems (Haiti), they were less effective and lacked strategic guidance. 

5.12.2.6 JC 12.6 The co-management system involving national authorities in the program-
ming  and  management  of  aid  programmes  has  been  efficient  and  added  value 
compared to other EU co-operation instruments in ACP and non-ACP countries 

Level of evidence: Medium 
Number of evaluations: 10 
Trend: Unchanged 

The  information  available  in  the  strategic  evaluations  is  very  limited,  but  a  few  key  issues  are 
found. 
Most NAO-SUs are non-specialist but, as they play an interface role, often limit the efficiency of the 
line  ministries  in  the  management  of  aid  resources  and  hamper  the  policy  dialogue.  Support  to 
NAO-SUs  is  useful  in  contexts  of  fragility,  lack  of  transparency,  facing  fundamental  governance 
challenges (Mali, Sudan) or where the NAO system plays a pivotal role in Donor co-ordination (Li-

73 Mid-Term Evaluation of the IF and EIB OR Operations In ACP/OCTs, 2010.  
74 Facility for FLuctuations in Export Earnings 

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beria). This begs for a differentiated approach in addressing how the NAO functions and support to 
it can evolve into a Capacity Development mechanism75.  

5.12.2.7 JC  12.7  Co-management  promoted  higher  ownership  by  the  partner  Governments 

and increased sustainability of the actions  

Level of evidence: Low 
Number of evaluations: 19 
Trend: Unchanged 

Despite  the  capacity  of  the  NAO  to  delegate  his/her  powers,  the  NAO-SUs  mainly  operate  in  a 
centralised environment: This may constrain line ministries to engage technically, leading to their 
frustration and weak ownership. 
The task analysis of NAOs reveals that most of the resources for support projects are allocated to 
project  implementation,  especially  financial  control,  but  also  ever  more  frequently  to  drawing  up 
invitations to tender and administrative follow-up.  
Sustainability of the system is limited. A great part of NAO-SUs are supported by EU funds and 
count  on  international  expertise  for  management  tasks  which  hampers  the  improvement  of  local 
capacities and increase the costs of the services.  

5.12.2.8 JC 12.8 Current system of resource allocation allows adequate funding to be chan-

nelled to countries where it yields the highest impact 

Level of evidence: Low 
Number of evaluations: 5 
Trend: Over the last few years, there has been a greater balance between needs and governance. 

Resources under 10th EDF have been allocated through a formula that provides a balanced con-
sideration of needs and governance criteria; the previous exclusive consideration of needs that 
overlooked both the absorption capacity and the respect of the basic principles (human rights, de-
mocracy, the rule of law and other good governance principles) was thereby corrected.  
However, the important weight of the needs has ensured that fragile states are not penalised. From 
some  member  states  the  request  of  a  stronger  weight  of  the  governance  in  the  allocation  of  re-
sources is supported. A study has been carried out by the Commission and EEAS, but an agree-
ment  on  how  to  improve  the  allocation  mechanism  according  to  the  performance  has  not  been 
reached so far. 
The evaluations do not provide information on this matter. 

5.12.2.9 JC  12.9  The  legally  binding  characteristic  of  the  agreement  has  been  (and  still  is) 

instrumental in reaching the results  

No evidence has been found to inform this JC. 

5.12.2.10 

JC 12.10 Unintended effects of the different "tools" and the co-management 

system 

The instruments considered are too different. Each one has specific strengths and weaknesses as 
highlighted above, but it is not possible to identify global unintended effects for all of them. 

75 NAO Study, mainstreaming capacity development in EU aid management (2013), EuropeAid EVA / 219 – 719. 

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Information gaps and possible ways to filling them 

6 
As stated in the methodology, a systematic approach to the analysis of data has been applied in 
this  assessment  by  clustering  the  evaluation  reports  into  different  categories  (according  to  their 
reference) and extracting the relevant information in a focused way. 
The set of codes represent the backbone of the data extraction process and has guided the pre-
analysis of the reports allowing for the:  

  Establishment of a general overview of the level of evidence available per Judgement Crite-

rion (JC);  

  Assessment  of  the  type  of  information  extracted  (descriptive  vs  analytical,  qualitative  vs 

quantitative);  

  Establishment of a preliminary typology of findings per JC aggregation of information and 4-

idetify gaps of information. 

With respect to the latter purpose, the extractions have revealed that some gaps of information ex-
ist, hindering proper analysis of some of the JCs. In an attempt to ensure that this was effectively 
the case, subsequent extraction exercises have been conducted and some of the most appropriate 
reports  were  also  read.  In  some  cases,  this  has  proved  useful  not  so  much  in  order  to  obtain  a 
higher degree of evidence, but rather to understand the lack of information. For instance, the low 
level of evidence on the EU support in the fight against VIH/AIDS is mainly explained by the fact 
that  a  large  part  of  the  EU  contributions  go  through the  Global  Fund  to fight  AIDS,  Tuberculosis 
and Malaria. As stated in the Health Evaluation, “the focus of the Evaluation is on health policy de-
velopment and the choice was made to explicitly exclude EC support to poverty related diseases 
(PRDs),  namely  Malaria,  Tuberculosis  and  HIV/AIDS  from  the  scope  of  this  evaluation”.  In  other 
cases,  successive  searching  and  reading  efforts  have  confirmed  the  absence  of  information  and 
hence the difficulty to respond to one or several JCs in a detailed manner. 
Overall, wide evidence has been gathered  in regards to the three Pillars of the Cotonou Partner-
ship Agreement which makes it possible to answer to all the Evaluation Questions directly linked to 
the  three  dimensions  of  the  CPA76  (political,  trade  and  development).  However,  it  is  important  to 
note that the level of evidence within the different topics covered by Pillar may differ. For instance, 
while a large and detailed amount of information can be found in terms of macroeconomic stability 
or coverage, quality and access to basic social infrastructure and services, much less information 
is explicitly available on the levels of fragility in different countries and CPA contribution to their re-
duction. This can be explained by the fact that some of the Evaluation Questions refer to focused 
sectors  of  intervention  for  which  tracking  of  performance is  possible.  Others,  conversely,  refer to 
less  explicit  sectors  of  action  such  as  fragility  and  governance  or  to  highly  traditional  transversal 
issues (i.e. gender, environment, climate change) for which specific information is rather fragment-
ed and not always easy to aggregate.  
Some of the most important findings as regards information gaps are as follows: 

  As a general remark, it can be said that Pillars II and III are more evidence-based than Pil-
lar I. Pillar I presents unbalanced level of evidence due to the nature of the questions under 
consideration. It is important to note that very low evidence has been found in regards 
to migration issues (EQ4). 

  A very low level of evidence informs those aspects related to the institutional frame-
work  and working  mechanisms  of  the  CPA  (particularly  EQ  11  and  partially  EQ  1  and 
12). The analysis of the Evaluations reveals that most of the information available refers to 
the implementation of the succeeding EDF MFFs (thematically or geographically) but very 
little information is provided on how the partnerships and its related institutions work.  

  Quantity and quality of evidence vary within and between the Evaluation Questions. 
While some of the Evaluation Questions contain a high level of information per Judgement 
Criterion (i.e. EQ 5 & 6) others present a less balanced assessment. This can be explained 
by the different scopes attributed to each Judgement Criterion and, of course, by the topic 
under consideration. For those questions linked to specific thematic priorities, the availabil-

76 Particularly EQ 2-10 

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ity  of  information  also  depends  on  the  geographical  approach  selected  by  the  evaluation 
team. While in some thematic evaluations specific and relevant information about the ACP 
region is provided (in terms of financial breakdown, sectoral priorities, trends over the eval-
uation period, sources of information, etc.) others have adopted a more general worldwide 
approach complemented by specific study cases.  
Information about the political aspects linked to the legally binding nature of the CPA 
as well as the use of the different mechanisms in place (e.g. Article 96, suspension or sanc-
tions) as a deterrent is almost absent and when presented it is in a rather succinct and de-
scriptive way. This has a negative influence in the level of evidence that informs some JCs 
of EQ1, 2 and 12.  

 

In 9.5 an indicative level of evidence per JC as well as additional comments on the overall percep-
tion of the information available is provided. Additionally, possible ways to enlarge or/and improve 
this preliminary assessment are also proposed bearing in mind the possible data collection meth-
ods and other significant documents that could be taken into account. In general, the selection of a 
number  of  case  studies  could  provide  an  in-depth  contextualised  examination  of  how  priorities 
have been established and implemented at the sectoral / geographical level. Qualitative data col-
lection (e.g. semi-structured interviews) would help provide a deeper understanding of those “soft” 
aspects and processes that strictly factual information could not capture.  

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7  Conclusions per DAC criteria 
These conclusions build on the evidence presented in the answers to the EQs and provide a syn-
thesis according to the DAC criteria (Relevance, Effectiveness, Impact, Sustainability and Efficien-
cy) and to the additional criteria of EU value added and 3Cs (Coherence, Co-ordination and Com-
plementarity). 

7.1  Relevance of the CPA as it appears from the strategic evaluations 
The present chapter presents an overall assessment of the relevance of the CPA country, regional 
and thematic programmes, as  it appears from the strategic evaluations, compared to the key ob-
jectives of the CPA: poverty reduction, through sustainable development, and gradual integration 
into the world economy.  
The following  was shown  in  the geographic  evaluations  (country  and regional)  and in the  budget 
support evaluations: 

  A  strong  focus  on  poverty  reduction,  aligned with  government  strategies,  is  recognised 
as  an  important  sign  of  the  relevance  of  the  comprehensive  CPA  programmes,  including 
pro-poor support to macroeconomic stabilisation, improved public expenditure and sectoral 
policies. Regarding alignment and ownership, which are conditions for the relevance of the 
objectives,  some  evaluations  judge  that  the  latter  does  not  always  correspond  to  the  for-
mer, as the governments’ commitment and actual behaviour often diverge from their stated 
objectives and strategies. In the case of the regions, the ownership is further weakened by 
the inter-government nature of the regional organisations and the trade-off between region-
al and national priorities. 
In recent years, there has been also a certain focus on gradual integration into the world 
economy, especially at regional level and in fast growing countries. A significant push to-
ward this objective has come from EPAs, although their implementation has suffered delays 
and some complications. The relevance toward this objective, however, is still focused on 
trade,  while  the  focus  on  the  diversification  of  economies,  including  competitive  supply 
chains is still weak. 
The thematic evaluations note that: 

 

  Relevance  is  particularly  high for  education,  with  its  focus  on  poverty  reduction,  including 

 

 

 

 

universal primary education and gender equity. 
It  is  significant  for  health,  with  the  exception  for  human  resources  development,  of  which 
the focus has been on improved access to basic health services in the poorest areas. 
It is significant for trade related assistance, including its regional dimension, with a focus on 
both poverty reduction and the integration in the world economy. 
It is significant for transport, where the CPA intervention has addressed some of the main 
obstacles to regional trade and economic development, although sometimes -due to a nar-
row  emphasis  on  infrastructure  construction-  complementary  aspects  have  been  over-
looked (including institutional setup, environmental and gender-related effects, etc.). 
In  private  sector  development,  although  the  objectives  of  the  specific  interventions  have 
been relevant, their mainstreaming in the national strategies is still weak. 

  Governance also shows a significant relevance for the objectives of specific interventions, 
but  their  link  with the  objectives  of  the  whole  country-level  programmes is  not  adequately 
highlighted. In addition, governance interventions appear aligned with government, but not 
necessarily  with non-state actors, who are also important subjects in the governance pro-
cesses. 

  The  governance  evaluations  and  those  related  to  budget  support  underline  the  weak  link 
between  political  dialogue  on  governance  issues  and  the  whole  co-operation  programme, 
which would benefit from stronger political guidance and support. Such a weak link, despite 
some important improvements after the establishment of the EEAS, persists in recent years 
due  to  a  structural  and  organisational  separation  between  political  and  policy  dialogue  in 
the EU delegations, limited capacities and reluctance of the partner governments. 

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  On  conflict  prevention  and  peace  building,  the  CPA  intervention  has  been  generally  rele-
vant,  although  the  investment  in  conflict  analysis  has  been  limited  and  sometimes  the 
alignment  with  partner  governments  in  conflict-prone  or  post-conflict  contexts  has  been 
problematic. 

  On  gender  equity,  the  relevance  of  the  intervention  has  been  generally  poor.  The gender 
equity objectives are not mainstreamed in the country strategies, specific actions remain ra-
ther isolated and political and policy dialogues do not give sufficient priority to the topic. 
  Agriculture and rural development and energy-related policies also are not given a priority 
in proportion to their potential role for growth and poverty reduction. This is clearly shown in 
budget support evaluations in particular. 

Verification  of  the  assumptions.  Regarding  the  key  assumptions  of  the  CPA  (see  the  Logical 
Framework  in  the  methodology  section),  there  are  assessments  in  the  various  EQs  and  in  the 
Conclusions  as  well.  To  synthesise  such  assessments,  the  following  table  is  established,  where 
the assumptions are merged (where possible) and a synthetic assessments is provided. 

Assumptions 

Synthetic assessment 

Framework of principles and values / 
Obligations under international con-
ventions 

It has been the focus of the political dialogue between 
the parties. In a limited number of cases there was 
breakage and use of suspension procedures. 

Common understanding frameworks 
/ Interest and commitment of the 
parties / Equality of partners and 
ownership 

Mobilisation of key actors 

Functional joint institutions 

Coherence of EU policies / Trans-
parent, efficient and easy to apply 
management 

Alignment to partners’ strategies and ownership are a 
basic standard, but often ownership appears rather for-
mal. Shared frameworks of common interests and values 
at country and regional level, to base comprehensive po-
litical and policy dialogue, are unclear. 

It is pursued in most cases, although the prominence of 
the government-based relationships hampers its system-
atic and effective application. 

No data is available from the evaluations on the joint 
CPA institutions.  

Coherence of EU policies is pursued. Most evaluations 
complain the heavy management procedures and the 
administrative and operational burden especially on EU 
Delegations. 

7.2  Effectiveness of CPA as from the strategic evaluations 
Growth and social  policies.  An effective contribution  has  been  provided mainly  through budget 
support since the 1990s77. Macroeconomic stabilisation and improved public financial management 
have been widely supported, budgetary allocations to social sectors have been protected and poli-
cy design and implementation in health and education have been enhanced, as a consequence of 
the  provision  of  budget  support  funds,  the  establishment  of  macro  and  sectoral  dialogue  frame-
works and the execution of complementary capacity development actions. 
In the last decade, however, budget support seems to have partially lost its leverage, especially in 
fast-growing countries, due to its reduced financial weight on recipients’ budgets, among other rea-
sons. Namely, there has been a change in priorities among both the partner countries and the EU 
MS.  The  former  have  shown  a  growing  interest  in  foreign  direct  investment  (FDI)  and  growth-
related support (infrastructure), fostered also by the presence of new strong partners in the interna-
tional  scene  (China).  The  latter,  under  the  pressure  of  the  economic  crises  and  the  related  con-

77 On the financial importance of Budget Support in the EDF (between 30% and 50% of programmable funds from the 7th 
to the 10th EDF, from early 1990s to 2014), see the footnote under the EQ 7, above. Here, it must be noted that budget 
support is one of the cooperation tools the effects of which  - at least at the financial level  - are not distinguishable be-
tween the various aid providers. The evaluations are therefore joint. The EU, being one of the main budget support pro-
viders and the biggest provider of budget support grants, is also one of the main contributors to its effects. 

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cerns of the national public opinions, have strengthened their emphasis on accountability and their 
preference towards modalities ensuring stricter controls on the use of funds. 
Private sector development has been fostered by macroeconomic and fiscal stabilisation and al-
so by the improved trade regulatory systems and the reinforcement of the transport networks (par-
ticularly  at  the  regional  level),  which  altogether  have  contributed  to  the  improvement  of  the  local 
business environment and export opportunities.  
Contribution to the strengthening of private sector organisations, their direct participation in the po-
litical and economic processes, and to the strengthening and diversification of the supply chains, 
however, is less evident. 
CSOs, non-state and decentralised actors have been effectively mobilised through ad hoc pro-
grammes and specific budget lines especially for relief and rehabilitation. 
The  consolidation  and  mainstreaming  of  the  strategic  role  of  CSOs,  non-state  and  decentralised 
actors in the development processes (either as watchdogs of public expenditure, or as social ser-
vice providers), however, is still a challenge. 
Good governance has been pursued with mixed results. Significant effects to improve economic 
governance have been achieved. With respect to democratic governance, the support to the elec-
toral processes has been effective in many countries. The dialogue on human rights has covered a 
large share of the political dialogue in the last decade. 
Good governance as a whole, including democratic and economic governance, is not systematical-
ly addressed in the political dialogue, which seems mainly focused on elections, HR and security. 
An attempt to establish a comprehensive and country-tailored governance platform as a base for 
local partnerships (see the Governance Initiative in the 10th EDF) has been abandoned. 
Regional organisations. CPA support has contributed to trade and economic development, and 
also to peace and security. Regional quality standards, trade regulations, trade-related internation-
al negotiations and regional infrastructure networks have been improved in the last few decades, 
thus improving the conditions for expansion of trade and economic growth. This has taken place in 
Eastern and Southern Africa, in the Indian Ocean, and partly in West Africa and the Caribbean. In 
addition, regional organisations, as in the case of Africa Union and Western Africa, have shown to 
be an appropriate dimension to tackle some of the most acute regional security crises. 
A problematic institutional framework, however,  has weakened the CPA  action. An intensification 
of support for regional trade and economic development should have come from the implementa-
tion of the EPAs, but EU ability to leverage the different national partners in the regions has partly 
weakened as a result of reduced resources available (due to the international crisis and stronger 
presence  of  new  powerful  partners)  as  well  as  a  result  of  disparity  of  interests,  and commitment 
among them has remained an obstacle to successful implementation of EPAs. 
Conflict  prevention,  management  and  resolution  operations  have  increased  in  recent  years. 
The capacity of the regional organisations to intervene in conflict management and peace building 
has been enhanced (AU, ECOWAS and others). New, flexible instruments and approaches, includ-
ing post-crisis reconstruction, have been established. Although the early warning systems are still 
weak, the response to the outbreaks of conflicts has been often rapid, with positive effects on sta-
bilisation. In post-crisis situations, timely and effective support has been provided for the recovery 
of agriculture and access to basic social services in the affected areas (Angola, Kenya, Haiti). The 
civil society mobilisation, particularly through specialised NGOs networks, has been a fundamental 
tool. 
Some main structural weaknesses, however, remain. On the one hand, the EU is one of the most 
credible actors in terms of conflict prevention, management and resolution, especially for its plural 
and rather neutral political position. On the other hand, its leadership is still weak when addressing 
the root causes of regional conflicts and defining longer-term arrangements. Another weakness is 
in  regards  to  the  link  between  relief,  rehabilitation  and  development  (LRRD).  There  are  cases 
where a LRRD  approach has  been  promoted  with mixed  results.  Sometimes the  co-ordination of 
the  different  interventions  put  in  place  (for  emergency,  short  and  longer-term  interventions)  is 
weak, due to their separate management and the limited ownership by the recipients. 
Fragile states. Effective support is still a challenge, despite evident progress over the last decade. 
Specific  tools,  like V-Flex,  State  Building  Contract  (SBC  -  a specific form  of  budget  support)  and 

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others  have  been  successfully  tested  in  fragile  countries.  The  combination  of  state  building  and 
non-state actors’ mobilisation, of short- and medium-term approaches has proven to be effective. 
The  integration  between  SBC  and  various  reconstruction  interventions,  however,  remains  a  big 
challenge and the  coordinating role of the  local partners,  including the  EU  Delegations,  is  not  as 
strong as it should be. The LRRD approach is not built into the different response actions, so as 
they often do not integrate each other and the support to public institutions remains isolated from a 
number  of  potentially  effective,  but fragmented, sectoral  and/or  local  supports. Often  the security 
concerns  overshadow  economic  growth  priorities,  especially  for  food  agriculture  and  youth  em-
ployment,  thus  failing  to  address  the  fragility  causes.  Short  term  emergencies  prevail  on  longer 
term needs, including predictability. 

Impacts of CPA as from the strategic evaluations 

7.3 
The  overall  contribution to poverty  reduction  has  been  significant,  if  one considers  the  direct 
contributions to macroeconomic stabilisation, improved PFM, trade capacity including strengthen-
ing  of  the  main  transport  networks,  increased  public  expenditure  in  social  sectors,  etc.  All  such 
public policies and country/regional capacities strengthened by CPA have contributed to economic 
growth and to increased access of the poor to the basic services, thus contributing to both income 
and non-income poverty reduction. 
The contribution, instead, to an inclusive growth, with an improved level of participation of the poor 
and an accelerated reduction of the poverty incidence, has been weak. As probably it could have 
been expected, the CPA has not been able to influence the internal mechanisms of income distri-
bution and the key political economy equilibria in the ACP societies. In particular the productivity of 
the labour in agriculture and urban informal sector, where most employment is still concentrated, 
has not increased as it should have done to support inclusive growth. 
Equitable access to basic social services. The CPA has contributed to improved equitable ac-
cess to basic social services (education, health, water and sanitation) and, then, to improved living 
standards  among  the  ACP  populations  and  the  poor.  Over  the  last  decades,  the  CPA  support 
(jointly  with  other  international  partners)  has  provided  a  substantial  share  (although  decreasing 
over last years) of the development expenditure in the mentioned sectors in many ACP countries. 
Such financial support has often been complemented through policy advice and capacity develop-
ment, thus accompanying the efforts that the country leaderships have done: 

  Universal  primary  enrolment  and  gender  parity  in  primary  education  have  been  almost 
achieved, with a positive impact on literacy among the youth. The quality of education, in-
cluding its relationship with the employment remains an important challenge, although it is 
partly a consequence of the tremendous quantitative increases. 

  Strong progress has been made in reducing child mortality. In maternal health, malaria and 
HIV/AIDS, the progress has been important as well, although the challenges remain enor-
mous and some reversal trends are observed here and there. 

  Access to safe drinking water has widely increased, although at a pace below the expecta-

tions and with a bias in favour of the urban areas. 

Overall, the quality of institutional change, however, remains low. The recent sectoral evaluations 
tend to be highly critical on the capacity of basic services to meet the present and future needs in 
ACP countries. 
Trade flows. The CPA has contributed to the enhanced trade flows within the ACP area and be-
tween the ACPs and the rest of the world. Over the last fifteen years, the trade flows between the 
ACPs and the rest of the world have increased almost at the same pace as the world trade flows78, 
and trade growth has been a main drive for global economic growth in the ACPs. This has over-
turned a negative trend of deterioration of the position of the ACP in international trade, which last-
ed from the ‘70s. The evaluations contain significant evidence on the important contribution provid-

78 The importance of this result is often underestimated, even in some evaluations. This result shows that ACP area has 
been  able  to  participate  in  the  extremely  competitive  international  arena  over the  last  fifteen  years  without  being  over-
whelmed, but rather consolidating its positions. Lots of things remain to do (namely trade diversification and increased 
value added), but the performance so far is a good base. 

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ed by CPA to trade facilitation, including enhanced trade regulations, liberalisation and capacity in 
the ACP countries and the improvement of the basic transport infrastructure on the main regional 
axes. 
The  key  determinant  of  trade  growth,  however,  is  international  demand,  while  trade  facilitation 
plays a key role when demand is high. Indeed the diversification of supply remains a weak feature 
of the ACP trade. And, as seen in the evaluations, this is also a weak point of the CPA contribution. 
Democracy and human rights. The CPA has contributed to the reinforcement of democracy and 
human rights in the ACPs. The democratic process in the ACP countries, although slow and dis-
continuous, has progressed. Progress has been made since the 1990s, with a significant reduction 
of the authoritarian regimes. During the 2000s, however, the process has slowed down. A majority 
of  so-called  anocracies, or  hybrid  regimes  with  mixed  democratic  and authoritarian features,  has 
been  established  in  contexts  destabilised  by  regional  and  internal  conflicts.  A  small  group  of  de-
mocracies has consolidated its setup. And a group of deeply authoritarian and some failed states 
persist. Overall, according to the E.I.U. democratic index, the democracy standards have deterio-
rated  in  almost  all  regions  in  the  last  decade,  with  Sub-Saharan  Africa  reporting  instead  some 
small improvements. 
CPA action in this area has increased in the last decade. The contribution to the electoral process-
es  has  been  significant  and  widespread,  and  the  political  dialogue  on  HR  -  including  associated 
support - has been provided on a case by case basis when needed, with mixed results. 
Peace  and  security.  The  CPA  has  contributed  to  peace  and  security  stabilisation  and  mainte-
nance in the ACPs. Reasons for conflicts and actual conflicts have multiplied in the last decades, 
especially in Africa. The capacity of reaction of the international community has improved at vari-
ous  levels,  with  a  deep  involvement  of  some  regional  organisations:  mobilisation  for  peace  en-
forcement, identification and implementation of post-conflict country emergency and rehabilitation 
plans,  conflict  prevention  networks.  The  EU  has  been  at  the  forefront  in  the  response  action, 
through the provision of funds, political dialogue and partners’ co-ordination, institutional building, 
ad hoc conflict prevention and post-conflict plans. In all the conflict regions in Africa, EU has been 
one of the main partners of the Africa Union, and also of the ECOWAS, CEMAC, etc. to enhance 
their response capacity. 
The weak resilience of the ACP countries, however, makes most of them vulnerable to increasing 
worldwide  instability.  And  the  EU  has  not  yet  put  in  place  adequate  partnership frameworks  and 
capacities  to  tackle  the  root  causes  of  conflicts,  including  shared  understanding  of-  and  action 
against regional inequalities, discriminations and imbalances. 

7.4  Sustainability of the achievements so far, as from the strategic evaluations 
Economic  achievements.  ACP  economic  growth  and  trade  increase  are  not  fully  sustainable. 
Much of the growth recorded by ACP countries in the last decades is linked to the increased inter-
national demand for their raw material, including oil, gas, other minerals, cocoa and coffee, etc. As 
seen, such sources of growth are particularly vulnerable, while the diversification of the ACP econ-
omies  is  still  lagging  behind.  The  productivity  of  the  labour  in  agriculture  and  the  urban  informal 
sector,  where most  of the  working forces  are concentrated,  is  still  low.  Some  ACP  countries  and 
some DPs emphasise the new Middle Income level achieved in several cases. Indeed, the evalua-
tions show that approaching the so-called MIC status may be a mirage that pushes country leader-
ship to bite off more than they can chew and overlook the consequences of the instability of inter-
national markets79.  
Social  achievements  need  to  be  consolidated  through  institutional  development  and  quality. 
Evaluations show how the social gains can easily be threatened if not supported by deep institu-
tional  changes  and  not  adequately  maintained.  This  is  happening  with  HIV/AIDS  in  many  cases, 
but also with primary enrolment, maternal health, etc. The high rate of population growth in many 
cases is a strong factor of vulnerability and makes the achievements so far largely unsustainable, 
especially if the countries are affected by economic crises and conflicts. 

79 Uganda, but also Ghana (from a preliminary context analysis of the ongoing BS evaluation) 

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Democratic processes are still very weak. Even in more advanced cases, the emerging democ-
racies are weak. There is still a lacking support of solid middle classes and the systems of checks 
and balances are still unripe. Some are also vulnerable to the pressure of powerful groups for state 
capture. Building competitive and attractive states is still a big challenge and a very long process 
that needs up-to-date long-term international partnerships. 
The root causes of instability and conflicts have not been addressed. The world is in the middle 
of a complex transition, with the emergence of new regional powers, new middle classes within a 
number of MICs, fierce resistances to change and the clash of these emerging players with each 
other  and  with  an  ACP  context  mostly  characterized  by  economically  and  institutionally  weak 
states.  As  nobody  knows  how  long  this  transition  will  take  and  which  dimensions  it  will  assume, 
conflict management strategies and tools are necessary, but not sufficient. Strengthening the resil-
ience of the existing states and regions in the ACP areas is the key response, including long-term 
predictable support and consolidation of the endogenous institutional dynamics and growth factors. 

7.5  Efficiency of the CPA as from the strategic evaluations 
Ownership is limited in many cases. The evaluations show that country and regional programmes, 
although  tailor-made,  are  not  deeply  owned  by  the  national  counterparts.  The  National  and  Re-
gional Authorising Offices system (NAOs and RAOs) ensures, in many cases, only a formal partic-
ipation  of  the  partner  countries  and  regions.  Apart  from  the  CPA,  there  is  not  a  country/regional 
partnership framework, based on a comprehensive shared agenda that would justify in depth politi-
cal and policy dialogue. 
Integration of political and policy dialogue is weak. Comprehensive, high-level political dialogue 
(as established in Article 8) does not systematically support policy dialogue and rather tends to be 
compartmentalised, with a focus on human rights and security issues. Policy dialogue is often del-
egated  to  lower  levels,  e.g.  monitoring  and  technical  negotiations  related  to  single  programmes. 
Often policy dialogue is  unable to go beyond the technical nature of the issues addressed, while 
the factors  that  may  determine  real  changes  and advances  in reforms  are related  to the  political 
commitment of the decision makers. This is why policy dialogue needs a continuous support from 
political dialogue. In addition, the compliance with the technical requirements of a budget support 
variable  tranche  are  much  less  important  than  the  mutual  political  understanding  about,  for  in-
stance, the prioritisation of pro-poor investment. 
Flexibility of modalities, instruments and tools. The CPA allows a wide diversification of fund-
ing instruments (EDF, V-FLEX, IcSP, budget lines for democracy, non-state actors, public goods, 
and ECHO, EIB, etc.) and financing modalities (budget support, calls for tendering and proposals 
including governments and other actors, contributions to other UN or MS agencies, etc.). This mul-
tiplicity of tools should permit the design and implementation of programmes tailored on the actual 
needs and constraints of the different contexts. 
It has been found, however, that such multiplicity of tools is not always applied as efficiently as it 
could  be.  For  instance,  in  many  cases,  the  support  to  non-state  actors  is  not  adequately  main-
streamed in the country strategies. Potentially complementary interventions (emergency, stabilisa-
tion and other specialised tools) are often fragmented and not enough coordinated/ coherent with 
the  whole  country  programmes.  There  are  different  reasons  for  this  problematic  co-ordination, 
among which the insufficient means and capacities at country level (EU  Delegations and country 
ownership). 
The  regional  dimension  has  shown  to  be  a  conducive  framework  to  boost  trade  and  economic 
infrastructure,  but  also  peace  and  security.  The  coherence  between  regional  and  national  level, 
however, represents an important challenge, since the regional institutions are unable to negotiate 
and ensure national implementation and, often, national governments face specific resistances and 
constraints to implement regional programmes. Regional partnerships, like EPAs, have been una-
ble so far to provide adequate incentives to national partners and ensure equal benefits from inte-
gration. 
Efficient management  is  a  main concern  of  the  strategic  evaluations.  Delays  and  various  ineffi-
ciencies mainly due to the heavy administrative procedures and the lack of staff and capacities at 
the level of the EU Delegations are often mentioned in the evaluations as bottlenecks affecting the 
quality of the programming and implementation cycle. 

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Efficient monitoring and evaluation systems are in place. The ROM mechanism and the strate-
gic evaluations are the core of a system which is expected to feed a continuous learning process 
and  represents  a  key  asset  of  the  CPA.  Data  on  development  results,  however,  are  not  easily 
available, as they would require specific arrangements and research programmes with the partner 
countries. This represents a recurrent challenge for many strategic evaluations. The existing feed-
back  loops  at  all  levels,  including  HQs  and  countries,  do  not  seem  able  to  ensure  the  expected 
learning outcomes. 

7.6  EU  value  added  and  3  Cs,  in  the  framework  of  CPA,  as  from  the  strategic  

evaluations 

EU value added is particularly evident in areas such as: 

  Major general and/or sectoral operations of budget support with actual results. EU has ac-
cumulated a strong experience in budget support since the early 1990s, when it started to 
support structural adjustment with a focus on protection of the most vulnerable groups. It is 
probably  the  most  important  budget  support  provider  aside  from  development  banks80,  in 
terms of grants disbursed, number of years of experience, and variety of geographic con-
texts. It has established detailed guidelines and a feedback process to learn from the expe-
rience. The EU value added is also shown by the frequent cases where EU leads potential 
clusters of budget support programmes with the participation of several EU member states. 
The financing capacity, a neutral identity to facilitate policy and political dialogue, the long-
term experience of EU and its presence equally distributed in the different regions form the 
basis  of  the  EU  value  added  in  budget  support  operations.  Such  value  added  would  be 
even stronger, if EU and member states were stronger to establish and implement coordi-
nated action plans and complementary actions around budget support. 

  Support  to  regional  integration  and  trade,  including  main  infrastructure  networks,  but  also   
other strategic themes, is an area of strong EU value added in the CPA framework. The ra-
ther  unique  experience  of  the  EU  with  regional  organisations,  its  specific  competence  in 
trade matters and its neutral identity - which allows dealing with diversified groups of states 
- are the basis of this value added. The potential of the regional level, including continental 
organisations  like  the  AU,  for  strategic  actions  in  a  number  of  key  areas  for  stability  and 
growth  is  not  yet  fully  exploited.  The  institutional  setup  and  the  capacities  of  the  regional 
organisations  are  weak  and  problematic  and  the  regional  partnership frameworks  are  still 
fragile. The regional organisations are still considered by some ACP countries as occasions 
for sharing various benefits (employment, participation in projects, etc.), rather than oppor-
tunities for development, as shown also by the proliferation and overlapping of the regional 
institutions. 

  Peace  and  security  is  another  key  area  where  the  EU  value  added  is  particularly  strong. 
The neutral identity of the EU, combined with its potential ability to represent and bring to-
gether some of the most powerful political and military partners of the ACP countries, is the 
key  factor  of  the  EU  value  added.  This  puts  the  EU  at  forefront  of  the  stabilisation  and 
peace building programmes, although in most cases the actual initiative and leadership are 
not yet ensured by the EU. 

  Joint programmes with EU member states should be an area of high value added, but it is 

still insufficiently exploited (see below, the 3Cs). 

Coherence,  co-ordination  and  complementarity  (3Cs)  are  an  important  concern for  the  EU  in 
the implementation of the CPA and, especially co-ordination and complementarity with EU member 
states could be largely improved as shown by the evaluations: 

  Coherence regards the internal coherence of the EU development policies, their coherence 
with  the  partners’  policies,  and their  coherence with the  other  EU  policies.  Apart from  the 

80 Compared to the Development Banks, some important differences should be highlighted: (i) EU funds are grants and 
not credits as in the case of the Banks; and (ii) the political risk taken by a political institution like the EU, in addition to 
the financial one, when deciding a BS operation, is not comparable to the financial risk of the Banks. In other words, for 
the  Development  Banks  and  IMF  policy  lending is part  of their mandate,  while  for  the  EU  and  other  bilateral  agencies 
budget support is a political choice. 

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first two areas, which have been addressed elsewhere, the evaluations provide significant 
information on the third area. This is the case of combining development co-operation pro-
grammes,  including  EDF  and  other  instruments,  with  -  for  instance  -  humanitarian  and 
emergency interventions through ECHO, or EIB investment, or new trade agreements, etc. 
The evaluations show that the ex-ante coherence among the different policies may be high, 
but the capacity of generating actual synergies and avoiding trade-off relies on the leading 
role of the country development actors (government and civil society), including their nego-
tiation  capacities  (e.g.  new  trade  agreements  for  poor  countries).  In  different  fragile  con-
texts, such capacity has shown to be weak. The use of instruments such as the State Build-
ing  Contract  (ad  hoc  budget  support)  may  facilitate  government  ownership  and  coherent 
implementation of a diversified range of policies, if there is a focus on enabling country ca-
pacities and not just on technical compliance with specific conditions. 

  Co-ordination and complementarities between the EU and its member states are improving, 
but need further development. According to the specific joint evaluation carried out on this 
subject (EU/DFID 2006), efforts should be intensified “at local embassy or delegation level 
to  enter  into  an  open  and  true  dialogue  with  the  partner  Government  and  other  donors”. 
Since 2006, a lot of progress has been made in this respect, although in the more recent 
evaluations joint programming is not particularly emphasised. Ad hoc mechanisms are now 
in place in most countries and joint assessments and approaches are carried out, but in the 
strategic evaluations there are still few examples of systematic joint programming, as there 
are  limited  examples  of  delegated  co-operation.  Good  examples  of  complementarity  are 
found in some budget support evaluations, where EU provides a bulk of GBS and member 
states finance complementary smaller sectoral budget support and/or specific accompany-
ing measures for capacity building in focal areas. In fragile contexts, also complementarities 
are mentioned as significant. 

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75 

8  Main lessons learned from the evaluations 
A lesson is a conclusion that can be applied to subsequent cycles of the same intervention or to 
other interventions. Lessons learned are an important aspect of any evaluation since they can pro-
vide a wide range of benefits for future interventions. They have a formative purpose (what works 
and what does not), as well as informative one, thus facilitating relevant information that can help 
foster possible synergies and complementarities as well as a more enabling environment.  
Identifying key lessons in order to improve current and future strategies and programmes of the EU 
is often stated as one of the main objectives declared in the Evaluations. However, lessons learned 
are  not  specifically  identified  in  a systematic  way.  As  an  example,  the  Synthesis  of  geographical 
evaluations  managed  by  the  Evaluation  Unit  during  the  period  1998-2006  states  that,  out  of  44 
evaluation  reports,  only  two  identify  lessons  learned  (Tanzania  2006  and  Sierra  Leone  2006). 
Moreover,  in  the  Sierra Leone  report,  a  paragraph  is  titled  “lessons  learned”,  though  the  content 
cannot properly be defined as such. 
Bearing in mind the high number of Evaluations reviewed and their wide thematic and geographic 
scope, it is important to note that the relevant lessons presented below are a broad generalisation, 
which can limit the appropriateness of all of them to any country or specific sector of intervention. 
Nevertheless, they have been selected on the basis of their relevance in response to the general 
interest. 
The  above-mentioned  Evaluation81  has  yielded  important  and  relevant  information  to  the  present 
assessment.82  Additional  lessons  or  amendments  have  been  included  to  update,  complement  or 
introduce new topics of interest identified in the present review.  
Lessons learned have been grouped into different clusters:  

  European Commission Strategy, 
  Thematic coverage, 
  Cross-cutting issues, 
Implementation, 
 
Implementing partner. 
 

Table 4 

Main lessons learned identified in the Evaluations 

Dimension 

Main lessons learned 

European Com-
mission strategy 

European Commission strategy 

Commission’s country strategies in changing contexts vary considerably. 
Some reports assess them positively, whereas others highlight insufficient 
links between the proposed strategies and in- depth analyses of the specific 
characteristics of the country or region, and also weak policy dialogue at 
regional level. Due to the increasing focus on national coherence the im-
portance of improving co-ordination with the other donors and to embed in-
tervention within a national framework is deemed necessary.  
As far as intervention logic is concerned, the analysis does not address with 
adequacy the potential contribution of projects to the achievement of strate-
gic goals and the complementarities between intervention levels. Comple-
mentarities between national and regional strategies are not referred to and 
there is no check on coherence with other EU policies.  
Main recommendations include: 
  Need to increase the level of dialogue to improve adaptation, ownership 

and leadership by the partners. At the country level, partnerships need 

81 Synthesis of geographical evaluations managed by the Evaluation Unit during the period 1998-2006 (2008) 
82 A summary of the main Conclusions and Recommendations of the 44 Evaluations analysed was elaborated. The geo-
graphic evaluations assessed at that time were heavily focused on the ACP group. This is why the choice of this sum-
mary is considered as appropriate as a basis of analysis. 

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Dimension 

Main lessons learned 

to be based on a comprehensive and shared governance framework, 
possibly embracing state and non-state representatives, promoted and 
supported by high level political dialogue, to establish and monitor the 
programming priorities and implementation. Poor integration of 
governance frameworks has proven to be a main constraint to 
programme effectiveness. EU should associate local representatives of 
MS in the political dialogue for the establishment and monitoring of the 
country partnership, ensuring a closer link between political and policy 
dialogue. 

  Strengthened coherence between Commission instruments should be 
improved internally (intra-region and intra-country) and externally 
(region and country) including the Commission’s development strategies 
and the wider range of EU policies;  

  Adoption of response strategies for foreseeable trends related to 

regional integration schemes and trade policy; 

  Socio-economic disparities between the member countries of regional 
organisations should be clearly stated in strategic documents. This 
would favour synergy between regional and national development 
approaches.  

  Given the high variety of stakeholders, and the conflicting relations that 

they could have with each other, it is important to assess the 
institutional landscape, to assess actors’ capabilities and dispatch 
functions according to actors’ skills. 

Thematic coverage 

Promotion and protection of human rights and democracy have showed 
better impact when the EC has smartly positioned itself (with Member 
States and other actors) in the different contexts to push forward realistic 
human rights agendas, skilfully using its political clout, leverage capacity 
and different instruments. The tendency to marginalise human rights can 
limit the results. Political contexts and/or political will are important. 

Significant experiences have been implemented in the areas of trade regu-
latory systems, credit to SMEs/MMEs, microcredit schemes, and innovative 
instruments, such as blending financing but attempts to support public insti-
tutions to deal with private sector promotion or direct support to private sec-
tor organisations and their participation in the political and economic pro-
cesses have shown to be weak. 

The signing of the Cotonou Agreement (2000) marked a fundamental 
change in the direction of trade relationships between the EU and ACP 
countries. The EPAs aimed to develop an open, transparent and strong 
regulatory framework for goods, and also for trade in services. Such 
Agreements should have been the key tool to translate the new Aid for 
Trade approach but unforeseen or underestimated difficulties such as the 
little incentives for the LDCs limited their achievement. 

Interventions are considered as relevant and generally effective despite 
weaknesses in programme design. There are some key unintended effects 
of the strong focus on mutual accountability of most programmes aimed at 
supporting governance, when they are not aware on the complex govern-
ance systems that they need to address. Capacity and PFM at local gov-
ernment level are key issues. In practice, however, the concentration on na-
tional level PFM and sector strategies, mainly determined by budget sup-
port and comprehensive sector programmes has resulted in local govern-

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Human rights, de-
mocracy and rule 
of law 

Private sector 

Trade 

Public finance and 
macroeconomic 
framework 

77 

Dimension 

Main lessons learned 

ment capacity and Non State Actors participation receiving insufficient at-
tention. There is a danger also in sector approaches leading to vertical pro-
grammes that neglect requirements for horizontal coherence at local gov-
ernment level.  

The decision to address this issue is not always related to the importance of 
the problem in the country. Evaluations recommend strengthening and 
mainstreaming comprehensive support to governance, including economic 
governance (macroeconomic, public finance, transparency and accountabil-
ity), sector reforms with a focus on growth-related and pro-poor sectors, 
rule of law, human rights and democracy, gender equity, environment and 
climate change concerns which would inform the content of the partner-
ships and the joint action programmes at the country level, according to the 
specific context priorities. EC support for improved local governance and 
accountability has been most effective when support was comprehensive in 
scope and related to broader institutional aspects regarding processes of 
planning and budgeting or area-based programmes of significant size.  

The EU long-term interventions within the sector, supporting capacity and 
institutional building, are of high relevance but more difficult to track. Direct 
aid is often given in the form of projects that, directly or indirectly, aim to in-
crease food production and improve marketing. In such cases, support 
channelled through NGOs to increase access to food, even if questioned in 
terms of effectiveness, has been considered as irreplaceable in many cas-
es. The EU Food Facility has been appreciated by recipient countries, but 
has only partially been able to support the mainstreaming of food security 
into national policies. 

Interventions have contributed to economic growth, social development and 
regional integration but their sustainability is at risk because of a lack of 
ownership and limited capacity to ensure maintenance. Strengthening of 
the regional dimension of the infrastructural network is considered highly 
relevant.  

EC support has been mainly channelled through financial transfers to the 
government budgets (SBS and GBS) and related dialogue and technical 
support to improve resource allocation and public financial management, 
and – especially in the case of SBS – strengthen sectoral capacities for 
planning and implementation.  
This has enabled the recipient governments to increase investment in the 
basic public services for infrastructure and human resource development. In 
most places where feasible, the EC has opted for either SBS or GBS, which 
has enabled it to work in partnership with domestic stakeholders and other 
BS providers on addressing issues related to access, equity and policy-
based resource allocation. However, such interventions have provided in-
sufficient attention to the quality of the services and their actual outcomes. 
CPA contribution, in this area, has been weak, and the challenge increas-
ingly present in the Evaluations underlines the need to minimise unbal-
anced support in order to progress especially on the quality. 

Support has been efficient when an overall approach, sensitive to the coun-
tries’ specific aspects of fragility, is promoted by systematising reflection of 
the principle of “do not harm”, further integrating EU regional co-operation 
within the national co-operation and paying considerable attention to rein-
forcing national capacities. The discussion on the LRRD process as well as 
on disaster preparedness strategies has increased in importance in the last 
years although fragmented sectoral/local supports prevail over a more inte-

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Governance 

Food security 

Transport 

Social sectors 
(mainly education 
and health) 

Fragility 

78 

Dimension 

Main lessons learned 

grated approach. 

Regional integra-
tion 

Gender 

Environment 

Climate change 

Aid delivery mech-
anisms 

Donor co-
ordination and 
complementarity 

The EU has made strong contributions to the fostering of regional integra-
tion processes, albeit with variations due to the diverse (and sometimes 
overlapping) interests of the regional organisations. While regional strate-
gies and operations are well conceived, the enhancement of coherence be-
tween RSP/RIP and CSP/NIP is understood as a key factor in facilitating 
the EU’s regional support. 

Cross-cutting issues 

Gender has not been generally mainstreamed. It can be noted that better 
results have been achieved when gender issues have been specifically ad-
dressed at sectoral level focusing, for example, on capacity building 
amongst stakeholders and on the establishment of monitoring mechanisms 
to differentiate impact on poor women and men with the aim that all inter-
ventions equally benefit and empower poor women and men. The practices 
and experiences of MSs provide useful lessons that could be applied by the 
EC.  

Environment has been more effectively mainstreamed from 2007 than in 
earlier periods, notably in two sectors (agriculture and rural development 
and infrastructure). However, the large number of policies and communica-
tions makes difficult to establish the required positions and information. 
Over the last few years, useful and quality mainstreaming guidelines and 
tools have been promoted resulting in a significant step forward increasing 
the mainstreaming capacity in EUDs. 

Climate Change policies have recently evolved from focusing primarily on 
curbing emissions to increasingly addressing adaptation in vulnerable coun-
tries in the framework of the external dimension of Europe 2020 targets and 
the Agenda for Change. EU-supported interventions in increasing 
knowledge and developing capacity appear to be partner-owned and de-
mand-led, and they are thus likely to lead to capacities that are made use of 
in practice.  

Implementation 

Budget support and sector policy dialogue are acknowledged as enablers 
for governments’ ownership and accountability although a partial loss of 
leverage experienced over the last decade. Stand-alone projects are often 
considered to be insufficiently linked to strategic priorities and to policy dia-
logue and/or limited for ownership, flexibility or capacity building in the re-
cipient institutions. However, coherence and complementarity between in-
struments is generally understood as a source of flexibility. When budget 
support is recommended, complementarity with SWAps and stand-alone 
projects in specific cases (opening pathways into new areas of co-
operation, strengthening the capacity of actors, and paving the way towards 
sectoral budget support) is encouraged. Furthermore, adequate measures 
to enhance the recipient’s capacities, including the contribution of civil soci-
ety, and feeding the dialogue through adequate information (data) and skills 
(TA) need to be ensured.  

Despite weak co-ordination between donors, complementarity is observed 
mainly at sectoral level. Focus on the 3 Cs (Coherence, Complementarity 
and co-ordination) is more responsive when is included in all strategy or 
project document. Joint programming and/or delegated co-operation modal-
ities have not provided yet with sufficient evidence-based information.  

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Dimension 

Main lessons learned 

Complementarities with between EU Budget Support (when the EU has a 
strong value added) and accompanying measures from MS in sectors 
where they have a comparative advantage could be further explored.  

Implementing partner 

In many cases it is recognised that weak capacities of the national counter-
parts institutions (especially National Authorising Officers and their Support 
Units) can limit ownership and true sustainability. A key challenge shared 
by many ACP countries is NAO-SUs which are largely considered to be 
non-specialist entities on an interface role, thus often limiting the efficiency 
of the line ministries in the management of aid resources allocated to their 
sector, and constraining the technical (policy) dialogue.  
The use of budget support and sector policy dialogue is regarded as the 
translation of the EU’s confidence in the Government’s own systems, or-
ganisation and policies by providing additional resources for the implemen-
tation of the Governments’ development plans.  

Experience shows that there are several aspects of critical importance: 1) 
starting from the specific context and involving CSOs since the stage of ne-
gotiation and subscription of the country level partnerships; 2) understand-
ing “who is who” in civil society; 3) managing the politics’ of using the CSO 
channel (particularly in hostile environments); 4) adopting a participatory 
approach to programming CSO support; and 5) combining diverse en-
gagement strategies in close co-operation with stakeholders, integrating as 
much as possible central and local governments, state and civil society in-
stitutions with a focus on complementarities and synergies. 

National institu-
tions 

Civil society 

International or-
ganisations 

Support to IOs has been emphasized in cases where aid delivery would 
otherwise have been difficult.  

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80 

9.1  Annex 1: List of evaluation reports reviewed 
A total amount of 111 evaluation reports was reviewed. The ToR provided a list of 107 reports to 
which  were  added  the  recently  finished  Evaluation  of  EU  support  to  Environment  and  Climate 
Change and the Evaluation of Budget Support in Burkina Faso, both implemented by Particip. Two 
evaluation  reports  close  to  final,  namely  Transport  and  Chad,  have  been  taken  into  account  as 
well. The following table provides a complete list of the reviewed reports: 

Table 5 

List of evaluation reports reviewed 

Evaluation title 

Year 

Thematic Evaluations and evaluations of aid modalities 

Evaluation de la coopération Nord-Sud en matière de lutte contre l’expansion de 
l’épidémie du VIH/SIDA et aide aux politiques et programmes démographiques 
dans les pays en développement 

Evaluation of EC Food Aid Security Policy, Food Aid Management and Pro-
grammes in support of Food Security 

External evaluation of community aid concerning positive actions in the field of 
human rights and democracy in the ACP countries 

Evaluation of voter education in the context of EU electoral support 

Synthesis report on EC activities in the field of human rights, democracy and good 
governance 

Evaluation de la coopération de la communauté européenne en matière d’appui 
institutionnel aux Ordonnateurs Nationaux et Régionaux du Fonds Européen de 
Développement 

Evaluation of EC support to the education sector in ACP countries 

Evaluation of the EC co-operation with ACP/ALA/MED countries in the health sec-
tor 

Evaluation of the relationship between country programmes and fisheries agree-
ments 

Evaluation des actions de réhabilitation et de reconstruction financées par la 
Communauté européenne dans les pays ACP/ALA/MED/TACIS 

Joint evaluation of external support to basic education in developing countries 

Thematic evaluation of the integration of gender in EC development co-operation 
with third countries 

Evaluation of the EC interventions in the transport sector in third countries 

Evaluation of the environment and forest regulations 

Evaluation of trade-related assistance by the European Commission in third coun-
tries 

Thematic evaluation of food-aid policy and food-aid management and special op-
erations in support of food security 

Thematic evaluation of population and development oriented programmes in EC 
external co-operation 

Evaluation of European Community support to private sector development in third 
countries 

Evaluating co-ordination and complementarity of country strategy papers with na-
tional development priorities 

Evaluation of European Commission support to micro-project programmes under 
the EDF in ACP countries 

2000 

2000 

2000 

2001 

2001 

2002 

2002 

2002 

2002 

2003 

2003 

2003 

2004 

2004 

2004 

2004 

2004 

2005 

2006 

2006 

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Evaluation title 

Year 

Joint evaluation of co-ordination of trade capacity building in partner countries 

Joint evaluation of general budget support 

Thematic evaluation of the EC support to good governance 

Thematic evaluation of the water and sanitation sector 

Evaluation of the Commission support for statistics in third countries 

Evaluation thématique développement rural et agricole 

Evaluation of Commission’s aid delivery through development banks and EIB 

Evaluation of Commission’s external co-operation with partner countries through 
the organisations of the UN family 

Evaluation of EC aid delivery through civil society organisations 

Evaluation of EC support to partner countries in the area of energy 

Synthesis of the geographical evaluations managed by the Evaluation Unit during 
the period 1998-2006 

Thematic evaluation of European Commission support to conflict prevention and 
peace-building 

Mid-term evaluation of the Investment Facility and EIB own resources operations in 
ACP countries and the OCTs 

Thematic global evaluation of European Commission support to the education sec-
tor in partner countries (including basic and secondary education) 

Evaluation conjointe des opérations d’aide budgétaire au Mali 

Study on legal instruments and lessons learned from evaluations managed by the 
Joint Evaluation Unit 

Thematic evaluation of European Commission support to conflict prevention and 
peace-building 

Thematic evaluation of European Commission support to justice and security sys-
tem reform 

Thematic evaluation of the European Commission support to respect of human 
rights and fundamental freedoms (including solidarity with victims of repression) 

Thematic global evaluation of European Commission support in the sectors if ESI 
(employment and social inclusion) in partner countries (including vocational train-
ing) 

Evaluation methodology and baseline study of the EC technical co-operation sup-
port 

Evaluation of Commission’s co-operation with the Council of Europe 

Evaluation of visibility of EU external action 

Thematic evaluation of the European Commission support to the health sector 

Thematic global evaluation of European Commissions support to agricultural 
commodities in ACP countries 

Thematic global evaluation of the Commission support to decentralisation pro-
cesses 

Evaluation of the EU’s support to private sector in third countries 

Evaluation of the EU’s trade-related assistance in third countries 

Joint evaluation of budget support to Tanzania 

Thematic global evaluation of the European Union’s support to integrated border 
management and fight against organised crime 

2006 

2006 

2006 

2006 

2007 

2007 

2008 

2008 

2008 

2008 

2008 

2009 

2010 

2010 

2011 

2011 

2011 

2011 

2011 

2011 

2012 

2012 

2012 

2012 

2012 

2012 

2013 

2013 

2013 

2013 

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Evaluation title 

Year 

Independent evaluation of budget support in Mozambique 

Evaluation de l’appui budgétaire au Burkina Faso* 

Evaluation of EU support to gender equality and women’s empowerment in partner 
countries 

Evaluation of EU support to the transport sector in Africa* 

Joint evaluation of budget support to Uganda 

Thematic evaluation of the EU support to environment and climate change in third 
countries* 

Geographic evaluations 

Ghana 

CBI in Southern and Eastern Africa 

PALOP 

Caribbean 

Benin 

Mali 

Rwanda 

Mauritius, Seychelles and Comoros 

West Africa 

Central African Republic 

Chad 

Tanzania 

Central Africa 

SADC 

Eastern and Southern Africa, Indian Ocean 

Guyana 

Pacific  

Senegal 

Djibouti 

Botswana 

Burkina Faso 

Liberia 

Nigeria 

OCTs 

Niger 

Mozambique 

Namibia 

Uganda 

Republic of Congo 

Angola 

Dominican Republic 

Zambia 

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2014 

2015 

2015 

2015 

2015 

2015 

2005 

2000 

2001 

2005 & 2012 

2005 

2006 

2006 

2006 

2008 

2009 

2009 & 2015* 

2006 

2006 

2007 

2008 

2008 

2007 & 2015 

2010 

2012 

2009 

2001 & 2010 

2010 

2010 

2011 

2010 

2000 & 2007 

2001 & 2009 

2001 & 2009 

2012 

2009 

2000 & 2011 

2012 

83 

Evaluation title 

Jamaica 

Madagascar 

Malawi 

Caribbean 2 

Burundi 

Cameroon 

Democratic Republic of Congo 

Timor Leste 

Ethiopia 

Haiti 

Kenya 

Lesotho 

Togo 

Year 

2006 & 2012 

2015 

2003 & 2011 

2003-2010 

2014 

2014 

2014 

2015 

2004 & 2012 

2014 

2014 

2004 & 2015 

2014 

* Evaluation was not originally included in the ToR and has been added later to the list. 

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9.2  Annex 2: In-depth methodology – understanding and defining the relevance of 

evaluation reports 

Definition of relevance 
When assessing the relevance of reports, their geographical and thematic focus as well as their 
evaluation  periods  needs  to  be  considered.  These  elements  will  feed  into  three  dimensions  of 
relevance, which can eventually be aggregated to form a conclusive value of overall relevance. 

Temporal relevance 
The  111  evaluation  reports  present  an  extreme  spread  of  evaluation  periods,  ranging  from  the 
Evaluation of the Cross-Border Initiative (CBI) regional economic integration programme in South-
ern and Eastern Africa – covering a period from 1990 to 1999 – to the Evaluation of Budget Sup-
port in Burkina Faso which covers a period from 2009 to 2014.  
It is important to note that the CPA came into effect in 2003, and thus reports from evaluations 
which covered a period from 2003+n onwards will be more relevant than earlier reports. In or-
der to establish a ranking of the various evaluations with regards to their temporal relevance, the 
following approach was applied: 
As  a  first  step,  covered  years  during  which  the  CPA  agreement  was  already  in  force  and  their 
share of the total evaluation period for each individual report were calculated. The year 2003 was 
still counted as pre-CPA, since it can be assumed that the actual implementation of the agreement 
required some additional time for transitioning from the previous Lomé Conventions. In a second 
step, each report was scored based on the share of covered CPA years in its evaluation period: 

  1 point was attributed, if the CPA was in force during more than two thirds of the evaluation 

period; 

  0.5 points were attributed, if the CPA was in force during more than one third, but less than 

two thirds of the evaluation period; 

  and 0 points were attributed, if the CPA was in force during less than one third of the evalu-

ation period. 

The following table shows the evaluation period, the share of years during which the CPA was in 
force and the temporal relevance score attributed to the individual reports. 

Table 6 

Temporal relevance of evaluation reports 

Short evaluation title 

Evaluation 
period 

Share of 
CPA years 

Relevance 
score 

Thematic Evaluations and evaluations of aid modalities 

Food aid & security 1 

Human rights & democracy in ACP 

HIV/AIDS and demographic programmes 

1997-1999 

0.0% 

1995-2000 

0.0% 

1997-1999 

0.0% 

Voter education in the context of electoral support 

1992-2001 

0.0% 

Human rights, democracy and good governance 

1995-2001 

0.0% 

Appui institutionnel aux ordonnateurs nationaux et ré-
gionaux 

1995-2000 

0.0% 

Education in ACP countries 

Fisheries 

Health in ACP/ALA/MED 

Actions de réhabilitation et de construction 

Integration/ mainstreaming of gender in development co-
operation 

Basic education 

1993-2000 

0.0% 

1996-2002 

0.0% 

1995-2000 

0.0% 

1996-2002 

0.0% 

1995-2001 

0.0% 

1990-2002 

0.0% 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

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Short evaluation title 

Evaluation 
period 

Share of 
CPA years 

Relevance 
score 

Food aid & security 2 

Population programmes 

Trade related assistance 1 

Transport 

Private sector development 

Micro projects in ACP countries 

EC support to good governance 

Joint donor evaluation of GBS 

Water and sanitation 

Rural development 

Environment and forest regulations 

Statistical support in third countries 

Energy 

Synthesis of geographical evaluations 

1997-2002 

0.0% 

1994-2002 

0.0% 

1996-2003 

0.0% 

1995-2001 

0.0% 

1994-2003 

0.0% 

1998-2003 

0.0% 

1994-2004 

9.1% 

1994-2004 

9.1% 

1995-2004 

10.0% 

1995-2005 

18.2% 

2000-2004 

20.0% 

1996-2005 

20.0% 

1996-2006 

27.3% 

1998-2006 

33.3% 

Aid delivery through development banks and EIB 

1999-2006 

37.5% 

Co-operation through organisations of the UN 

1999-2006 

37.5% 

Complementarity of CSP and national development pri-
orities 

2000-2006 

42.9% 

Aid channelled through Civil Society Organisations 

2000-2006 

42.9% 

Trade capacity building 

Education (basic & secondary) 

Employment and social inclusion 

Agricultural commodities in ACP countries 

Decentralisation processes 

Conflict prevention and peace building 1 

2001-2006 

50.0% 

2000-2007 

50.0% 

1999-2008 

50.0% 

2000-2009 

60.0% 

2000-2009 

60.0% 

2001-2008 

62.5% 

Respect of human rights and fundamental freedoms 

2000-2010 

63.6% 

Evaluation methodology and baseline study of the EC 
technical co-operation support 

2000-2010 

63.6% 

Evaluation of the EU co-operation with the Council of 
Europe 

2000-2010 

63.6% 

Justice and security systems reforms 

Conflict prevention and peace building 2 

Health 

Support to integrated border management and fight 
against organised crime 

BS Mali 

MTE of the investment facility 

2001-2009 

66.7% 

2001-2010 

70.0% 

2001-2010 

70.0% 

2002-2010 

77.8% 

2003-2009 

85.7% 

2003-2009 

85.7% 

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0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

1 

1 

1 

1 

1 

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Short evaluation title 

Evaluation 
period 

Share of 
CPA years 

Relevance 
score 

Study on legal instruments and lessons learned from 
evaluations  

2007-2010 

100.0% 

Visibility of EU external action 

BS Tanzania 

Support to private sector development 

Trade related assistance 2 

BS Mozambique 

BS Burkina Faso 

BS Uganda 

Environment 

Gender 

Transport in Africa 

Geographic evaluations 

Ghana 

CBI in Southern and Eastern Africa 

PALOP 

Caribbean 1 

Benin 

Mali 

Rwanda 

Mauritius, Seychelles and Comoros 

West Africa 

Central Afr. Rep. 

Tanzania 

Central Africa 

SADC 

2005-2010 

100.0% 

2006-2012 

100.0% 

2004-2010 

100.0% 

2004-2010 

100.0% 

2005-2012 

100.0% 

2009-2014 

100.0% 

2004-2013 

100.0% 

2007-2013 

100.0% 

2007-2013 

100.0% 

2005-2013 

100.0% 

1996-2002 

0.0% 

1990-1999 

0.0% 

1992-1999 

0.0% 

1996-2002 

0.0% 

1995-2004 

10.0% 

1995-2004 

10.0% 

1995-2005 

18.2% 

1996-2005 

20.0% 

1996-2006 

27.3% 

1996-2007 

33.3% 

2000-2005 

33.3% 

1996-2007 

33.3% 

1996-2007 

33.3% 

Eastern and Southern Africa, Indian Ocean 

1996-2007 

33.3% 

Guyana 

Pacific 1 

Senegal 

Djibouti 

Botswana 

Burkina Faso 

Liberia 

Nigeria 

OCTs 

1997-2007 

36.4% 

1997-2007 

36.4% 

1996-2008 

38.5% 

1996-2010 

46.7% 

1999-2008 

50.0% 

1999-2008 

50.0% 

1999-2008 

50.0% 

1999-2008 

50.0% 

1999-2009 

54.5% 

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1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

87 

Short evaluation title 

Evaluation 
period 

Share of 
CPA years 

Relevance 
score 

Niger 

Mozambique 

Namibia 

Uganda 

Congo Rep. 

Angola 

Dominican Rep. 

Zambia 

Jamaica 

Madagascar 

Malawi 

Caribbean 2 

Burundi 

Cameroon 

Chad 

Congo Dem. Rep. 

Timor Leste 

Ethiopia 

Haiti 

Kenya 

Lesotho 

Togo 

Pacific 2 

2000-2008 

55.6% 

2001-2007 

57.1% 

2001-2007 

57.1% 

2001-2007 

57.1% 

2000-2009 

60.0% 

2002-2007 

66.7% 

2001-2009 

66.7% 

2001-2010 

70.0% 

2002-2009 

75.0% 

2002-2013 

83.3% 

2003-2010 

87.5% 

2003-2010 

87.5% 

2005-2011 

100.0% 

2007-2012 

100.0% 

2008-2014 

100.0% 

2008-2013 

100.0% 

2008-2013 

100.0% 

2004-2008 

100.0% 

2008-2012 

100.0% 

2006-2012 

100.0% 

2008-2013 

100.0% 

2007-2013 

100.0% 

2006-2012 

100.0% 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

Thematic relevance 
The  thematic  relevance  of  the  evaluations  is  constituted  by  the  potential  information  their  re-
ports are likely to feed into the established EQs. Particip has contributed to 41 of the evaluation 
reports and the team is therefore familiar with their content; others were briefly screened to get an 
impression  of  their  relevance.  Some  evaluations  directly  match  the  particular  thematic  priority  of 
one or even several EQs and are therefore considered as highly relevant, whereas others can only 
be linked to the EQs in an indirect way, e.g. via cross-cutting issues. Based on that, the following 
scores have been attributed: 

  1 point was attributed, if the report directly matches the thematic priority of at least one EQ; 
  0.5 points were attributed, if the report is linked indirectly to at least one EQ’s thematic pri-

ority, for example via cross-cutting issues; 

  and 0 points were attributed, if there is no plausible link between any EQ’s thematic priority 

and the report’s subject83. 

83 In fact, 0 points were never attributed, since all reports were considered (indirectly) relevant for at least one EQ. 

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Considering that geographical evaluations typically do not have one single thematic subject but a 
set of several thematic priorities,  all of them were considered to be equally relevant for the EQs. 
They have hence not been scored in this dimension. 
The following table shows the EQs directly and indirectly linked to the thematic evaluations and the 
thematic relevance score attributed to the individual reports. 

Table 7 

Thematic relevance of evaluation reports 

Short evaluation title 

Direct 
links 

Indirect 
links 

Rele-
vance 
score 

Actions de réhabilitation et de construction 

Aid delivery through development banks and EIB 

Appui institutionnel aux ordonnateurs nationaux et ré-
gionaux 

Complementarity of CSP and national development pri-
orities 

Co-operation through organisations of the UN 

Decentralisation processes 

Energy 

Evaluation methodology and baseline study of the EC 
technical co-operation support 

Evaluation of the EU co-operation with the Council of 
Europe 

Fisheries 

Food aid & security 1 

Food aid & security 2 

Micro projects in ACP countries 

Statistical support in third countries 

Synthesis of geographical evaluations 

Transport 

Visibility of EU external action 

Water and sanitation 

Agricultural commodities in ACP countries 

EQ 6 

EQ 5 

Aid channelled through Civil Society Organisations 

Basic education 

BS Burkina Faso 

BS Mali 

BS Mozambique 

EQ 8, EQ 
9, EQ 10 

EQ 8, EQ 
10 

EQ 7, EQ 
12 

EQ 7, EQ 
12 

EQ 7, EQ 

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EQ 3 

EQ 12 

EQ 1, EQ 5, 
EQ 6, EQ 12 

0.5 

0.5 

0.5 

EQ 1, EQ 12  0.5 

EQ 12 

EQ 2, EQ 3 

EQ 9 

EQ 12 

EQ 12 

0.5 

0.5 

0.5 

0.5 

0.5 

EQ 7, EQ 10  0.5 

EQ 3, EQ 10  0.5 

EQ 3, EQ 10  0.5 

EQ 12 

EQ 5, EQ 6, 
EQ 7, EQ 8, 
EQ 9, EQ 10 

EQ 2, EQ 5, 
EQ 7, EQ 8, 
EQ 9, EQ 12 

EQ 5, EQ 6, 
EQ 7 

EQ 12 

EQ 8, EQ 9, 
EQ 10 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

1 

1 

1 

1 

1 

1 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
89 

Short evaluation title 

Direct 
links 

Indirect 
links 

Rele-
vance 
score 

BS Tanzania 

BS Uganda 

Conflict prevention and peace building 1 

Conflict prevention and peace building 2 

EC support to good governance 

Education (basic & secondary) 

Education in ACP countries 

12 

EQ 7, EQ 
12 

EQ 7, EQ 
12 

EQ 3 

EQ 3 

EQ 2 

EQ 8, EQ 
10 

EQ 8, EQ 
10 

Employment and social inclusion 

EQ 10 

EQ 7 

Environment 

Environment and forest regulations 

Gender 

Health 

Health in ACP/ALA/MED 

Human rights & democracy in ACP 

Human rights, democracy and good governance 

Integration/ mainstreaming of gender in development co-
operation 

Joint donor evaluation of GBS 

Justice and security systems reforms 

MTE of the investment facility 

Population programmes 

Private sector development 

Respect of human rights and fundamental freedoms 

Rural development 

Study on legal instruments and lessons learned from 
evaluations  

Support to integrated border management and fight 
against organised crime 

Support to private sector development 

Trade capacity building 

Trade related assistance 1 

Trade related assistance 2 

EQ 9 

EQ 9 

EQ 9 

EQ 8, EQ 
10 

EQ 8, EQ 
10 

EQ 2 

EQ 2 

EQ 9 

EQ 7, EQ 
12 

EQ 3 

EQ 7 

EQ 10 

EQ 10 

EQ 2 

EQ 8, EQ 
10 

EQ 4 

EQ 10 

EQ 4 

EQ 7 

EQ 2 

EQ 7 

EQ 12 

EQ 3 

EQ 7 

EQ 5, EQ 
6 

EQ 5, EQ 
6 

EQ 5, EQ 

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1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
90 

Short evaluation title 

Transport in Africa 

Direct 
links 

Indirect 
links 

6 

EQ 5, EQ 
10 

EQ 7, EQ 8, 
EQ 12 

HIV/AIDS and demographic programmes 

Voter education in the context of electoral support 

EQ 9 

EQ 2 

Rele-
vance 
score 

1 

1 

1 

Geographical relevance 
In most cases, thematic evaluations are set up as worldwide evaluations of a specific sector or aid 
modality.  As  a  consequence,  the  geographical  relevance  of  these  evaluation  reports  is  de-
fined by their country case studies and field visits. In order to rank the reports, the case stud-
ies84 in ACP countries were counted and the following scores attributed: 

  1 point was attributed, if the report contained case studies on more than two ACP countries; 
  0.5 points were attributed, if the report contained case studies on maximum two ACP coun-

tries; 

  and 0 points were attributed, if the report did not contain any case study on ACP countries 

at all. 

2 was identified as the statistical median for the number of case studies on ACP countries and 
therefore was used as a reference for the scoring.  
Several thematic evaluations have a direct focus on ACP countries and hence received an addi-
tional bonus point in order to highlight their specific geographical relevance. Geographical evalua-
tions however, are considered highly relevant per definition and therefore have not been scored 
in this dimension. 
The following table shows the number of case studies on ACP countries and the geographical rel-
evance score attributed to the individual reports. 

Table 8 

Geographical relevance of evaluation reports 

Short evaluation title 

Number of case studies 
on ACP countries 

Relevance 
score 

Actions de réhabilitation et de construction 

Basic education 

Conflict prevention and peace building 1 

Evaluation methodology and baseline study of the EC 
technical co-operation support 

Evaluation of the EU co-operation with the Council of 
Europe 

Human rights, democracy and good governance 

Study on legal instruments and lessons learned from 
evaluations managed by JEU 

Synthesis of geographical evaluations 

Transport 

Voter education in the context of electoral support 

Aid delivery through development banks and EIB 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

1 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0.5 

84 In addition to field visits, several evaluations also feature desk based case studies. It was decided to only count case 
studies where a distinct report (e.g. country note, case study report) has been produced, regardless of whether this re-
port was based on a field visit or only on desk work.  

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Short evaluation title 

Number of case studies 
on ACP countries 

Relevance 
score 

Co-operation through organisations of the UN 

Integration/ mainstreaming of gender in development 
co-operation 

Population programmes 

Private sector development 

Respect of human rights and fundamental freedoms 

Rural development 

Support to integrated border management and fight 
against organised crime 

Aid channelled through Civil Society Organisations 

Complementarity of CSP and national development 
priorities 

Employment and social inclusion 

Food aid & security 2 

Trade related assistance 1 

Visibility of EU external action 

EC support to good governance 

Education (basic & secondary) 

Energy 

Food aid & security 1 

Justice and security systems reforms 

Water and sanitation 

Conflict prevention and peace building 2 

Environment 

Environment and forest regulations 

Fisheries 

Joint donor evaluation of GBS 

Statistical support in third countries 

Support to private sector development 

Trade related assistance 2 

HIV/AIDS and demographic programmes 

Decentralisation processes 

Gender 

Health 

Health in ACP/ALA/MED 

BS Burkina Faso 

BS Mali 

BS Mozambique 

BS Tanzania 

BS Uganda 

Trade capacity building 

1 

1 

1 

1 

1 

1 

1 

2 

2 

2 

2 

2 

2 

3 

3 

3 

3 

3 

3 

4 

4 

4 

4 

4 

4 

4 

4 

4 

5 

5 

5 

5 

1 

1 

1 

1 

1 

1 

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0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1.5 

1.5 

1.5 

1.5 

1.5 

1.5 

92 

Short evaluation title 

Number of case studies 
on ACP countries 

Relevance 
score 

Micro projects in ACP countries 

MTE of the investment facility 

Education in ACP countries 

Appui institutionnel aux ordonnateurs nationaux et ré-
gionaux 

Agricultural commodities in ACP countries 

Human rights & democracy in ACP 

Transport in Africa 

2 

3 

5 

7 

8 

8 

8 

1.5 

2 

2 

2 

2 

2 

2 

Aggregation of the three dimensions to establish an overall relevance 
Once the three dimensions of relevance are identified, the next step is to aggregate them to create 
an overall relevance value which can be used to categorise the reports. 
With regards to the geographical evaluations, aggregation is not an issue: given that they are all 
considered equally relevant from a geographical and thematic point of view, the temporal dimen-
sion is the only variable that constitutes their relevance, which – as a consequence – ranges from 
a minimum of 0 to a maximum of 1 point. 
With regards  to  the  thematic  evaluations,  all three  dimensions  of  relevance  were  considered  to 
be equally important. Therefore, their  overall relevance is constituted by simply adding up the di-
mensional scores and thus ranges from a minimum of 0 to a maximum of 4 points 
The report categories based on the overall relevance 
Since  the  relevance  of  geographical  and  thematic  evaluations  is  measured  differently,  the  ap-
proaches to categorise the reports based on their relevance have to differ as well. 
As  mentioned  above,  the  relevance  of  geographical  evaluations  is  simply  determined  by  their 
temporal relevance which is expressed in three different scores – 0, 0.5 and 1. Naturally, each of 
these levels corresponds to one category: 

reports with a temporal relevance score of 1 are assigned to Category A; 
 
reports with a temporal relevance score of 0.5 are assigned to Category B; 
 
  and reports with a temporal relevance score of 0 are assigned to Category C. 

The relevance of thematic evaluations on the other hand ranges from a minimum of 0 to a maxi-
mum of 4 points and as a consequence no natural classification imposes itself. The statistical me-
dian of the overall relevance is 2 and similar to the approach used to determine the geographical 
relevance (see above), reports will be categorised based on that: 

 

 

reports  with an  overall  relevance score  of  3 or higher  are  assigned to Category  A  (above 
the statistical median); 
reports  with  an  overall  relevance  score  between  1.5  and  2.5  are  assigned  to  Category  B 
(around the statistical median); 

  and reports with an overall relevance score of 1 or lower are assigned to Category C (below 

the statistical median). 

Table  9  shows  the  overall  relevance score  and the  categories assigned to the  individual  reports. 
For the few countries were multiple Country Strategy Evaluations (CSEs) are available and part of 
the  review,  only  the  most  recent  one  was  scored.  The  older  evaluation  reports  were  directly  as-
signed to Category C as they were considered of very limited temporal relevance and thus do not 
appear in the various relevance tables shown in this report.85 

85 This applies to the following CSEs:  Burkina Faso (2001), Chad (2009), Dominican Republic (2000), Ethiopia (2004), 
Lesotho (2004), Malawi (2003), Mozambique (2000), Namibia (2001) and Uganda (2001). 

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Table 9 

Overall relevance and assigned category 

93 

Short evaluation title 

Overall rele-
vance score 

Assigned cate-
gory 

Thematic Evaluations and evaluations of aid modalities 

MTE of the investment facility 

Transport in Africa 

Agricultural commodities in ACP countries 

BS Burkina Faso 

BS Mali 

BS Mozambique 

BS Tanzania 

BS Uganda 

Conflict prevention and peace building 2 

Education in ACP countries 

Environment 

Gender 

Health 

Human rights & democracy in ACP 

Support to private sector development 

Trade capacity building 

Trade related assistance 2 

4 

4 

3.5 

3.5 

3.5 

3.5 

3.5 

3.5 

3 

3 

3 

3 

3 

3 

3 

3 

3 

Appui institutionnel aux ordonnateurs nationaux et régionaux  2.5 

Education (basic & secondary) 

Justice and security systems reforms 

Support to integrated border management and fight against 
organised crime 

Aid channelled through Civil Society Organisations 

Decentralisation processes 

EC support to good governance 

Employment and social inclusion 

Environment and forest regulations 

Health in ACP/ALA/MED 

Joint donor evaluation of GBS 

Micro projects in ACP countries 

Respect of human rights and fundamental freedoms 

Study on legal instruments and lessons learned from evalua-
tions managed by JEU 

HIV/AIDS and demographic programmes 

Visibility of EU external action 

2.5 

2.5 

2.5 

2 

2 

2 

2 

2 

2 

2 

2 

2 

2 

2 

2 

Aid delivery through development banks and EIB 

1.5 

Complementarity of CSP and national development priorities  1.5 

Conflict prevention and peace building 1 

Co-operation through organisations of the UN 

1.5 

1.5 

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A 

A 

A 

A 

A 

A 

A 

A 

A 

A 

A 

A 

A 

A 

A 

A 

A 

B 

B 

B 

B 

B 

B 

B 

B 

B 

B 

B 

B 

B 

B 

B 

B 

B 

B 

B 

B 

94 

Short evaluation title 

Overall rele-
vance score 

Assigned cate-
gory 

Energy 

Fisheries 

Food aid & security 1 

Integration/ mainstreaming of gender in development co-
operation 

Population programmes 

Private sector development 

Rural development 

Statistical support in third countries 

Trade related assistance 1 

Water and sanitation 

Basic education 

Evaluation methodology and baseline study of the EC tech-
nical co-operation support 

Evaluation of the EU co-operation with the Council of Eu-
rope 

Food aid & security 2 

Human rights, democracy and good governance 

Voter education in the context of electoral support 

Actions de réhabilitation et de construction 

Synthesis of geographical evaluations 

Transport 

Geographic evaluations 

Burundi 

Cameroon 

Caribbean 2 

Chad 

Congo Dem. Rep. 

Timor Leste 

Ethiopia 

Haiti 

Jamaica 

Kenya 

Lesotho 

Madagascar 

Malawi 

Pacific 2 

Togo 

Zambia 

Angola 

Botswana 

1.5 

1.5 

1.5 

1.5 

1.5 

1.5 

1.5 

1.5 

1.5 

1.5 

1 

1 

1 

1 

1 

1 

0.5 

0.5 

0.5 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

1 

0.5 

0.5 

B 

B 

B 

B 

B 

B 

B 

B 

B 

B 

C 

C 

C 

C 

C 

C 

C 

C 

C 

A 

A 

A 

A 

A 

A 

A 

A 

A 

A 

A 

A 

A 

A 

A 

A 

B 

B 

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95 

Short evaluation title 

Overall rele-
vance score 

Assigned cate-
gory 

Burkina Faso 

Congo Rep. 

Djibouti 

Dominican Rep. 

Guyana 

Liberia 

Mozambique 

Namibia 

Niger 

Nigeria 

OCTs 

Pacific 1 

Senegal 

Uganda 

Benin 

Caribbean 1 

CBI in Southern and Eastern Africa 

Central Afr. Rep. 

Central Africa 

Eastern and Southern Africa, Indian Ocean 

Ghana 

Mali 

Mauritius, Seychelles and Comoros 

PALOP 

Rwanda 

SADC 

Tanzania 

West Africa 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

B 

B 

B 

B 

B 

B 

B 

B 

B 

B 

B 

B 

B 

B 

C 

C 

C 

C 

C 

C 

C 

C 

C 

C 

C 

C 

C 

C 

In total, out of 111 evaluation reports, 29,7% are assigned to Category A, 40,5% to Category B and 
29,7% (including the older CSEs where available) to Category C. 

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9.3  Annex 3: Analysis matrix 

EQ 1 – Political dialogue 

96 

EQ 1 

To what extent has political dialogue at different levels (national, regional and through the joint EU-ACP institutions) facilitated the estab-
lishment of agreed priorities and shared agendas? 

Judgement criteria 

Associated codes 

Definition of codes 

JC 1.1 

Agreed  priorities  and  shared  agendas  estab-
lished and implemented 

Establishment  of  agreed  priorities  and  shared 
agendas at different levels (via political dialogue) 

Implementation  of  agreed  priorities  and  shared 
agendas 

JC 1.2 

Local  authorities,  national  parliaments  and  non-
state actors involved in the implementation of the 
partnership 

Involvement  of  local  authorities,  national  parlia-
ments  and  non-state  actors  in  implementation 
efforts under the CPA 

JC 1.3 

CPA  recognized  and  understood  by  the  relevant 
authorities/interest  groups  and  perceived  as  still 
responding to critical needs and problems 

Recognition of the CPA 

Understanding of the CPA 

JC 1.4 

Unintended  effects  have  played  a  minor/major 
role in the attainment of the results 

Perceived relevance of the CPA 

Unintended effects of political dialogue 

Information  on  concertation  and  co-ordination 
at different levels (via political dialogue) 
Example:  Common  strategy/roadmap  on  X  de-
veloped 

Priorities  and  agendas  issued  from  political  dia-
logue are actually implemented (or not) 
Example:  Common  strategy/roadmap  on  X  ap-
plied 

Information  on  ownership,  participation  and 
consultation of actors in implementation 
Example: National parliament is actively involved 
in the negotiations of an EPA 

Statements made by relevant authorities/interest 
groups  on  the  relevance,  pertinence  and  re-
sponsiveness of the CPA, its individual aspects 
and EDF interventions 

Information on unforeseen effects and results of 
a project or strategy 
Example:  strategy  has  led  to  an  improvement  in 
X even though X was not (primarily) targeted/has 
impacted negatively 

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EQ 2 – Human rights, democracy, rule of law and good governance 

EQ 2 

To what extent have the mechanisms mentioned in the articles 8, 96 and 97 (i.e. political dialogue, consultation procedure, appropriate 
measures, and suspension of the agreement) contributed to meaningful improvements in the field of the essential and fundamental ele-
ments (human rights, democratic principles, rule of law and good governance) in ACP countries? 

97 

Judgement criteria 

Associated codes 

Definition of codes 

JC 2.1 

Improvements  have  been  made  in  the  field  of 
human  rights,  democratic  principles,  rule  of  law 
and good governance 

Human rights 

Democratic principles 

Information on state and evolution of  
Example:  Abolition  of  death  penalty,  transparen-
cy reforms, acceptance of electoral results 

JC 2.2 

The CPA mechanisms (political dialogue, consul-
tation  procedure,  appropriate  measures,  and 
suspension of the agreement, including its legally 
binding  characteristic)  have  played  a  substantial 
role in the achievement of the improvements 

JC 2.3 

The  respect  of  the  fundamental  principles  has 
been and still is a priority for the ACP countries 

Rule of law 

Good governance 

Political dialogue 

Consultation procedures 

Appropriate measures 

Suspension  of  the  agreement/Use  of  Article  96 
as deterrent 

Impact of the legally  binding characteristic of the 
agreement 

Evidence of respect of fundamental principles 

JC 2.4 

Unintended  effects  of  the  mechanisms  have 
played a minor/major role in the attainment of the 
results 

Unintended effects of the mechanisms in the field 
of human rights, democracy, rule of law and good 
governance 

Information on use of mechanisms in the context 
of  essential  and  fundamental  elements  and  their 
effects 
Example: Political dialogue on human rights situ-
ation led to abolition of the death penalty in X 

Information  on  the  extent  to  which  fundamental 
principles  have  been  actually  applied  or  re-
spected 
Example:  Human  rights  are  considered  and  re-
spected in national policies 

Information on unforeseen effects and results of 
a project or strategy 
Example:  strategy  has  led  to  an  improvement  in 
X even though X was not (primarily) targeted 

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EQ 3 – Peace and security 

EQ 3 

To what extent has the implementation of the different instruments and approaches of the CPA improved peace and security in ACP coun-
tries/regions and has enhanced their capacity to cope with crises? 

98 

Judgement criteria 

Associated codes 

Definition of codes/possible keywords 

JC 3.1 

Evidence  of  CPA  contribution  to  sustainable  im-
provements in peace and security for the popula-
tions of the ACP countries and regions 

Peace 

Security situation 

JC 3.2 

Evidence of CPA contribution to improvements in 
conflict  prevention  and  addressing  their  root 
causes by ACP countries 

Conflict prevention & resolution 

Root causes 

JC 3.3 

Evidence  of  complementarity  and  synergy  be-
tween CPA, the common EU foreign and security 
policy  and  the  policies  of  EU  MS  (co-ordination, 
complementarity and coherence – 3Cs) 

Co-ordination, complementarity and coherence of 
EU  interventions  with  bilateral  interventions  from 
EU-MS in the field of peace and security 

JC 3.4 

EU  interventions  provided  an  additional  value  in 
comparison to bilateral interventions of EU MS 

Added value of EU interventions to bilateral inter-
ventions  from  EU-MS  in  the  field  of  peace  and 
security 

Information  on  peacebuilding  and  peacekeep-
ing efforts 
Example: Active diplomatic efforts  

Information on state and evolution of the securi-
ty situation, esp. concerning crime and trafficking 

Information on efforts to resolve current conflicts 
and  to  concretely  organize  their  aftermath. 
Conflict transformation.  

Information  on  root-causes  of  (potential)  con-
flicts  being  identified  and  addressed.  Early  re-
sponses.  Example:  Addressing  inequalities  in 
the distribution of resources 

Information on whether other interventions in the 
field are known/recognized, whether synergies 
are exploited and how 
Example:  close  co-operation  with  EU  MS  inter-
vention in the field of conflict prevention 

Information  on  the  differences,  special  charac-
teristics and advantages of EU interventions on 
the top of bilateral ones.  
Example: A joint  EU-level  intervention in crisis X 
complemented a bilateral intervention (by a state 
Y)  

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EQ 4 – Migration 

EQ 4 

To what extent have the provisions from article 13 of the CPA contributed to meaningful improvements in addressing the structural con-
straints associated with the migratory flows? 

99 

Judgement criteria 

Associated codes 

Definition of codes/possible keywords 

JC 4.1 

JC 4.2 

JC 4.3 

The CPA contributed to the fair treatment of third 
country  nationals  who  reside  legally  on  the  terri-
tories of EU MS and ACP countries 

The CPA contributed to the establishment of pre-
vention  policies  in  the  context  of  illegal  immigra-
tion 

Treatment  of  legal  third  country  residents  in  EU-
MS or ACP countries 

Prevention policies in the  context of illegal immi-
gration 

The  CPA  has  contributed  to  the  acceptation  by 
MS of the EU and ACP countries of the return of 
and the readmission of any of their nationals who 
were  illegally  present  on  their  respective  territo-
ries 

Return  and  readmission  of  illegal  immigrants 
to/by their home countries 

JC 4.4 

Unintended  effects  have  played  a  minor/major 
role in the attainment of the results 

Unintended effects in the field of migration 

JC 4.5 

EU  interventions  have  been  complementary  and 
provided  an  additional  value  in  comparison  to 
bilateral interventions of EU MS 

Complementarity  and  added  value  of  EU  inter-
ventions  with/to  bilateral  interventions  from  EU-
MS in the field of migration 

Information on situation and evolution thereof 
Example:  Immigrants’  access  to  the  labour  mar-
ket is established or facilitated 

Information  on  existing  and  planned  prevention 
policies 
Example:  Signature  of  readmission  treaties,  bor-
der control/management policies adopted 

Information on numbers and how return and re-
admission are carried out 
Example: Country A has accepted the return of x 
citizens 

Information on unforeseen effects and results of 
a project or strategy 
Example:  strategy  has  led  to  an  improvement  in 
X even though X was not (primarily) targeted OR 
a  strategy  has  led  to  a  deterioration  of  Y  at  the 
same time when X was improved 

Information on whether other interventions in the 
field are known/recognized, whether synergies 
are exploited and how 
Example:  EU  has  made  a  top  up  /  overtook  and 
broadened an intervention originally pursued by a 
EU MS in a poverty/conflict-related area 

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EQ 5 – Integration of ACP states into the world economy and their share in international trade 

EQ 5 

To what extent have EU interventions under the CPA (new trading arrangements, dialogue, co-operation programmes) fostered the smooth 
and gradual integration of the ACP States into the world economy and enabled the ACP states to play a full part in international trade? 

100 

Judgement criteria 

Associated codes 

Definition of codes/possible keywords 

JC 5.1 

The  CPA  contributed  to  the  conclusion  of WTO-
compatible Economic Partnership Programmes 

Economic Partnership Agreements (EPA) 

JC 5.2 

The  CPA  contributed  to  the  strengthening  of  re-
gional trade and integration frameworks 

Regional integration & trade 

JC 5.3 

The  CPA  has  contributed  to  increased  ACP-EU 
trade  and  investment  flows,  including  key  infra-
structure, attractiveness of FDI and  promotion of 
PPPs in the ACP countries 

JC 5.4 

Unintended effects in the attainment of results 

ACP-EU trade and investment flows 

Unintended effects of trade and regional integra-
tion 

Information  on  negotiations,  signature,  imple-
mentation  and  monitoring  of  EPAs  as  well  as 
their content; additional information on standards 
and the harmonization of procedures in prepara-
tion of the EPA negotiations 

Information  on  to  what  extent  regional  integra-
tion  initiatives  take  place  and  how  they  are  fur-
thered; ad-hoc and enduring ones; information on 
regional trade flows 
Example:  A  new  sub-regional  initiative  emerged 
around a common interest; export rates within the 
region 

Information  on  the  volume  and  standards  of 
trade and investment flows on ACP-EU level  

Information on unforeseen effects and results of 
a project or strategy 
Example:  strategy  has  led  to  an  improvement  in 
X even though X was not (primarily) targeted OR 
strategy  has  led  to  a  deterioration  of  Y  at  the 
same time when X was improved 

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EQ 6 – EU-ACP international economic and trade co-operation 

EQ 6 

To what extent has mutual co-operation between EU and ACP countries improved the identification and furthering of common interests in 
international fora86? 

101 

Judgement criteria 

Associated codes 

Definition of codes/possible keywords 

JC 6.1 

The CPA has helped in the mutual understanding 
of  trade  issues  between  ACP  countries  and  EU 
and  the  identification  and  implementation  of 
common interests in international fora 

Identification,  agreement  on  and  further  devel-
opment of common economic and trade interests 
between EU and ACP 

JC 6.2 

The CPA contributed to the improved capacity of 
ACP  countries  to  negotiate  and  monitor  interna-
tional agreements 

Building negotiation, implementation and monitor-
ing capacities 

Information  on  the  results  of  co-operation  and 
exchange between EU and ACP and on the ex-
tent  to  which  identified  common  interests  have 
been  further  developed  and  have  led  to  benefi-
cial activities 
Example:  A  declaration  of  a  common  economic 
interest: EU needs imports from ACP in commod-
ity A and ACP is interested in exporting it 

Information  on  capacity  building  activities,  par-
ticipation  of  ACP  countries  in  negotiations  and 
international fora and on the respect and follow-
up of international agreements 
Example:  a  success  story  of  state  Y  or  a  sub-
region  or  the  whole  ACP  with  regard  to  negotia-
tion/implementation/monitoring  of  a  new  agree-
ment or one that was previously struggling 

86 See as well question 11 (Joint ACP-EC Ministerial Trade Committee) 

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EQ 7 – Macroeconomic reforms, private sector and investment 

EQ 7 

To what extent has the CPA contributed to macroeconomic growth/stabilisation and institutional reforms and policies at national and region-
al level resulting in a favourable environment for investment and the development of the private sector? 

102 

Judgement criteria 

Associated codes 

Definition of codes/possible keywords 

JC 7.1 

The CPA contributed to disciplined and transpar-
ent fiscal and monetary policies in ACP countries, 
including control of Parliaments and CSOs 

Fiscal and monetary policies 

JC 7.2 

The  CPA  contributed  to  the  provision  of  timely 
responses, at a reasonable cost, to the challeng-
es  faced  by  the  private  sector  in  ACP  countries, 
including  removal  of  obstacles  and  access  of 
formal  and  informal  SMEs  to  innovative  and  ef-
fective financial and economic services 

Challenges faced by the private sector 

Responses to private sector’s challenges  

JC 7.3 

The CPA contributed to strengthening the agricul-
tural  and  rural  development  policies  with  a  view 
to enhance inclusive growth and food security 

Agriculture and rural development 

Information  on  the  current  fiscal  and  monetary 
situation and planned reforms of the underlying 
policies 
Example: any kind of economic structural reforms  

Information on the identification of challenges 
Example: Challenges linked to access o EU mar-
ket,  any  other  tariff  or  non-tariff  barriers  (quotas, 
licenses, export subsidies, business environment 
in the country, etc.) 

Information on the kind of strategies and activi-
ties used and how they are carried out 
Example:  Lifting  of  the  above  mentioned  exam-
ples 

Information on results of activities to strengthen 
the  agricultural  sector  and  the  development  of 
rural areas 

Inclusive growth 

Food security 

JC 7.4 

The CPA contributed to establish of a democratic 
and  efficient  governance  framework,  including 
modernised PA, independent and effective justice 

Efficient  governance  incl.  public  accountability 
and independent and effective justice 

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on 

the 

Information 
to  which 
poor/vulnerable  groups  profited  from  growth 
and  improvements  in  agriculture/rural  develop-
ment 

extent 

Information  on  results  of  activities  undertaken 
to improve food security 

Information  on  activities  undertaken  to  address 
governance reforms and on their results 
Example:  Budget  support  has  promoted  reforms 
that led to increased transparency and accounta-
bility 

 
Judgement criteria 

Associated codes 

Definition of codes/possible keywords 

103 

JC 7.5 

The  CPA  contributed  to  private  sector  and  civil 
society organisations having a meaningful impact 
on  preparation  and  implementation  of  policies 
related  to  economic  growth  and  private  sector 
development 

Private  sector’s  impact  on  policies  related  eco-
nomic growth and private sector development 

CSOs’  impact  on  policies  related  to  economic 
growth and private sector development 

JC 7.6 

The  CPA  contributed  to  strengthen  the  role  of 
regional,  sub-regional  and  continental  organisa-
tions  to  support  development  standards  and  op-
portunities 

Regional,  sub-regional  and  continental  organisa-
tions 

JC 7.7 

Unintended  effects  have  played  a  minor/major 
role in the attainment of the results 

Unintended effects in the field of macroeconomic 
reform/stability and private sector development 

JC 7.8 

EU  interventions  have  been  complementary  and 
provided  an  additional  value  in  comparison  to 
bilateral interventions of EU MS 

Complementarity  and  added  value  of  EU  inter-
ventions  with/to  bilateral  interventions  from  EU-
MS  in  the  field  of  macroeconomic  reforms  and 
private sector development 

Information on scope and ways of private actors’ 
influence  and  on  what  has  been  done  to  in-
crease it 
Example: regular consultations and meetings be-
tween  government  and  private  actors  on  related 
topics 

Information  on  scope  and  ways  of  CSOs’  influ-
ence and on what has been done to increase it 
Example: regular consultations and meetings be-
tween government and CSOs on related topics 

Information  on  how  international  organisations 
can  support  development  standards  and  what 
has been done to strengthen their role 

Information on unforeseen effects and results of 
a project or strategy 
Example:  strategy  has  led  to  an  improvement  in 
X even though X was not (primarily) targeted OR 
a  strategy  has  led  to  a  deterioration  of  Y  at  the 
same time when X was improved 

Information on whether other interventions in the 
field are known/recognized, whether synergies 
are exploited and how 
Example:  EU  has  made  a  top  up  /  overtook  and 
broadened an intervention originally pursued by a 
EU  MS  in  the  field  of  macroeconomic  reforms 
and private sector development 

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EQ 8 – Social infrastructure and services 

EQ 8 

To what extent has the CPA contributed to improved coverage, quality and access to basic social infrastructure and services? 

104 

Judgement criteria 

Associated codes 

Definition of codes/possible keywords 

JC 8.1 

The CPA contributed to the increase in availabil-
ity of health and education services 

Availability of health services 

Availability of education services 

JC 8.2 

The  CPA  contributed  to  the  increase  equitable 
access to health and education services 

Accessibility of health services 

Accessibility of education services 

JC 8.3 

The  CPA  contributed  to  the  establishment  of  ef-
fective quality assurance systems 

Establishment  of  a  quality  assurance  system  in 
the health sector 

Establishment  of  a  quality  assurance  system  in 
the education sector 

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Information on what exactly is available in terms 
of quantity and quality 
Examples:  number  of  hospitals,  information  on 
hospital equipment. 

Information on what exactly is available in terms 
of quantity and quality  
Examples:  number  of  schools,  information  on 
school equipment, distance to schools. 

Information on where and to whom services are 
made available 
Example:  distance  to  hospitals,  costs  of  treat-
ment 

Information on where and to whom services are 
made available 
Example:  distance  to  schools,  enrolment  costs, 
programmes to support enrolment of girls 

Information  on  which  QA  or  monitoring 
measures  are  in  place  and  what  kind  of  help 
was provided to establish them 
Example:  Information  about  a  system  that  as-
sures  quality  standard  of  hospitals  (or  their  ac-
creditation),  or  a  system  that  tracks  hospitals’ 
performance, etc.  

Information  on  which  QA  or  monitoring 
measures  are  in  place  and  what  help  was  pro-
vided to establish them 
Example:  Information  about  a  system  that  as-
sures  quality  of 
(or 
schools’  accreditation)  or  a  system  that  tracks 
numbers of students, etc.  

teaching  programmes 

 
Judgement criteria 

Associated codes 

Definition of codes/possible keywords 

105 

JC 8.4 

The CPA contributed to the integration of popula-
tion issues in development strategies and policies 

Integration  of  population  issues  in  development 
strategies and policies 

JC 8.5 

The  CPA  contributed  to  private  sector  and  civil 
society organisations having a meaningful impact 
on  preparation  and  implementation  of  policies 
related to social infrastructures and services 

Private  sector’s  impact  on  policies  related  to  so-
cial infrastructure and services 

CSOs’  impact  on  policies  related  to  social  infra-
structure and services 

JC 8.6 

Unintended  effects  have  played  a  minor/major 
role in the attainment of the results 

Unintended effects in the field of social infrastruc-
ture and services 

JC 8.7 

EU  interventions  have  been  complementary  and 
provided  an  additional  value  in  comparison  to 
bilateral interventions of EU MS 

Complementarity  and  added  value  of  EU  inter-
ventions  with/to  bilateral  interventions  from  EU-
MS related to social infrastructure and services 

Reference made to demographic change in the 
context of development strategies and policies 
Example:  demographic  change  plays  a  role  in  a 
country’s poverty reduction plan 

Information on scope and ways of private actors’ 
influence  and  on  what  has  been  done  to  in-
crease it 
Example: regular consultations and meetings be-
tween  government  and  private  actors  on  related 
topics 

Information  on  scope  and  ways  of  CSOs’  influ-
ence and on what has been done to increase it 
Example: regular consultations and meetings be-
tween government and CSOs on related topics 

Information on unforeseen effects and results of 
a project or strategy 
Example:  strategy  has  led  to  an  improvement  in 
X even though X was not (primarily) targeted OR 
a  strategy  has  led  to  a  deterioration  of  Y  at  the 
same time when X was improved  

Information on whether other interventions in the 
field are known/recognized, whether synergies 
are exploited and how 
Example:  EU  has  made  a  top  up  /  overtook  and 
broadened an intervention originally pursued by a 
EU  MS  related  to  social  infrastructure  and  ser-
vices 

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EQ 9 – Cross-cutting issues 

EQ 9 

To what extent has the CPA contributed to the attainment of substantial results on cross-cutting issues? 

106 

Judgement criteria 

Associated codes 

Definition of codes/possible keywords 

JC 9.1 

The  CPA  contributed  to  the  integration  of  an  ef-
fective  gender  sensitive  approach  at  every  level 
of development co-operation 

Gender  mainstreaming 
operation 

in  development  co-

JC 9.2 

The CPA contributed to the effective fight against 
HIV/AIDS 

Fight against HIV/AIDS 

JC 9.3 

JC 9.4 

JC 9.5 

The  CPA  contributed  to  the  mainstreaming  of 
environmental  sustainability  into  all  aspects  of 
development  co-operation  and  support  pro-
grammes  and  projects  implemented  by  various 
actors 

The CPA contributed to the strengthening of poli-
cies  and  implementation  of  support  programmes 
to  mitigate  and  adapt  to  the  consequences  of, 
and the threat posed by, climate change 

The  CPA  contributed  to  private  sector  and  civil 
society organisations having a meaningful impact 
on  preparation  and  implementation  of  policies 
related to the cross-cutting issues 

Mainstreaming of environmental sustainability 

Climate change mitigation and adaptation 

Private sector impact on policies related to cross-
cutting issues 

CSOs’ impact on policies related to cross-cutting 
issues 

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Information on gender mainstreaming efforts and 
their results 
Example:  Stronger  involvement  of  women  in 
peace-building programmes  

Information  on  situation,  developments  as  well 
as  activities  and  strategies  used 
fight 
HIV/AIDS 
Example:  Changes  in  trends  in  HIV/AIDS  rates 
thanks to programme X in province Y (prevention 
or cure) 

to 

Information  on  existing  environmental  laws  or 
standards and the extent to which they are inte-
grated in other sectors’ programmes  
Example:  Use  of  Strategic  Environmental  As-
sessments  and  Environmental  Impact  Assess-
ments in project planning  

Information on strategies and policies in place or 
in development 
Example:  A  new  environmental  law/  a  support 
programme/  an  ad-hoc  measure  adopted  and 
implemented; 

Information on scope and ways of private actors’ 
influence  and  on  what  has  been  done  to  in-
crease it 
Example: regular consultations and meetings be-
tween  government  and  private  actors  on  related 
topics 

Information  on  scope  and  ways  of  CSOs’  influ-
ence and on what has been done to increase it 
Example: regular consultations and meetings be-

 
Judgement criteria 

Associated codes 

107 

JC 9.6 

Unintended  effects  have  played  a  minor/major 
role in the attainment of the results 

Unintended effects on cross-cutting issues 

JC 9.7 

EU  interventions  have  been  complementary  and 
provided  an  additional  value  in  comparison  to 
bilateral interventions of EU MS 

Complementarity  and  added  value  of  EU  inter-
ventions  with/to  bilateral  interventions  from  EU-
MS on cross-cutting issues 

Definition of codes/possible keywords 
tween government and CSOs on related topics 

Information on unforeseen effects and results of 
a project or strategy 
Example:  strategy  has  led  to  an  improvement  in 
X even though X was not (primarily) targeted OR 
a  strategy  has  led  to  a  deterioration  of  Y  at  the 
same time when X was improved  

Information on whether other interventions in the 
field are known/recognized, whether synergies 
are exploited and how 
Example:  EU  has  made  a  top  up  /  overtook  and 
broadened an intervention originally pursued by a 
EU MS on cross-cutting issues 

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108 

EQ 10 – Poverty reduction and the needs of most vulnerable groups 

EQ 10 

To what extent has the design and implementation of EU interventions adequately delivered on poverty reduction and addressed the needs 
of the most vulnerable groups? 

Judgement criteria 

Associated codes 

Definition of codes/possible keywords 

JC 10.1  The  CPA  contributed  to  the  overall  reduction  of 

Overall reduction of poverty 

poverty 

Information  on  efforts  to  reduce  poverty  and  on 
the general poverty situation 

JC 10.2  The  CPA  contributed 

to  economic 

inclusive 

Inclusive economic growth 

growth thereby reducing income poverty 

on 

to  which 
Information 
poor/vulnerable  groups  profited  from  growth 
and on the level of income poverty 

extent 

the 

JC 10.3  The  CPA  contributed  to  reducing  food  insecurity 

Food security 

and vulnerability to food crises 

Information  on  results  of  activities  undertaken 
to improve food security 

Vulnerability to crises 

Information on the capacity to cope with crises 

JC 10.4  The  CPA  contributed  to  increasing  employment 
especially  for  the  youth  and  effective  social  pro-
tection 

Employment incentive measures 

Effective social protection 

JC 10.5  The CPA has contributed in tackling the roots  of 

Fragility 

and reduce fragility 

JC 10.6  EU  interventions  have  been  complementary  and 
provided  an  additional  value  in  comparison  to 
bilateral interventions of EU MS 

Complementarity  and  added  value  of  EU  inter-
ventions  with/to  bilateral  interventions  from  EU-
MS on inclusion of vulnerable groups 

JC 10.7  Unintended  effects  have  played  a  minor/major 

role in the attainment of the results 

Unintended  effects  on  situation  of  vulnerable 
groups 

Information on targeted strategies, policies and 
activities aiming to increase (youth) employment 
rates 

Information on targeted strategies, policies and 
activities 
Example: Safety nets for the most vulnerable 

Information on how causes of fragility were iden-
tified and addressed  

Information on whether other interventions in the 
field are known/recognized, whether synergies 
are exploited and how 
Example:  EU  has  made  a  top  up  /  overtook  and 
broadened an intervention originally pursued by a 
EU MS on inclusion of vulnerable groups 

Information on unforeseen effects and results of 
a project or strategy 
Example:  strategy  has  led  to  an  improvement  in 
X even though X was not (primarily) targeted OR 
a  strategy  has  led  to  a  deterioration  of  Y  at  the 
same time when X was improved  

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EQ 11 – Joint institutions 

EQ 11 

To what extent has the work of the joint institutions87 contributed to the results achieved by the CPA? 

109 

Judgement criteria 

Associated codes 

Definition of codes/possible keywords 

JC 11.1  An effective flow of information between the Par-

Flow of information between parties 

ties 

JC 11.2  Effective and efficient joint institutions 

Effectiveness of joint institutions 

JC 11.3 

institutions  contributed 

Joint 
increase  co-
ordination,  complementarity  and  coherence  be-
tween the EU and its MS 

to 

Efficiency of joint institutions 

Co-ordination,  complementarity  and  coherence 
between EU and its MS 

JC 11.4  Added  value  of  the  joint  ACP-EU  institutions  as 
compared  to  regional  frameworks  for  dialogue 
and co-operation within the ACP regions 

Added value of joint ACP-EU institutions 

JC 11.5  Unintended  effects  of  the  functioning  of  the  joint 

Unintended effects of joint institutions 

institutions 

Information on exchange of information between 
parties and to what extent joint institutions have 
influenced it 

Information  on  how well the joint  institutions  as-
sumed  their  functions  and  fulfilled  the  expecta-
tions put in them 

Information  on  co-ordination,  complementarity 
and coherence of EU and EU-MS efforts and to 
what extent joint institutions have influenced it 
Example:  A  mention  of  a  coordinated  approach, 
of  a  EU  intervention  complementing  an  existing 
bilateral (EU MS) intervention  

Information  on  the  differences,  special  charac-
teristics and advantages of Joint ACP-EU insti-
tutions, namely Council of Ministers, the Commit-
tee  of  Ambassadors  and  the  Joint  Parliamentary 
Assembly 
Example:  Evidence  that  one  of  the  institutions 
contributed to an achievement. 

Information  on  unforeseen  effects  of  the  joint 
institutions 
Example: Enhanced capacity building support for 
national parliaments as a result of advocacy work 
of the Joint Parliamentary Assembly  

87 Council of Ministers (including Joint ACP-EC Ministerial Trade Committee), Committee of Ambassadors, Joint Parliamentary Assembly 

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110 

EQ 12 – Mix of tools 

EQ 12 

To what extent has the EU mix of "tools" (instruments, approaches and financing modalities) and the co-management system contributed to 
reaching the goals of the ACP-EU partnership? 

Judgement criteria 

Associated codes 

Definition of codes/possible keywords 

JC 12.1 

Instruments  (national/regional/intra  ACP)  effec-
tive and efficient 

National/regional/intra-ACP instruments 

JC 12.2  Modalities  (project  approach,  budget  support, 

SWAp, joint funding) effective and efficient 

Modalities  (project  approach,  budget  support, 
SWAp, joint funding) 

JC 12.3  Financing  channels  (ACP  government,  private 
sector,  non-state  actors,  multilateral  organisa-
tions and EU MS) effective and efficient 

Financing  channel  of  ACP  governments,  private 
sector  enterprises,  CSOs,  multilateral  organisa-
tions and EU MS 

JC 12.4  Operations  of  the  investment  facility  were  effec-

Investment facility and its operations 

tive and efficient 

JC 12.5  Additional financial support contributed to the mit-
igation  of  the  adverse  effects  of  instability  of  ex-
port  earnings  and  the  safeguarding  the  develop-
ment  programme  jeopardised  by  drops  in  reve-
nue 

JC 12.6  The  co-management  system  involving  national 
authorities in the programming and management 
of aid programmes has been efficient and added 
value  compared  to  other  EU  co-operation  instru-
ments in ACP and non-ACP countries 

Additional  support  linked  to  safeguarding  devel-
opment  programmes  affected  by  drops  in  reve-
nue 

Co-management  system  involving  national  au-
thorities  in  programming  and  management  of 
programmes 

At which level is a programme best addressed – 
is  it  the  national  level  (NAO),  the  regional  level 
(RAO) or the ACP level? 

Information  on  which  modalities  have  been 
used and to what effect 
Example:  Search  for  the  approaches  in  the 
brackets 

Information  on  which  financing  channel  have 
been used and to what effect 
Example: You need to find information about the 
channels  in  the  brackets  having  implemented  a 
programme.  

Information  on  what  the  investment  facility  has 
done and how it has been done 
Example:  Successes  and  failures  of  Investment 
facility and its operations  

Evidence  about  additional  support  that  helped 
secure  funding  for  national  development  pro-
grammes  that  have  been  affected  by  drops  in 
revenue  caused  by  instability  of  export  earnings 
due  to  volatile  world  market  prices,  e.g.  banana. 
This is about FLEX.  

Information  on  the  extent  of  national  authorities’ 
involvement and the added value thereof. Have 
NAOs and RAOs an added value? 
Example: 

JC 12.7  Co-management  promoted  higher  ownership  by 
the  partner  Governments  and  increased  sustain-

Ownership through co-management 

Information on extent of ownership, potential lim-
its and impact of co-management 

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Judgement criteria 

Associated codes 

Definition of codes/possible keywords 

ability of the actions 

Example: 

111 

Sustainability of actions through co-management 

JC 12.8  Current  system  of resource  allocation  allows  ad-
equate  funding  to  be  channelled  to  countries 
where it yields the highest impact 

Effectiveness  and  efficiency  of  the  system  of  re-
source allocation 

JC 12.9  The  legally  binding  characteristic  of  the  agree-
ment has been (and still is) instrumental in reach-
ing the results 

Impact of the legally binding characteristic 

JC 
12.10 

Unintended effects of the different "tools" and the 
co-management system 

Unintended  effects  of 
management system  

tools  and 

the  co-

Information  on  enabling  and  constraining  fac-
tors  of  sustainability  and  the  impact  of  co-
management on them 
Example: 

Information  on  the  system  used,  on  the  ade-
quateness of funding provided and on the extent 
to which funding was provided to countries where 
it yields the highest impact 
Example: 

Evidence that the fact that CPA is binding helped 
achieved  a  result  (compared  to  the  situation 
when CPA would be only a declaration) 

Information  on  unforeseen  effects  of  a  tool. 
Tools are those under JC1-3, resource allocation, 
co-management binding characteristic 
Example:  

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9.4  Annex 4: Selected country examples for evaluation questions 

Table 10 

Selected country examples for EQ 1 

Angola 

Botswana 

BS Tanzania 

Dominican 
Republic 

Guyana 

The development partners Government of Angola and EC do not completely 
share a common interest in the political dialogue on governance. In several sec-
tors sector policies are ready, prepared with the support of the EC, but are not 
enacted. At central level, the political process is still top-down and issues of 
transparency and accountability are not considered a s a priority, whereas sever-
al experiences at local level have promoted accountability of municipal admin-
istrations and provincial governments and led to good results in terms of func-
tionality of the administrations. The EC’s decision to focus governance interven-
tions at provincial and municipal levels provided an opportunity to support the de-
centralisation process. As non-State actors (NSAs) are considered important 
partners for project implementation, policy dialogue and decentralisation, the 
strengthening of their capacities has been an important contribution and has mo-
bilised several NGOs to act on governance issues. 

There are different levels of dialogue with the Government of Botswana (GoB), 
mainly: political dialogue at diplomatic level, dialogue on governance, and sector 
dialogue on education and training as the focal sector of development co-
operation, and on Public Financial Management (PFM). Political dialogue is the 
high level dialogue at diplomatic level. The contents of this dialogue is not always 
open to the public but it seems sure from reports that questions of the rights of 
ethnic minorities in Botswana and the death penalty are on the agenda. It is in-
teresting to mention that the question of the rights of ethnic minorities is directly 
linked to the aspect of poverty reduction since these groups are highly concerned 
by poverty. 

Budget Support in Tanzania “There is a conflict for the EU arising from two differ-
ent roles (auditors and partners in dialogue) which contributes to the low level of 
openness from Govt in discussing performance problems and looking for shared 
solutions”.  

Policy dialogue mechanisms have not been effective but informal dialogue pro-
cesses have clearly been a critical component of a number of EC activities in the 
competitiveness, trade, Bi-National Commission, Non-State Actors (NSA) and 
other dossiers. 

Even if the situation has improved, the political dialogue between the GoG and 
donors focuses on the implementation of the interventions rather than on strate-
gic issues. The Government-donor policy dialogue in Guyana is limited. Even if 
the Commission is increasingly involved in supporting the Government’s overall 
policy through the provision of budget support, the GoG-Commission policy dia-
logue remains narrow. Indeed, although the authorities show considerable inter-
est in following at regular intervals the implementation details of each donor’s 
portfolio, these meetings are bilateral and mainly review progress in implement-
ing donor projects. They do not provide the opportunity to discuss strategic or 
policy issues. Even in the thematic or sectoral groups, and unless the Ministry 
leading the group is actively pursuing implementation of a reform programme in-
volving close donor participation (such as in the health sector), the discussions 
mainly focus on sharing of information rather than on policy or strategy issues. 
The principal drawback of this lack of policy discussion and co-operation at the 
early stages of programming is that there is no common diagnosis of needs and 
no common identification of the priority areas that require support. The PRSP is 
the reference document for all parties involved but lacks the longer term prioriti-
sation of issues that need to be tackled: if everything is urgent, there is the risk 
that efforts are dispersed and that their effectiveness and impact remain very lim-
ited. 

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Human rights 

Nigeria 

Pacific 

Senegal 

113 

In order to be effective, important changes are needed in the way political dia-
logues are prepared and conducted. The way forward is to adopt a much more 
decentralised, inclusive, iterative and result- oriented formats that match the local 
context and optimally use the potential of the EU’s new institutional framework 
‘post Lisbon’. 

EC support to institutional and economic reform has contributed to the effective-
ness of the policy dialogue. Under the 9th EDF, the EC devoted substantial ef-
forts and funding to supporting institutional and economic reform. This has con-
tributed to the effectiveness of the policy dialogue, as demonstrated by concrete 
achievements at different levels: at Federal level, EC support contributed to Gov-
ernment reforms and policies, including PFM, public procurement, tax reforms 
and the Fiscal Responsibility Law. At State level, the numerous activities of SRIP 
in PFM management, including seminars and study tours targeting high-ranking 
officials, have contributed to policy dialogue. PFM improvement has been much 
higher at Federal and State levels than at local level where almost no progress 
was achieved. Possible future support provided to LGAs might impact on the role 
that these institutions now have in the country, helping them to become more au-
tonomous and effective in delivering services and increasing their capacity to give 
voice to citizens in the local policy-making processes. The substantial EC efforts 
and funding under the 9th EDF to support institutional and economic reform has 
contributed to the effectiveness of the policy dialogue. The experience has been 
one of major reforms in some areas at Federal level (such as PFM, debt man-
agement and fiscal management), limited reform in some States, but little pro-
gress at Local Government level By contributing to the promotion of Fiscal Re-
sponsibility and Public Procurement legislation SRIP-I and SRIP-II had a signifi-
cant positive impact on the business environment and the service delivery system 
at national and State levels. Nevertheless, the results within focus sector 2 repre-
sent a mixed picture and the linkage between the expressed reform objectives 
and the reduction of poverty is rather indirect. Part of the reason is the poor per-
formance in focus sector 1, WATSAN, which should have been the main benefi-
ciary of the focus sector 2 reforms. While the non-focal micro project programmes 
targeted the poor communities of the Niger Delta, the link to poverty was not so 
clear in the support to institutional and economic reform (in other words the key 
was ‘reform’ rather than ‘poverty’). 

The Cotonou Agreement makes the reduction and eventual eradication of poverty 
the central concern of the partnership between the Commission and ACP States. 
It cannot be said that the Commission’s Regional Strategies for the Pacific or 
Commission regional interventions are consistently oriented in this way. 
The limited scope for policy dialogue at national level is a critical element ham-
pering ownership and sustainability”. Nevertheless, some improvements have 
been registered in the sector reform agenda by developing links with line minis-
tries. 

The role of NSAs in the formulation of development strategies is actually recog-
nized and displayed as a priority in the EC Strategy Papers. Senegalese NSA 
made contributions through working groups around topics related to sectors of 
concentration (good governance, transport, sanitation, budget support, trade, cul-
ture, NSAs). A tripartite dialogue (NSA, DUE, MEF) was progressively put in 
place. NSAs are generally dissatisfied with their involvement in policy dialogue 
due to: (i) a loss of momentum in the NSA consultation between the 9th and 10th 
EDF; (ii) the confinement of the field of consultation of NSAs excluding in particu-
lar the implementation of strategies and sectoral issues; (iii) and low considera-
tion of proposals NSA by decision makers. 
For the EC, this inscription has resulted, firstly, in the effective involvement of 
Senegalese NSAs in the development and implementation of its co-operation 
strategy (9th and 10th EDF) and, hand by the implementation of NSA capacity 

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Them- Civil 
Society 

Them- Justice 
and Security 

114 

building programs that have contributed to a marked improvement NSA capacity 
to participate in development strategies. However, the capacity of NSAs to sub-
stantially influence the political dialogue is neutralized by the frame and the cur-
rent modalities of participation”.  

Political dialogue is generally seen as an important tool to protect and expand the 
scope for CSO participation. The questionnaire reveals that a huge majority (67,5 
per cent) of surveyed Delegations consider that the EC has efficiently and effec-
tively used the political and policy dialogue with a variety of stakeholders in order 
to integrate the CSO channel in its overall co-operation. However, the question-
naire analysis does not provide much information on the qualitative aspects of 
dialogue: Evidence from the CSO focus group meeting and from the field (e.g. 
Peru, Cambodia, Eritrea and Egypt) suggests that the effectiveness of political 
dialogue might not be as rosy as suggested by survey respondents. While the EU 
is perceived as an important political actor in the governance field, CSOs feel it 
could do more and better to stand by their cause (especially when there are open 
conflicts with the government). CSOs also increasingly expect the EC to manifest 
an explicit political engagement when it comes to defending and protecting the 
CSOs they support -in particular those working in the human rights field or in 
sensitive advocacy work. This institutional set-up does also not create a condu-
cive environment to promote strategic partnerships (between the EC and CSOs 
and between CSOs themselves) based on common objectives and joint respon-
sibilities for achieving results and impacts. The Cotonou Agreement, signed in 
2000, was the first major EC/EU policy document, which legally enshrined partic-
ipation as a fundamental principle of development co-operation for ACP coun-
tries. This meant that CSOs were no longer regarded as mere beneficiaries or 
implementing agencies of EC-funded projects (reflecting a primarily instrumental 
approach to civil society), but as key actors in the overall development process, 
with specific roles and added value (reflecting a political approach to civil socie-
ty). This revised mandate towards CSOs amounted to a paradigm shift in EC ap-
proaches towards civil society with major implications on ways and means to use 
the CSO channel. The evaluation period (2000-2006) largely coincides with the 
formal adoption of the participatory development agenda by the EC. The overall 
statistical analysis carried out by the evaluation team shows how important, also 
in quantitative terms, the co-operation through CSOs is being possible to draw 
some trends: over the period 2000-2006, and a clear increase of CSO channel-
ling can be observed. In terms of geographic distribution of funds, the ACP region 
ranks first.  

There is evidence that policy dialogue was used by the Commission in the majori-
ty of its interventions to assist in their design and implementation. This dialogue 
was mainly with national authorities, with much less effort made to solicit the 
views of Non-State Actors. § The CSP/RSP review shows that when the Com-
mission supported a JSSR process, policy dialogue was generally carried out 
with state actors. Policy dialogue with Non State Actors was less frequently men-
tioned in the CSPs/RSPs. § In most of the interventions analysed, reference was 
made to political dialogue that was carried out primarily with national authorities, 
reflecting the fact that in most cases state security or justice ministries and agen-
cies were the target of Commission interventions. In several cases, however, in-
cluding Rwanda (Rule of Law) and Chad (Prison Oversight), civil society actors 
were key to implementation and were included in dialogue. § The field missions 
confirmed the Commission’s willingness to carry out with the partner govern-
ments a policy dialogue aimed at ensuring ownership of the reforms. In all of the 
countries visited, there were regular talks between the Commission and the Gov-
ernment on justice and security issues. However, this dialogue may in some 
countries have been difficult or failed to ensure ownership of the reforms. The 
very long and bureaucratic Commission project formulation and approval process 
often worked against national ownership. Although this process commonly ex-

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Them-Border 
Management 
Evaluation 

Them-
Complemen-
tarity 

Them-
Decentralisa-
tion 

115 

tended up to 18 months, the relevant national authorities were not always given 
much time to scrutinise drafts. When eventually a Decision was made the situa-
tion on the ground had often changed and it was difficult to adapt projects and in 
this way secure buy-in by local actors. 

The EU has not paid sufficient attention to the long-term dimension of its support. 
This has led to the sustainability of the benefits of the assistance provided being 
generally weak and at best inconsistent. There is a need to have high level, polit-
ical dialogue at all stages of support, not just to ensure governmental and minis-
terial level support for the reforms and development but also the sustainability of 
what takes place once the intervention is over. When active EUD and EU HQ 
support has been given place in this context this has invariably been reflected in 
greater local ownership.  

The EC funds and their contribution to alignment, co-ordination and complemen-
tarity. It seems that shifts in aid modalities towards Budget Support (BS) and Sec-
tor Wide Approaches (SWAps) have also importantly contributed to improved 
alignment, co-ordination and complementarity, amongst others through the set up 
and development of Aid Partner Groups (APGs) and Performance Assessment 
Framework (PAF) processes in the partner country. The principal driving force for 
these processes has been the partner countries’ aim at increased autonomy and 
self-reliance, and the principal restraining force has been the donor countries’ 
fear for misuse or mismanagement of funds. New avenues for further consolida-
tion of these processes should be – expansion of their use from primarily fo-
cussed on BS to all aid modalities; – expansion of their use from well-functioning 
LDCs to broader groups of LDCs; – permanent institutional setting of the APGs 
within the partner countries; – building on real decentralisation and delegation of 
competencies to partner country level, and on alignment and co-ordination 
agreements achieved locally. 

EC support to decentralisation in third partner countries has successfully in-
creased its alignment with partner country policies and priorities. However, the 
EC has not promoted decentralisation reform policies very proactively, and EC 
policy advocacy for decentralisation support has generally been modest – possi-
bly too modest. The increase is linked not only to greater consideration of country 
needs and increased policy dialogue, but also to the shift towards greater use of 
more "joint" aid modalities (i.e. sector support, basket funds, trust funds and SBS) 
that go hand in hand with the development of sector plans, and thus give a clear-
er articulation of priorities by partner governments. These positive findings on 
alignment are partly a result of EC general commitments to the aid harmonisation 
agenda (the Paris Declaration) as well as the increasing number of explicit de-
centralisation reform strategies in partner countries. However, there are still a 
significant number of cases where decentralisation is supported through “bottom-
up” approaches, with less direct country alignment. This is mainly in cases where 
national decentralisation reform strategies or related local government sector 
strategies are not in place.  

Them-Gender  There is evidence, from answers to the questionnaire survey, that in some third 
countries policy dialogue is taking place on gender. 37% of the 59 Delegations 
responding to the survey indicate that there was dialogue with line Ministries con-
cerning gender in key sectors during formulation of the Country Strategy Paper, 
and 32% indicate that there was at the same time consultation with national gen-
der bodies, including civil society organisations. 30 The respondent from the 
Guyana Delegation notes that “the real work concerning gender issues is done 
through policy dialogue with national counterparts (ministerial and technical)”. 
And in Uganda, where the EC is giving much support through sector-wide ap-
proaches or general budget support, the respondent notes that “Government pol-
icy when it comes to gender issues is what needs to be, and is being, influenced. 
This is the case in the health and education sector… which have in particular 

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Them-Trade 
Related As-
sistance  

116 

been sensitised to the importance of improved access to resources and ser-
vices.” These initiatives suggest a positive trend, as the desk study found no evi-
dence of any specific actions taken at headquarters level during the period 1995-
2001 to build capacity in Delegations for policy dialogue on gender with Govern-
ment and civil society. Nor has any evidence been found of an explicit approach 
to ensuring the integration of gender issues into policy formulation and decision-
making at other levels, although gender staff (Gender Desks and sometimes 
Gender Focal Points) have certainly been consulted in the processes of formulat-
ing policies. At country level there have been some initiatives, such as the 
IGED/GIGED approach developed in Guinea Conakry and Madagascar (see Box 
1, section 3.1.3.2.3), which is an example of how support can be provided to Del-
egations to engage in policy dialogue on gender. 

Policy dialogue is not focused on trade issues, owing partly to the fact that trade 
responsibilities and capacities are fragmented, both in the Delegations and in the 
partner countries. In countries where there is no Integrated Framework, little use 
has been made of policy dialogue to integrate trade issues into PRSPs or domes-
tic policy documents. Policy dialogue has also not been used to raise the part-
ner’s awareness of the potential of trade in combating poverty and promoting de-
velopment. As an illustration, in Moldova the policy advice project is assisting the 
government with the preparation of the PRSP but so far has not attempting to 
promote the trade aspects of the strategy. On the other hand, at regional level - 
especially in the ACP region and to a certain extent Latin America - TRA inter-
ventions shape the regional strategies and the Commission’s vision in terms of 
regional integration. This vision is one of open regionalism, that is regional inte-
gration as a step towards integration into world trade and the MTS and as a way 
of accruing “non-traditional benefits” such as increased credibility of policies 
agreed between several partners, improvement in the conduct of trade policies, 
additional incentives for trade reforms, and so on. This strategy is based on Eu-
ropean experience and comparative advantages in the area of regional integra-
tion, which gives the Commission natural leadership among donors in this area. 
The vision is shared with the partner countries or regions (as evidenced by the 
Cotonou agreement) owing to the attractiveness of the European integration 
model which is viewed as a success story (in terms of stability, democracy, 
peace-keeping, economic prosperity) both by the European Commission and 
many partner countries and regions (the extreme case of this is West Africa with 
the WAEMU). 

Table 11 

Selected country examples for EQ 2 

Angola 

For long periods, political dialogue has been irregular. As a part of the political 
dialogue, governance issues (such as democracy, the rule of law, human rights, 
participation, decentralisation and transparency of Public Finance Management) 
were discussed, but there have been no tangible consequences. The political dia-
logue has lost impetus in recent years but efforts are being made to revitalise it. 

Burkina Faso  The European Commission has taken the issue of good governance into account, 
both through a specific programme and through its discussions and methods (in- 
depth dialogue on general and sector-based policies). It has injected impetus and 
introduced a mechanism which needs to be strengthened to consolidate basic 
knowledge in terms of governance.  

Burundi 

Gouvernance démocratique : le faible alignement des objectifs combiné à une 
approche insuffisamment politique induisent un impact limité des interventions 
Des réalisations significatives ont été produites par les DPE pour soutenir le ren-
forcement des capacités aux niveaux parlementaire et judiciaire. En revanche, il 
n'y a pas eu de progrès en matière de cadre d'action de la société civile et des 
médias, ni d'indépendance de la justice, ni d'accès des plus vulnérables à la jus-
tice. Le contexte n'empêche pas la production des réalisations, mais il limite leur 

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117 

traduction en résultats et en impacts. Ainsi, les indicateurs techniques (efficacité 
du gouvernement ou des services judiciaires) progressent sur la période, mais 
tous les autres indicateurs (redevabilité des institutions, participation, droits de 
l'homme, stabilité politique et absence de violence) présentent une progression 
jusqu’à 2010-2011, puis une régression.  
Malgré la mise en place d’institutions issues d’élections validées par la commu-
nauté internationale (2005 et 2010), ni l’analyse documentaire ni la mission ne 
peuvent conclure à un État de droit renforcé (pluralisme politique, demande de 
redevabilité, redevabilité des institutions, séparation des pouvoirs, respect des 
droits humains, justice et sécurité…). La dynamique positive amorcée lors de la 
transition s’est enrayée, ou comme le résume un rapport de human rights Watch, 
« le saut qualitatif attendu ne s’est pas produit». Le renforcement de certaines 
commissions parlementaires est utile, mais son impact est limité par un monopar-
tisme de fait (contrôle à 76% du Parlement par le parti majoritaire). De même, le 
renforcement des capacités des médias est limité par les pressions visant cer-
tains médias et journalistes et plus récemment une législation répressive. De la 
même façon, l’instrumentalisation par l’exécutif constitue la contrainte majeure 
d’une justice impartiale et équitable, un constat reconnu par le Ministère de la 
Justice lui-même. Ce constat fait écho à l’évaluation de GutwaraNeza (2013), 
programme qui a « mis l'accent sur le renforcement des capacités opération-
nelles de la justice de proximité plutôt que sur la résolution des contraintes struc-
turelles à la prestation des services de ces juridictions». Ces blocages politiques 
ont été insuffisamment pris en compte par les DPE, mais nous n’avons pas 
d’éléments pour soutenir qu’ils aient contribué à ces blocages. 

The EC has failed to assert itself as a strategic partner vis-à-vis the GoD or Civil 
Society. The political dialogue has been relatively ineffective and aid programmes 
have not been developed to strengthen either governance or civil society. 

The EC is not systematically mainstreaming governance improvement and cor-
ruption elimination into its interventions, and then following up with adequate 
monitoring systems. 

The fear of development staff that too much focus on human rights will compli-
cate the relations with partner countries and hamper the smooth delivery 
and disbursement of aid. This dilemma can be found in many aid-dependent 
countries, particularly those ones with a poor track record on human rights. Ethi-
opia is a case in point: the EU and the donor community seek to provide basic 
support to the large group of poor people, while keeping good relations with the 
Ethiopian government for security and stability reasons. In such a situation, hu-
man rights tend to be considered as a separate component of the international 
co-operation agenda and often put at a lower rank for fear to compromise rela-
tions with the government and the implementation of the main development pro-
grammes to the poor.  

L’UE a contribué de façon significative à la promotion de la gouvernance démo-
cratique par le biais du renforcement des collectivités territoriales et des acteurs 
non-étatiques, notamment des organisations communautaires de base. Au ni-
veau central, l’appui n’a pas encore pu donner une contribution significative au 
processus d’élaboration du cadre et des dispositifs nécessaires pour la mise en 
œuvre d’un processus de décentralisation durable. Cette conclusion est principa-
lement basée sur la QE5. Le renforcement de la gouvernance démocratique et 
de la décentralisation constituent des processus institutionnels clés et irréver-
sibles auxquels les PTF les plus importants, y compris l’UE, se sont efforcés de 
contribuer par des appuis au niveau central et local. Au niveau central, l’appui a 
concerné en premier lieu l’appui au développement d’un cadre global et de dis-
positifs légaux et opérationnels ; au niveau local, l’appui s’est surtout traduit par 
des initiatives de renforcement des collectivités territoriales (CT) devant leur 
permettre d’utiliser pleinement les compétences qui leur sont attribuées. Au ni-

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Djibouti 

Dominican 
Republic 

Ethiopia 

Haiti 

118 

veau central, les actions clés d’appui de l’UE ont dû faire face à d’importants blo-
cages institutionnels et politiques. Ainsi, les effets de la contribution de l’UE sont 
jusqu’à maintenant restés modestes et, dès lors, trop restreints pour pouvoir sou-
tenir la dynamique créée dans un nombre important de CT. Les actions au ni-
veau local, notamment financées via la ligne thématique AL&ANE, ont pu sur-
monter les contraintes substantielles liées aux fragilités politiques par l’adoption 
de démarches participatives et inclusives qui souvent ont jeté les premières 
bases d’une bonne pratique de gouvernance locale. Dans certains cas cepen-
dant, le manque de co-ordination entre le grand nombre d’acteurs présents sur le 
terrain a constitué une menace importante au développement de processus dé-
mocratiques locaux. A travers ces projets, de multiples formes d’appui ont été 
fournies et elles ont, dans de nombreux cas, donné une contribution tangible à la 
gouvernance démocratique des CT, notamment à l’émergence de communes de 
plus en plus fortes, agissant parfois en plateforme, ce qui leur a permis 
d’influencer certains processus au niveau national. Cependant, le manque 
d’accès des CT à des ressources financières (notamment aux fonds 
d’investissement devant provenir du niveau central) tout comme la dépendance 
des structures communales (CT comme OCB) aux appuis techniques et organi-
sationnels d’acteurs externes constituent un frein réel au maintien du dynamisme 
local. Finalement, les acquis de ces dernières années au niveau local (auxquels 
l’UE a contribué) ont clairement mis en marche un changement de paradigme en 
matière de gouvernance locale dans la mesure où les autorités communales et 
organisations de la société civile, belligérants d’hier, se considèrent désormais 
davantage comme des partenaires dans la promotion du développement local.  

There are important human rights concerns in Jamaica which include extra-
judicial killings committed by members of the security forces, poor prison and jail 
conditions, inadequate levels of prosecution of police suspected of involvement in 
crimes, an overburdened judicial system, frequent lengthy delays in trials, traffick-
ing of persons and violence against suspected or known homosexuals. The GoJ 
Security and Judicial Reforms supported by the EU tackled most of these con-
cerns. Other EU complementary interventions financed by thematic and geo-
graphical instruments contribute to deal with the HR situation. Other HR concerns 
which do not involve EU support such as poor prison and jail conditions, still need 
to be reformed. However, Jamaica has taken steps to improve the conditions in 
prisons. Also the 2010 Universal Periodic Review (UPR) 86 process in Jamaica 
recognised the progress made in HR areas in the country. The most prominent 
issues at stake remain the signature to the Convention against Torture and the 
death penalty. The EU has a Local Implementation Strategy for the Caribbean 
States in relation to the death penalty that deals with the issue on a long-term ba-
sis. 

EU support to NSAs and local government authorities contributed to strengthen-
ing NSAs’ influence on governance reform activities and to a more responsive 
government. The EU has supported NSAs’ institutional, organisational and tech-
nical capacity through grants and technical advice, which has strengthened their 
ability to influence governance reform activities. The EU has, moreover, support-
ed local government authorities with improving their engagement with local com-
munities, which has increased their responsiveness and accountability. Overall, 
these results have contributed to improved democratic governance in Kenya.  

The support to the Transformation resource Centre (TRC) to advocate for a Hu-
man Rights Commission has been partially successful and good progress has 
been made, although this has taken longer than envisaged. The final legislation is 
not yet in place but the idea has gained traction. Similarly progress has been 
made as part of justice sector reforms, and the EU has been proactively support-
ing legal sector reforms. Other legislation supported in part through NSA con-
cerns social protection and decentralisation. Overall the avenue of support for 

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Jamaica 

Kenya 

Lesotho 

Madagascar 

Malawi 

Nigeria  

119 

reforms has therefore been promising although initiatives typically take time to 
bear fruit. 

The impacts of EU interventions in favour of taking greater account of the princi-
ple of the rule of law and strengthening of democracy prove to be few and weak 
durable. However, in the promotion of local governance, the support provided by 
the EU have had lasting impacts, including strengthening common capabilities to 
lead the development of their territories. In addition, EU support has enabled ca-
pacity building of civil society organisations in terms of citizen intervention and 
implementation of development actions without, however, achieve significant im-
pacts on the improving the legal and political governance of the country. 

EC support to Rule of Law consisted of two apparently complementary compo-
nents: justice and civic education, which in practice had little in common in terms 
of synergies during implementation. EC support to civic and voter education ac-
tivities through NICE has been significant such that after some years of such 
support NICE is recognised as playing a pivotal role in the decentralisation pro-
cess. Support to the justice sector has been problematic: targeting too many insti-
tutions, capacity shortfalls and difficulties with EC procedures. 

While neither support for the consolidation of democracy (and its deepening 
through increased participation of the poor in the political processes), nor support 
for increased respect for human rights in focus forepart of the strategy foci, these 
objectives are nevertheless essential for the co-operation as well as for the over-
all framework for relations between the EU and Nigeria. Hence, considerable 
support for their materialisation has been provided through budget line pro-
jects as well through EDF funds for election support. Democratic governance in 
Nigeria is being developed on the background of a challenge from the polity’s 
“rentier-state” nature, in which the rulers “do not need the population” since the 
abundant availability of oil funds reduces the need for raising domestic incomes 
through taxation. Hence, the corresponding need for creating social consensus 
through the provision of welfare services (or favours to the “clients” as known 
from other co-operation States) may also turn out to be reduced. In this way, 
wealth and poverty may co-exist in ways, which the political system is not able to 
reconcile, with a risk of conflicts as in the Niger Delta Region.  
Findings: 
EC support has contributed to increased democratic participation of the poorer 
parts of the population (election support from EDF funds for the conduct of the 
2007 elections and facilitation of fielding of EU election observers). While it has 
not been possible to find evidence for increased participation of the poor in the 
elections, there are indications that the pre-election education increased not only 
the level of voting by women, including that in the Muslim parts of Nigeria, but al-
so their more general participation in the political processes. The formal political 
processes do not seem to represent the poorer part of the population very explic-
itly. Against this background, the CSOs can be said to represent the political op-
position and the “political mobilisation” of the poorer social strata. Through its 
support to CSOs from EDF funds and budget lines, the EC has contributed to 
their political representation. The measures included support for the role of civil 
society in the “control-from-below” mechanisms in focal sectors, in particular un-
der the SRIP project in focal sector 2. This support has provided some contribu-
tion to increased democratic participation by the poorer parts of the population, 
particularly in the budgetary processes.  
EC support has contributed to the enhancement of the rule of law: support for the 
respect for human rights, including the rule of law and some support for the me-
dia, has mainly taken place through budget line projects. However, beyond the 
output level, which is covered by project monitoring and reporting, the outcomes, 
sustainability and impact of this support appeared not to be well known. While the 
CSP for the 9th EDF mentions a planned EC-supported Nigeria Foundation for 

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Timor-Leste 

Togo 

120 

Human Rights, the possible plans for such an institution appear to have escaped 
the institutional EC memory, both in Abuja and in Brussels. The EDF-funded 
support to the EFCC has contributed to the fight against corruption and hence 
has enhanced the rule of law in this field, apparently resulting in a consequently 
increased level of the esteem in which the judiciary is held. Rule-of-law-related 
projects are accorded higher priority within the 10th EDF. 

Commission strategy documents broadly make commitments to human rights 
and conflict prevention in the framework of the Lomé Convention and Cotonou 
Agreement. In the EDF 9 RIP the Commission noted the commitment of the re-
gional countries on these issues in the Biketawa Declaration. The strategy for 
EDF 9 mentions four common elements in conflict in the last twenty years: ‘ethnic 
differences; land disputes; disparity of economic opportunities; and a lack of con-
fidence in the government’s ability to resolve differences fairly or satisfactorily.’ 
The issue is not taken into account as a cross-cutting issue in the design or im-
plementation of regional programmes. Only one specific intervention on this issue 
has been implemented at regional level through non-programmable funds: 
‘Transforming our Communities through Good Government’. It was signed in 
2003 for implementation by USP and has been limited in size and scope. The is-
sue is more evident at national level. The intensity of the Commission response 
varies depending on the political situation of each country. Fiji, Solomon Islands 
and Papua New Guinea have polarised attention on this issue. Fiji has benefited 
from several projects on human rights and conflict prevention. It was also select-
ed by the Commission as a focus country for the European Initiative for Democ-
racy and Human Rights (EIDHR) for the period 2002-2004. 

Human rights do not feature prominently as a crosscutting concern in EU inter-
ventions. Although there are no major human rights issues, there is an important 
nexus between human rights, women’s rights, conflict & peace, and democratic 
governance. The role of NGOs as guardians of human rights is irrefutable. Impu-
nity for gross human rights violations (including gender-based violence) commit-
ted during the Indonesian occupation is an unresolved issue and a major factor 
potentially undermining long-term stability. Civil Society Organisations are calling 
for an end to the culture of impunity as a sine qua non for a sustainable founda-
tion for peace, human rights, women’s rights and state-building in Timor-Leste. 
Essential in view of the conflict transformation agenda is the issue of land rights. 
The EU supports interventions addressing the land rights issue; EU Co-operation 
however failed to link the land rights issue to the overall strategy with the agricul-
tural sector, missing the opportunity to achieve significant impacts at a broader 
level.  
On the other hand, the EU did contribute to strengthening mechanisms that help 
promote democracy, more effective rule of law, transparency, and accountability 
of the State to its citizens, although the support was highly State-centred. The 
efficiency and effectiveness of this support could have been better if a more dedi-
cated strategy on how to work in a more comprehensive way in the area of gov-
ernance and rule of law had been formulated. Opportunities for more effective 
involvement through policy dialogue in critical governance areas, for instance by 
bringing together UNDP and Portuguese co-operation (both funded by the EU) 
for a dialogue with Government about a more strategic involvement on govern-
ance, have been missed. 

Continuing and reinforcing support for democratic governance is recommended, 
in particular as regards elections, national reconciliation, justice and support for 
civil society. To do this, the EU should make an effort to reinforce its political dia-
logue in these areas. It must also verify that the factors of success of this support 
exist, particularly, appropriation and active support by the government. It should 
also promote closer association of civil society.  

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Uganda 

Zambia 

121 

The EU contributed to a more responsive government, but sustainability and im-
pact are not guaranteed. 
Overall, budget support has contributed significantly over the years to the quality 
of governance institutions and accountability. Governance indicators have im-
proved across a number of areas, especially in the earlier years of the evaluation 
period and on the upstream side of the accountability chain. Also, budget support 
and related policy dialogue, directly and indirectly, helped strengthen some key 
governance and accountability institutions such as the Auditor General’s office 
and Inspector General’s office as well as their relative importance within the gov-
ernment institutions. However, progress is especially lacking regarding down-
stream of the accountability chain e.g. following up on upstream decisions, en-
forcement of prosecution, and recovery of funds. 

The EU support contributed to the fact that the September 2011 national electoral 
process was transparent and well organised. The “Statement of Preliminary Find-
ings” on the 20 September 2011 General Elections in Zambia by the EU Election 
Observation Mission to Zambia summarily concluded as follows: “A generally well 
administered election day and a highly competitive campaign despite the ab-
sence of a level playing field”. Some critical aspects and challenges mentioned in 
the Mission’s statement refer to (i) reforms of key aspects of the electoral frame-
work for future elections; (ii) a few failings in voting and counting of ballots; 
(iii) unequal access to resources, meaning that there was not a level playing field 
for campaigning; and (iv) the failure of the State-owned media to meet even their 
minimal obligations as public service media, as key programmes such as news 
bulletins lacked any degree of balance in their coverage (I-6.4.1). 

Table 12 

Selected country examples for EQ 3 

Angola 

Positive assessment of the contribution made by the Commission’s support 
(emergency relief, food aid and food security, re- integration and resettlement of 
refugees and displaced persons, and de-mining operations) in terms of consolida-
tion of the peace process, including the importance of governance interventions.  
Although some limitations were identified both in the identification of strategic 
lines and in their implementation, EC interventions were relevant to GoA’s objec-
tives and helped address important social problems and poverty determinants that 
the GoA highlighted in the Estratégia de Combate à Pobreza (Strategy to Combat 
Poverty) and of Programa Geral de Governo 2005-2006 (extended to 2008) Major 
Findings supporting the judgement EC focal and non-focal areas of support coin-
cided with the priorities set out in the strategic documents of GoA and contributed 
to tackling the main problems identified in them. Sectors covered by the EC inter-
ventions were of outstanding relevance since recovery of productive capacity in 
agriculture, and availability and access to basic social services, were basic pre-
conditions for consolidation of the peace process. Interventions in DDRR and re-
lated activities were highly important as a basis for resettlement of former com-
batants and the strategic choice made by the EC, to serve as well the needs of 
former combatants as of those belonging to the receiving communities who are 
both vulnerable groups has contributed to completion of DDRR interventions and 
reduction of potential conflicts. The adoption of the LRRD approach increased the 
relevance of EC support by ensuring coverage of areas specifically related to dif-
ferent intervention phases while taking account of future development needs as 
well as logistical, operational and organisational co-ordination of support during 
successive phases. More critically, it has to be highlighted that the GoA, although 
welcoming EC interventions, has not always agreed completely on the EC’s politi-
cal priorities and has failed to see the utility of political dialogue, as certain areas 
are regarded as strictly internal matters. A negative element, which has affected 
the EC intervention, is that several projects or programme reviews highlighted rel-
atively low quality and weak logical frameworks. During the early phases, this 
could most probably be ascribed to the emergency conditions and multi - sector 

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Burundi 

Caribbean 

Central Afri-
can Republic 

Chad 

122 

characteristics, which entail involvement of a high number of partners in the pro-
cess using different PCM modalities. 

In the area of security issues, significant contribution to professionalising defence 
and police forces, but insufficient to guarantee security. The programme results of 
the demobilisation and reintegration of former combatants, and of police and army 
reforms are generally good. Although the police still have some structural weak-
nesses (weak internal control, a command that still needs to be unified and insuf-
ficient material resources), these positive results are correlated with better army 
and police performance. It is also worth noting that while Burundi has encountered 
six episodes of mass violence between 1965 and 2003, this has not occurred over 
the 2005-2011 period. The transition towards peace is happening. However, it is 
undermined by the lack of change in the structural causes of the Burundi conflict 
(extreme poverty, extreme concentration of political and economic power, system-
ic social exclusion). There are also new and growing risks: increased domestic 
political tension, the potential spread of regional instability, youth radicalisation. 
The structural causes of fragility known but insufficiently integrated into bilateral 
strategies. Country strategies rarely show identification or recognition of structural 
causes of conflict or, prospectively, risks and opportunities that arise. Only the 
events of the conflict are investigated. Development Partners have no system for 
monitoring the potential impact of interventions they fund or the structural causes 
of the conflict. 

EU interventions contributed to increased public awareness in the fight against 
crime and illegal trafficking through behaviour modification, production of manuals 
and CDs, “edutainment” and other measures. It is, however, difficult to effectively 
assess the results of EU interventions in the absence of appropriate studies to de-
termine actual consumption levels or whether beneficiaries have been effectively 
using the training or other deliverables. Some sharing of information among Drug 
Councils was effected which contributed to better programmes for demand reduc-
tion. EU interventions complemented other major donors, notably the OAS, 
UNODC, DfID and the USAID in both demand and supply reduction initiatives in 
the trafficking of illegal drugs from/through the Caribbean. While EU programmes 
undoubtedly contributed to reduced demand and supply, the precise/overall con-
tribution to increasing regional effectiveness in the fight against drug abuse and 
related crime is difficult to properly assess. 

FOMUC and MICOPAX, financed through the African Peace Facility, had a stabi-
lising effect on certain parts of the country, notably by creating security conditions 
under which the population could conduct social and economic activities. Inter-
viewees and evaluation reports explicitly mentioned that during EDF 8 & 9 the 
Commission did not anticipate the crisis. In Ivory Coast, despite several signs 
since the early 1990s, the EDF 9 CSP initially did not aim to address a conflict sit-
uation. 

The global approach "peace – security – development," implemented by the EU, 
especially at the beginning (in response to conflicts in the east of the country) and 
the end (facing the rise of extremist and terrorist movements ) of the evaluated 
period. However, the effectiveness of this approach has been limited by i) a suffi-
ciently thorough analysis of the factors of fragility and conflict sources, ii) the very 
low commitment of the Chadian government in reforming the security sector; 
iii) the difficulty in establishing an intense and fruitful sectorial dialogue in most 
sectors of co-operation and iv) a lack of continuity between some aspects of the 
actions of the Instrument contributing to stability and peace (CPSI) and program-
ming EDF. 

DRC 

By supporting different types of interventions, implemented successively or jointly, 
the EC has contributed significantly to the restoration of peace and the prevention 
of new conflicts. Support to the consolidation of the rule of law, focused on justice 

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Ethiopia 

Ivory Coast 

Jamaica 

123 

sector, had so far more limited effects. The EC support to the process of consoli-
dation of peace and conflict prevention has helped, despite the absence of an ex-
plicit strategy LRRD, with significant advances in disarmament, strengthening se-
curity and dialogue between the former belligerents. The combination of several 
interventions (disarmament, reintegration of combatants, rehabilitation of victims, 
health, reconstruction of NR1, food security) has had an undeniably positive im-
pact on peace-building. 
Indeed, supporting the demobilization, disarmament and reintegration of former 
combatants and rehabilitation of victims of conflict, these interventions have signif-
icantly improved security conditions and gradually created a climate of peace in 
the country. The war has effectively ceased and peace is a fact that is not in ques-
tion. However, DDR and weapons collection through the PNDDR and PCAD are 
not exhaustive, which could be a factor of increasing insecurity if the climate were 
to deteriorate in the future. 

Despite a comprehensive analysis of the desirable involvement of the EU in con-
tributing to addressing the root causes of conflict with the government, this ap-
proach was eventually limited to the indirect effects on poverty and inequities ex-
pected from the usual EU sector approach. The lack of demand from the govern-
ment in this respect was a driving factor in this change. Nor did the EU contribute 
to reducing external tensions, as its support for conflict prevention at regional level 
initiatives (CPMR) only started in 2009. 
An alternative approach was to handle conflict prevention through EU regional 
programmes. Regional programming (2002-2007) effectively integrated conflict 
prevention as part of a non-focal sector and supported the African Union Organi-
zation in the Conflict Prevention, Management and Resolution Programme 
(CPMR) in the ESA region (9 ACP RSA 027, EUR 10 million) with seminars, 
workshops, capacity-building activities and studies which have either already tak-
en place or have been launched to support IGAD's Peace & Security Strategy in 
the Horn of Africa. 

The support to the election process can also be considered a key contribution; 
indeed the Commission was one of the main funders of this process, which al-
lowed the organisation of elections that were considered transparent by the inter-
national community and therefore allowed the international community to take a 
clear position on the election results. 

The EC support to the Security and Justice Sector reforms of the GoJ is particu-
larly relevant since it deals with crucial and topical issues for the human and eco-
nomic development of the country. Under its CSP 2007-2013, the EC chose to 
address the problem of rising insecurity, crime and violence mainly through a Se-
curity Sector Reform Programme (SSRP – EUR 33 million). This programme 
stressed the support to the reform of the Jamaica Constabulary Force (e.g. institu-
tional strengthening of the Police) and a broad range of accompanying measures 
in the justice and social sectors. This is appropriate since security, social issues 
and justice are closely interconnected. In designing the SSRP, the EC based its 
strategic response on a study of existing documents and research, and undertook 
broad consultation with the NSA and other stakeholders to ensure that it was go-
ing to deal with the “root causes” and target key causes and beneficiaries. Struc-
tural constraints of the issues are directly addressed by the SSRP while social is-
sues and root causes of violence are dealt with through other instruments, notably 
the Poverty Reduction Programme (PRP I & II). In addition, some relevant pro-
jects financed under thematic instruments, notably EIDHR, complete the strategy.  

Liberia 

The Commission’s contribution to the DDRR process through a UN Trust Fund 
helped to stabilise the post-conflict situation “by signalling the availability of post-
war livelihoods opportunities and by helping to jump-start the return of IDPs and 
refugees”.  

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Republic of 
Congo 

124 

The most visible results were institutional. In most sectors, but particularly in the 
fields of health and food crisis management, the sector management structures 
have been recognized as marking significant progress compared to the past, al-
lowing both improved dialogue between the government and the TFPs (especially 
the DPEs involved) and a better capacity to adapt to current events (food securi-
ty). § On a decentralised level, the institutional support given to public structures 
and local NGOs such as tontines managed by women (MMD) is also appreciated 
and often mentioned as having effectively contributed to the development of the 
institutions that have benefited from them. § In the context of increasing pressure 
on land, the support provided to draw up a rural code and put in place land com-
missions has been a major step in limiting conflict. § In education however, institu-
tional support was proportionally weaker and had limited results, particularly be-
cause of lack of co-operation. This also applies to public finance management. 

L’appui de la CE au processus de consolidation de la paix et de prévention des 
conflits a contribué, malgré l’absence d’une stratégie explicite LRRD, à des avan-
cées significatives en matière de désarmement, de renforcement de la sécurité et 
de dialogue entre les ex belligérants. Dans le département du Pool, la combinai-
son de plusieurs interventions (désarmement, réintégration des combattants, ré-
habilitation des victimes, santé, reconstruction de la RN1, sécurité alimentaire) a 
eu des effets positifs indéniables sur la consolidation de la paix dans cette zone. 
Les interventions de la CE ont contribué à sortir du conflit armé et à accompagner 
la paix en RC. En effet, en appuyant les programmes de démobilisation, de dé-
sarmement et de réinsertion des ex-combattants ou de réhabilitation des victimes 
des conflits, ces interventions ont sensiblement amélioré les conditions de sécuri-
té et progressivement instauré un climat de paix dans le pays. La guerre a effecti-
vement cessé et la paix est un fait qui n’est pas mis en cause. Toutefois, le pro-
cessus de DDR et la collecte des armes au travers du PNDDR et du PCAD n’ont 
pas été exhaustifs, ce qui pourrait constituer un facteur d’augmentation de 
l’insécurité si le climat venait à se dégrader dans l’avenir. 

Sierra Leone  Evidence of a positive contribution from the International Community, including 
the Commission, in the immediate consolidation of the peace phase (including 
through the PCBS). In particular, the Commission’s support did help the govern-
ment in its efforts towards creating a functioning bureaucracy and macro-
economic stability which contributed positively to stability, peace and rehabilitation 
in the immediate post-war phase.  

Tchad 

Timor-Leste 

The global approach "peace – security – development," implemented by the EU , 
especially at the beginning (in response to conflicts in the east of the country) and 
the end (facing the rise of extremist and terrorist movements ) of the evaluated 
period. However, the effectiveness of this approach has been limited by i) a suffi-
ciently thorough analysis of the factors of fragility and conflict sources , ii) the very 
low commitment of the Chadian government in reforming the security sector ; iii) 
the difficulty in establishing an intense and fruitful sectoral dialogue in most sec-
tors of co-operation and iv ) a lack of continuity between some aspects of the ac-
tions of the Instrument contributing to stability and peace (CPSI) and programming 
EDF. 

The EU has made some contributions to peace and security, which have contrib-
uted to stabilising the country. However, the EU did not strategically address key 
factors underpinning long-term instability in Timor-Leste more fundamentally, 
which was a major gap in the EU’s strategy. Interventions were few, mainly project 
related, not strategically connected and missed opportunities to address long-term 
root causes undermining peace and stability, including impunity for crimes com-
mitted during the Indonesian occupation.  

Table 13 

Country examples for EQ 4 

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Mali 

Nigeria 

OCTs 

Border Man-
agement  

125 

In the area of migration, one project was being implemented by UNDP as part of 
the Joint UNDP-EU Migration and Development Initiative (JMDI) and another (to 
do with the transfer of diaspora knowledge) was part of the Migration and Infor-
mation Management Centre (CIGEM). The UN-EU relationship was found to not 
be strategic in Mali and rather based on ad-hoc agreements to channel funds 
through the UN. In the area of migration moreover, UNDP does not have a specif-
ic added value. Both projects respected the EU’s visibility requirements but were 
generally perceived as UNDP programmes. This was also a finding of the JMDI 
evaluation report, which noted that whereas the visibility of the projects in country 
was high, the EU’s visibility was low.  

The value added of EC-activities in relation to European bilateral co-operation is 
visible According to the ECD, EC value added arises from the EC not being tied 
to particular national interests in, for example, energy supply or migration, thus 
enabling the EC, more than the MS, to support Nigeria in such essential but polit-
ically sensitive areas as the census, the election cycle or the promotion of peace 
and stability in the Niger Delta area. In this context, any EC added value that ma-
terialises may not consist so much in coordinating and facilitating co-operation as 
in “reminding” EU Member States of the development needs of Nigeria and in 
maintaining the focus of co-operation with Nigeria on poverty orientation. Howev-
er, according to interviews with MS local representatives, only limited added val-
ue from the EC co-operation was evident, owing to what they saw as limited 
communication from ECD and the latter’s less than perfect performance. They did 
not share the argument about the EC having proved better at coping with politi-
cally sensitive areas, being quite sceptical about the implementation of the sup-
port for the CENSUS-Initiative and for the elections, and also to some extent 
about the support for the EFCC. The ECD found that such statements did not re-
flect the general position of the MS community in Nigeria. The evaluation team 
found that the potential EC added value in highlighting the poverty focus of co-
operation with Nigeria and in addressing politically-sensitive issues remains im-
portant, since such issues might otherwise be side-lined by the EU Member 
States’ pursuit of their bilateral interests. Regarding specific development issues 
relating to the fight against poverty and for the MDGs, no EC value added to EU 
Member States’ support has materialised. One finding regarding regional co-
operation was that, although the EC brings specific experience and large re-
sources to regional support, there was little or no evidence that such added value 
has yet materialised. In a similar way it was found that, as regards the micro pro-
ject programmes, the EC’s contribution to improving rural livelihoods adds value 
to the support provided by the EU Member States. 

As regards the coherence between EU support to the OCTs and other EU poli-
cies (e.g. migration, trade, fisheries, environment-climate change, and Arctic poli-
cy), the evaluation found that in these policies, the Member State normally retains 
the constitutional authority to act on behalf of the OCT. No cases were found 
where EU policies, as also implemented by the Member State/OCT, were not co-
herent with EU support to the OCTs. Irregular migration, for example, is a Mem-
ber State responsibility, which in certain zones demands a major input from the 
Member State in halting and repatriating illegal immigrants.  

EU support brought added value of experience, solutions, best practices and les-
sons learned from all MS, even when not all MS were represented in a particular 
intervention. EU support acted as a link between partner countries and much of 
the resources of the combined MS, allowing beneficiaries to access a vast pool of 
experience, ‘know how’ and information. Having by now operated the Customs 
Union and Schengen successfully for nearly two decades, the EU could demon-
strate benefits to mobility and trade of improved cross border facilitation and at 
the same time show how law enforcement and protection of society can be en-
sured in less strict regimes. In this context, the experience of the EU is unique 

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126 

and was acknowledged with respect by beneficiaries. EU support to IBM and OC 
has made a contribution in the ‘normalisation’ and stabilisation of regions where 
political and ethnic tensions were predominant. The neutral stance of EU devel-
opment projects combined with the technical nature of the concept of IBM al-
lowed genuine, constructive and lasting progress to be made, especially in areas 
related to improved border infrastructure, demarcation and security. Although the 
achievements in the facilitation of trade and migration areas were less noticeable, 
EU support has had a beneficial effect in terms of improved use of IT, advanced 
information, selective controls and relations with business. Capacity building is 
one of the main challenges ahead, where EU support in the modernising and re-
form of out-dated, inefficient and on occasions, corrupt practices will be vital. 

Concernant les migrations, le rapport CPD insiste sur l’équilibre à rechercher en 
matière de migration. En particulier, il développe « le défi politique consistant à 
proposer de véritables possibilités de migration et de mobilité aux ressortissants 
des pays en développement ». Cet enjeu est d’autant plus important que le 
nombre de migrants sénégalais (350.000 environ en 2005 selon les Nations 
Unies), en baisse entre 1995 et 2000 (-1,5%) est en augmentation entre 2000 et 
2005 (+1,8%). Sous couvert de cohérence des politiques pour le développement, 
l’OCDE encourage les pays d’accueil à envisager leur politique migratoire à tra-
vers le prisme du développement, mais les politiques des Etats membres visent 
souvent à restreindre l’immigration. Pourtant, l’articulation entre migrations et dé-
veloppement demeure, à long terme, ambivalente, c’est à dire que les actions de 
développement peuvent avoir des effets contradictoires (positifs ou négatifs) sur 
l’ampleur des processus migratoires suivant leur nature et le contexte d’origine 
des régions concernées 155 . Les acteurs sénégalais font part de critiques assi-
milant, d’une part, la sécurisation des frontières de l’espace Schengen à une poli-
tique migratoire et, d’autre part, l’Agence Frontex à la Commission européenne. 
Malgré le Pacte européen sur la migration et l’asile adopté en 2008, les compé-
tences communautaires en matière de politique migratoire demeurent très frag-
mentées, les Etats-membres gardant des compétences fondamentales, notam-
ment dans les critères de migration de travail. Les ONG de la Société civile (Co-
ordination Sud et REPAOC – Réseau des plateformes d’Afrique de l’ouest et du 
Centre - par exemple) s’inquiètent de l’absence de véritable politique européenne 
en matière de migration 156 mais aussi de l’instrumentalisation croissante des 
financements de l’APD à des fins de contrôle des flux migratoires. De fait, de 
nombreuses interventions de développement peuvent s’inscrire, à court terme, 
dans un objectif de contribution à la baisse de la migration clandestine, surtout 
depuis la crise de 2006, en fournissant des emplois aux jeunes (programmes 
HIMO). Mais si de nombreuses initiatives se mettent en place, certains acteurs 
considèrent qu’il y aurait « manque de complémentarité » entre les interventions 
mises en œuvre au Sénégal à partir de ressources budgétaires hors FED (B7-
667, RRM et programme thématique migration et asile) autour des question mi-
gratoires et la stratégie globale de coopération entre la CE et le Sénégal ; ce qui, 
avec la faible co-ordination entre les différentes autorités sénégalaises impli-
quées (Ministère des Affaires Etrangères, Ministère des Sénégalais à l’étranger 
et Ministère de l’Intérieur) demeureraient une faiblesse limitant l’impact des pro-
grammes. 

Interventions in training are however called into question in view of the absence 
of a national policy on migration of the workforce which is needed to address the 
brain drain problem faced by Guyana. The real challenge as far as Commission 
interventions in the private sector are concerned is sustainability. In spite of a 
strong national political commitment to PSD enhancement in Guyana, Commis-
sion interventions either fail to become sustainable owing to a lack of private sec-
tor investment and participation, or seriously risk being unsustainable owing to a 
lack of institutional development. 

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Senegal 

Guyana 

Table 14 

Selected country examples for EQ 5 

127 

Caribbean 

DRC 

Lesotho 

Madagascar 

The EPA took four years to be negotiated (2004-2007). The final agreement was 
signed in October 2008 by 13 Caribbean states, with Guyana and Haiti following 
shortly after. To date not all EU and CARIFORUM countries have ratified the 
agreement and only five CARIFORUM countries have started their phased cus-
toms duty reduction according to the agreement. EU funding has been critical for 
the EPA negotiation process, but the involvement of Non-State Actors was mini-
mum. The CRNM/OTN work plan included the active participation of private sector 
in trade negotiations. However, their participation was limited to certain working 
groups and several seminars delivered to engage them in discussions. Only those 
countries whose private sectors could afford to dedicate resources to follow the 
negotiations and to travel as part of their national delegations to the negotiating 
round, did have a full and active participation. Other Non-State Actors felt they 
were not engaged in a meaningful way, although they attended a few working 
groups and seminars. Also information was not shared properly at national or re-
gional level in spite of the number of seminars or bulletins produced. As an exam-
ple, in Dominican republic, EPA implementation was made possible under 9th 
EDF in a context of reduced RIP amounts as a result of difficulties encountered by 
the Caricom’s Secretariat. As a result, DR was among the first ACP countries to 
effectively start an EPA implementation and there have been some overlapping 
activities with risks of duplication. Although there are some improvements, EC 
specific contribution and results’ sustainability are hard to track because of weak 
M&E setups, with very often missing baseline data. Overall, EC support is output 
based (outsourcing provided) and capacity development remains a challenge, but 
it is worth noting that, in the DR experience, EPA has been used as a leverage 
instrument to improve the economic and trade enabling environment. 

La contribution de la CE à la diversification de l’économie congolaise et à son in-
tégration dans l’environnement économique régional a été modeste. Cela con-
cerne à la fois les grands axes routiers à vocation régionale, les infrastructures et 
services de transport et, enfin, les politiques commerciales.  

Despite their limitations, some currently available co-operation instruments could 
be used by the EU to reinforce its regional approach with the specific objective of 
stimulating sustainable development in the country: recognition of Lesotho’s spe-
cific interests in the South Africa-EU Strategic Partnership, development of trilat-
eral co-operation with South Africa under the Dialogue Facility, and the use of the 
Pan-African Programme (PanAf) (2014-2017) for funding of cross-cutting issues 
of mutual benefit are some of the ways that could benefit Lesotho and South Afri-
ca’s closer integration and thus Lesotho’s development. The EU’s operating mo-
dalities proved to severely curtail the potential for a future wider response to Leso-
tho’s challenges: the EU, partly through Protocol 3 of the Cotonou Agreement, 
(i) introduced differentiated access to regional programmes, (ii) elaborated differ-
ent trade agreements and (iii) negotiated different Economic Partnership Agree-
ments (EPAs) for Lesotho and South Africa, thus limiting its scope of action for 
supporting Lesotho’s regional and world integration.  

EU support has helped improve the positioning of some Malagasy products 
(shrimp, cloves, pepper) on export markets because of an improvement in the 
quality of these. However, the ability of Madagascar to defend its interests in re-
gional bodies (SADC, IOC, AFOA) and in bilateral or multilateral trade negotia-
tions is limited. Mobilization, throughout the period by the Malagasy government 
regional funds that would have further support the regional integration process 
has been low, EU support in this area have not led significant changes. 

Malawi 

Overall, EC support to capacity building in trade negotiations and related reforms 
has delivered less than expected results and has not to any significant degree 
complemented support to regional integration. 

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Nigeria 

128 

The design of EC supported trade-related programmes and programme compo-
nents took up priority issues for regional integration and trade, including also pos-
sible conflicts between EU trade-related interests and EC development objectives. 
At the same time, many programmes, underestimated the threat posed by admin-
istrative weaknesses and political sensitivities for successful programme imple-
mentation. Trade-related EC assistance yielded direct and in-direct benefits for 
the rural poor and enhanced the sustainability of a subset of EC-supported in-
come generating projects by supporting the development of marketing structures 
for supported products, such as community based tourism. Regarding NTRIP, 
widespread solicitation of technical inputs and feedback had ensured programme 
ownership at substantive or “technical” level, but failed to garner sufficient political 
ownership and support. As a result, NTRIP’s design would have allowed versatile 
support in building core trade-related capacities, independent of regional integra-
tion initiatives, but the programme remained vulnerable to political dynamics.  

There is a lack of complementarity and coherence between regional and national 
9th EDF programmes. The recent Evaluation of EC Regional Co-operation to 
West Africa (May 2008) explicitly formulated a main recommendation that, “The 
EC must increase both the complementarity and the coherence between its re-
gional and national programmes. In addition, the EC must carry out a complete 
review of operational strategies and existing plans for its support to the region 
(both countries and regional integration bodies) in order to ensure that the 
planned strategies and actions (including institutional development) will produce 
the results necessary for attainment of the integration objectives at all levels”. This 
holds particularly true for Nigeria. Nigeria’s commitment to the ongoing Economic 
Partnership Agreement (EPA) negotiations is pivotal for the region. Over the past 
decade Nigeria has renewed and strengthened her commitment to, the Economic 
Community of West African States (ECOWAS), and thus to the EPA negotiations 
with the EU (which are established ECOWAS policy). However, ECOWAS has 
certain flaws that inhibit negotiation, such as the lack of organisational resources, 
serious institutional and organisational problems, regional political instability, lack 
of diversified economies, and arguably some distrust between Anglophone and 
Francophone countries. The EPA negotiations do not appear to enjoy high politi-
cal priority in Nigeria; some members of government, press and civil society con-
tinue to inveigh against EPA and progress has also been delayed by unilateral 
trade restrictions There has been some reduction in such trade restrictions, import 
and export bans and high tariffs but many remain in place. There is thus little evi-
dence to show increasing shares of ECOWAS or WAEMU (West African Econom-
ic and Monetary Union – UEMOA in French) countries in Nigerian exports or im-
ports. But this is exactly where the focus has to be, and EC support is positively 
engaged. Such support will also contribute to increasing co-operation and harmo-
nisation between the two regional organisations (ECOWAS and WAEMU) which, 
with different Member States and history, still remain more apart than increasingly 
integrated, an objective, which for the benefit of the region has to be achieved 
sooner rather than later. The EC support positively encourages harmonisation. 
Border controls and procedures are gradually improving as a result of the EC 
support (through provision of EC support for information and communication tech-
nology [ICT] for trade facilitation and regional transportation, which includes provi-
sion of ‘one-stop’ border posts). However, ECOWAS and WAEMU have different 
speeds for regional convergence and there are continuing doubts about the moti-
vation of those regional organisations to prioritise their mutual policies for regional 
integration, economic and monetary union, free movement of people and goods 
and improved border controls. One of the major constraints of these regional pro-
grammes has been that the regional co-operation organisation has been the party 
requesting assistance for developing new border facilities or technical assistance 
to introduce new regimes, rather than this being specifically requested by the im-
plementing parties such as the border organisations. The result is that the imple-

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OCTs 

Pacific 

Zambia 

129 

menting parties have sometimes not fully ‘bought into’ the proposed development 
and, in some cases, they were not even consulted. The result is difficulties in 
translating the co-operation bodies’ concept into physical infrastructure or modern 
operating practices on the ground.  

EU interventions and trade initiatives contributed only indirectly to strengthen re-
gional integration through the policy dialogue platforms created by shifting to sec-
tor budget support. The objective of EU port projects was more to secure or en-
hance existing levels of service and security than to support economic diversifica-
tion through improved accessibility. OCTs interest in regional economic ties and 
institutional co-operation is growing though for most of them neighbouring coun-
tries are still seen as competitors with lower costs of production and limited pro-
spects for developing OCTsí niche markets. The EU trade preference regime did 
not constitute a sufficient incentive for counterbalancing OCTsí economic diversi-
fication constraints. 

Under the 9th and 10th EDF the objective was to conclude a regional EPA with 
Pacific ACP countries but only an interim EPA with Papua New Guinea (PNG) 
and Fiji could be agreed. Other Pacific ACP countries did not join the EPA. The 
main reasons are the fact that many already benefit from free access to the EU 
under the Everything But Arms (EBA) scheme or have only insignificant and errat-
ic trade with the EU. PNG is the largest PACP trade partner of the EU and has 
benefited from the EPA especially regarding commodities (palm oil, copper, sug-
ar, copra and fish) that can enter the EU free of duty and quotas. In addition the 
global sourcing derogation88 to the rules of origin has created a major incentive for 
the development of on-shore canneries and fish processing plants. 

Trade remains highly concentrated on mineral products and has poor national 
trade policies and the interventions reflect domestic priorities but have not been 
directed to reform such trade policies. Projects have mainly been addressing pri-
vate sector development and export promotion. They helped identify the main 
constraints to trade, but – due to the absence of a TRA focus – they could not in-
duce systemic reforms of trade policy or trade institutions. 

Table 15 

Selected country examples for EQ 6 

Botswana 

Caribbean 

While direct support via the regional programmes has been limited as the SADC 
principle is that the support is multi-country and at least three countries should 
benefit, there has been some much-appreciated support to training on economic 
integration and to participation in trade-related negotiations. The support is how-
ever generally more indirect as the support to SADC helps provide model laws 
and regulations and so forth, and each country then has to adopt them itself.  

There is clear evidence that support relating to the trade negotiations (in particu-
lar support to the CRNM/OTN) made available capacity which is now helping the 
region to deal with the next steps in the commitments and further pending negoti-
ations. However, he EU has not succeeded in improving significantly the capacity 
of the CCS in formulation and implementation of the EU regional strategy. Pro-
gramming has been hampered by lack of staff in the CARIFORUM Directorate. 
Implementation was difficult due to slow staff recruitment at the start, not enough 
people in project management and procurement, too many small tenders and al-
most no large international tenders. The slow pace of activities of EDF 9 is also 
due to a governance issue: all decisions of the CCS require consensus between 
all CARIFORUM member states, hence the slow pace of policy adoption and im-
plementation of the EU regional strategy. Programming has been hampered by 
lack of staff in the CARIFORUM Directorate. Implementation was difficult due to 

88 Provided the products are processed in the Pacific ACP area, they can come from any vessel independently from its 
specific flag. 

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Dominican 
Republic 

Jamaica 

130 

slow staff recruitment at the start, not enough people in project management and 
procurement, too many small tenders and almost no large international tenders. 
The slow pace of activities of EDF 9 is also due to a governance issue: all deci-
sions of the CCS require consensus between all CARIFORUM member states, 
hence the slow pace of policy adoption and implementation. 

EC support to the enabling framework has been successful in well-targeted inter-
ventions concerning trade and market opportunities in a diversified manner in 
specific sectors, mainly through product quality, SMEs and Competition improved 
frameworks. Less evident are the results to be obtained from a more comprehen-
sive support to capacity development in entities related to the National Systemic 
Competitiveness Plan beginning to take place. Improvements in the overall condi-
tions of trade do not compensate for inherent weaknesses in competitiveness. 
Fiscal policy and trade conditions and regulation are evolving (improving the 
overall business climate) and this is perceived as improving innovation and 
productivity, but there is much room for improvement. External trade policy being 
one main driver and benchmarking, regional integration benefits are tackled now 
from the EPA perspective. The ambitious competitiveness agenda still in its plan-
ning stage does not have a clear capacity development implementation strategy 
towards selected clusters and its related entities. The EDF 10 EPA implementing 
Programme is expected to address capacity building in customs, SPS, TBT, ser-
vices, Competition Policy, fiscal reform, etc. However, there are limited resources 
available for the CARIFORUM EPA implementing unit (EUR 1.1 million). This unit 
is to undertake important actions such as to guide and support the national im-
plementing units or its equivalent in functions, implement regional actions, coordi-
nate on the CARIFORUM side the work of the CARIFORUM member states have 
already identified areas for immediate support in services, support to private sec-
tor and communications, which are not covered by the present EDF 10 EPA im-
plementing fiche or any current funding available. EPA national units, already 
funded by DfID/Cartfund (like Antigua, Dominica, Grenada), will receive support 
under the EDF 10 EPA programme. 

Many private and public institutions concerned with EPA negotiations and imple-
mentation have been reinforced by EC interventions through the 8th EDF TDP, 
the 9th EDF PSDP and related ACP programmes. The support was even more 
direct through regional programmes, in particular the 9th EDF Caribbean Integra-
tion Support Programme (CISP) and its component of support to the CRNM/OTN. 
The main institutions reinforced in their capacity for the stated purpose were the 
following: Ø Jamaica Manufacturers’ Association (JMA); Ø Jamaica Trade and 
Invest (JAMPRO); Ø Jamaica Exporters’ Association (JEA); Ø Ministry of Indus-
try, Investment & Commerce (MoIIC); Ø Private Sector Organization of Jamaica 
(PSOJ); Ø Jamaica Chamber of Commerce (JCC); Ø Jamaica Business Devel-
opment Corporation (JBDC). However, EPA opportunities were not specifically 
targeted by the PSDP in its studies and direct support to IOs or firms. Some 
BSOs also considered that private-sector involvement in EPA discussions and 
negotiations of the private sector was not sufficient, with the most active parts be-
ing led by diplomats or academics. An EPA Implementation Unit was set up within 
the PIOJ. Capacity development to operationalize the EPA is a key objective of 
the 10th EDF through the CARIFORUM-EU EPA Adjustment and Capacity Build-
ing Programme. Following a modification of the corresponding CSP/NIP (2008-
2013), the EPA programme has been scaled down from EUR 11.25 million to 
EUR 2.25 million and refocused solely on institutional strengthening issues for 
implementing the trade agreement. Most resources to support the negotiations 
came through the eight ACP TPS (and a subcomponent of the 9th EDF CISP), 
dedicated to support the negotiation process itself, including training. However, 
the Jamaican private sector argues the capacity (human resource and financial) 
to follow up the negotiation process closely enough was somehow insufficient. 
There is still a request for further assistance for the private sector to fully under-

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SADC / 
COMESA / 
EAC Tripar-
tite Task 
Force 

131 

stand the EPA and its implications; this will be provided through the 
CARIFORUM-EU EPA Adjustment and Capacity Building Programme of the 10th 
EDF.  

The EU support for regional economic integration has been conducted through 
the regional programme and it was the main focal sector in both RIPs covering 
this evaluation period. The focus was the institutional strengthening of regional 
and national institutions in order to help them prepare and negotiate regional 
trade arrangements and build up their capacity to implement and monitor the re-
forms needed to comply with these arrangements with a view to maximising their 
benefits. Three groups of organisations have been targeted: 1°) The two regional 
institutions with central responsibilities for fostering the regional economic integra-
tion; the Pacific Islands Forum Secretariat (PIFS) was the main channel for coor-
dinating and organising the policy dialogue and trade negotiations, whereas the 
Secretariat of the Pacific Community (SPC) was instrumental in implementing re-
gional projects with in-country activities in support of private sector development 
and trade facilitation. Both institutions benefitted from contribution agreements. 
This decision was appropriate given the absorption constraints at national level, 
but it nevertheless limited the results at the national level and weakened sustain-
ability. There were two main challenges to national-level impact: (i) the evolving 
complexity of the regional context and (ii) the lack of conditionality clauses in the 
contribution agreements between the EU and the regional organisations. 

Established with EU support, it has been working towards the harmonisation of 
the trade regulation among the three regional organisations. The Regional Inte-
gration Support Programme – RISP1 supported the harmonisation in Common 
Tariff Nomenclature (CTN) and statistics, and RISP2 contributed to the design 
and adjustment of policies and regulations related to COMESA FTA and Customs 
Union − i.e. Standardisation, Accreditation, Metrology and Conformity Assess-
ment (SAMCA). Particularly with regard to COMESA, the EU has addressed key 
challenges relating to, for example, standards harmonisation, transport and transit 
challenges through the development of new regulation, training and institutional 
development, as well as the development of monitoring mechanisms and the 
COMESA adjustment fund.  

Table 16 

Selected country examples for EQ 7 

Burkina Fa-
so 

Budget support has contributed to the reform and strengthening of PFM, but the 
effects on the efficiency and transparency of public spending has been limited. The 
PFM reform programme of Burkina Faso has enjoyed significant BS, a rich sector 
dialogue and a number of complementary capacity building measures (including 
through civil society). Thus, the government has managed to maintain its leader-
ship position and its "champion" in the sector. However, in most cases (the 
measures taken in the expenditure circuit making exceptional office), ongoing re-
forms do not translate into a capacity building and empowerment of stakeholders 
at central and local level. In addition, the PFM reform is but one element of re-
sponse to the efficiency and effectiveness of public expenditure, the sectoral ap-
proach to POSEF failed to take sufficient account of the problems transversal, and 
for some, more political. These issues relate in particular to political interference in 
the selection of investment projects and bad practices in the management and 
monitoring of public procurement at the sector and local authorities. In addition, the 
weakened GBS dialogue has not helped to address these issues at a general lev-
el. 
The country (characterized by a chronic deficit in the overall fiscal balance fi-
nanced by external funds) achieved a relative overall decrease in the deficit in the 
last years. However, the effects of the food crisis of 2011, conflicts in northern Mali 
and the organisation of legislative and municipal elections aggravated the deficit in 
the budget balance between 2011 and 2012. According to the WB (2009), because 

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of delays in decentralization, the country also faces the limitations of a model of 
centralized management of the expenditure. This model is characterized by (i) 
higher operating costs of central government as well as business costs of providing 
superior services to regional averages; (ii) a centralization of decision-making that 
leads to taking into account local specificities partial and needs, (iii) administrative 
complexity in the execution of expenditure. The implementation of the CSLP was 
an opportunity to increase public spending, especially on social sectors, al-
lowing the country to improve the level of some of its social indicators. On 
the fiscal side, it is important to note that the 2000s were also years of tax resource 
mobilization effort. Against all expectations, the increase in tax revenues was ac-
companied by a relaxation of fiscal discipline that manifests itself mainly through 
expenditures that are not aligned with the annual budget. The evaluation also 
notes a certain politicization of public spending (interference in the prioritization of 
investments, changes in budget running, implementation of unplanned activities..). 
As a result, the relaxation of fiscal discipline concerns both current expenditures as 
investments: there has been a significant increase in the wage bill and significant 
investments were made while they were not programmed into the MTEF and even 
less at SCADD. This relaxation is the product of two interconnected and comple-
mentary factors: first, the rise of social discontent against high prices, increasing 
the number of poor and corruption (and on the other hand, the attempt to build a 
popular consensus around the political design change of the constitutional law.  
There has been progress in terms of transparency of budgetary information and 
institutional support of the fight against corruption (sites where budgetary data are 
published and PFM transparency code adopted in 2013). The budget formulation 
process, however, still remains to be improved. In terms of the fight against corrup-
tion, the strengthening the Court of Audit is an important step, but its operation is 
still hampered by institutional problems (blocking of the Constitutional Court in par-
ticular on the status of judges) and a lack of means. The establishment of the 
Higher authority of state control (ASCE) is also a step forward, but the authority 
does not have the autonomy nor the capacity to conduct investigations and seize 
police bodies and justice. Through BS a very close dialogue with the GoB has 
been carried out in this area, generally ar sectoral level and, at higher level, 
through Troika, notably on issues relating to the fight against corruption and the 
new Mining Code. The results were mixed, as the GoB has formal or partial con-
cessions but never really showed the will to fully engage on this issue and to find 
practical and effective solutions to the problems addressed. Thus, the map of the 
suspension of AB disbursements, despite a largely coordinated approach by the 
key PTF AB operating in this area – was not sufficient. The adoption of the anti-
corruption law by the transitional government, however, shows that the efforts of 
donors have not been in vain and have helped to establish the important changes 
of premises.  
At sectoral level, most departments have well-developed sectoral strategies, but 
their programming tools – entered a second phase of reforms from 2010 – are not 
yet in place. It is in 2010 that the actions of improvement and consolidation of pro-
gramming instruments began, leading in 2012, to the adoption of an implementa-
tion strategy paper programme budget. Since then, a growing number of ministries 
and institutions (41 in 2014) were able to benefit from support for the development 
of their programme budgets. However, in practice, the implementation of the pro-
gramme budget is far from certain at the sector level. The training programme set 
up in 2012 has not achieved its objectives and the capacity of ministries to truly 
master this programming tool remains low, so their planning efforts and developing 
results-based policies do not found in their budgeting practices. On public pro-
curement it is quite remarkable that the government has responded to some rec-
ommendations of the first stakeholder forum of public procurement in 2011. A first 
generation of reforms had led to the 2008 decree establishing the separation of the 
control functions and regulating the management of public markets (in accordance 
with the WAEMU guidelines). The PEFA indicator PI-19 "competitive bidding, opti-

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Chad 

Haiti 

DRC 

Ethiopia 

133 

mal use of resources and control procurement" received a score "B" in PEFA 2010 
and 2013, against C in 2007. This score indicates, among others, the existence 
of a legal and regulatory framework generally satisfactory and use of pro-
curement methods of using markets to competition. The adoption of the trans-
parency code in WAEMU PFM by the National Assembly in March 2013 is an im-
portant step which requires the GOB to respond to information requests made by 
the public. 

EU support has helped improve the efficiency of public financial management. Dur-
ing the period under review, macroeconomic performance indicators, especially the 
economy's growth rates have fluctuated significantly linked to those of oil revenues 
and also to changes agricultural production, heavily dependent on weather condi-
tions. In April 2015, after a long process, the World Bank and the IMF considered 
that Chad met the requirements for reaching the completion point of the initiative 
for Heavily Indebted Poor Countries (HIPC). The relative flexibility demonstrated by 
the Bretton Woods institutions in the assessment of these conditions is explained 
by several factors: i) Chad was the last country having reached the decision point 
(in 2001) and has not yet reached the completion point; ii) some criteria, defined in 
2001, proved to be obsolete; iii) some member states of the EU, including France, 
considered necessary to enable Chad to obtain debt relief 106 in a context of 
budgetary difficulties in particular the country's commitment in the fight against 
Boko Haram ; iv) the announcement by the EU to the instruction of budget support 
in 2015 in Chad. The EU's previous support has also played an important role in 
the achievement of triggers through the support provided to improving the public 
expenditure chain, construction of paved roads and investment in the sector of 107 
village water. Despite this progress, the economic outlook remains worrying: de-
pendence vis-à-vis the oil sector economy remains strong and oil prices, which fell 
by nearly 50% between April and December 2014, should remain at a low level in 
2015, or even 2016. This difficult economic situation, compounded by an increase 
in military spending, combines the structural weaknesses of PFM (particularly the 
low level of the tax burden) to result in the final period to deteriorated fiscal posi-
tion. 

While all the donors’ resources were channelled through the inefficient Interim Haiti 
Recovery Commission (IHRC) in 2010, and the Preval government – with hun-
dreds of dead among its staff – did not have a cent to clean the roads from the de-
bris of the earthquake, EC decided to provide budget support to the government 
and allowed the recovery of its activities and investment. 

By combining political dialogue at high level, close co-ordination with the other PTF 
and supported by the EDF for debt arrears of the RC in respect of the EIB, the EC 
has played a significant role in improvement of the macroeconomic framework of 
the country, thus contributing to the process that allowed the RC to reach the com-
pletion point of the initiative "highly Indebted Poor Countries" (HIPC). However, the 
implementation of commitments made by the RC in the management of public fi-
nances and the business climate is barely engaged. 

Farmers‘ access to credit has increased over recent years, particularly in connec-
tion with household packages of farm inputs (e.g. seeds, fertiliser) or farm assets 
(e.g. animals, tools) provided under the Government-funded Food Security Pro-
gramme. The EU did not find ways of gearing a significant share of its resources to 
those issues, apart from the Support for Agricultural Marketing Development 
(EUR 10 million). Yet there are still many farmers, particularly women farmers, who 
lack access to formal credit. Some typical deficiencies in the design and manage-
ment of the credit schemes (inflexibility of packages provided on credit, lack of 
technical support services, capacity and institutional constraints in credit manage-
ment, lack of dependable and effective revolving fund arrangements), which limit 
the effectiveness (loss of opportunities and growth potential), efficiency (low re-
payment rates) and sustainability (dependence on continued subsidies and re-

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Jamaica 

134 

newed budget allocations) of the rural credit supply system remain. PSNP partici-
pation generally facilitated access to credit from informal as well as formal sources. 
In the new PSNP phase, credit supply through micro-finance institutions (MFI) and 
Rural Savings and Credit Cooperatives Organizations (RuSACCO) is explicitly 
linked to PSNP, albeit still without donor funding. 

The budget support programme seems to have missed a major opportunity to put 
PFM at the forefront of GoG policy by designing a programme that could have 
helped both to lay the foundations for improved public expenditure planning and to 
encourage the GoG to take the driver’s seat in a global and prioritised PFM reform 
programme. First, the six-monthly reviews relied almost exclusively on a review of 
the various donor-driven PFM improvements, ignoring the wider picture and giving 
no attention to the wider objectives of budget support in terms of improvement of 
social conditions and reduction of poverty levels in Guyana. Whilst it is crucial to 
monitor the soundness of the fiscal systems that manage the financial aid provid-
ed, it is equally crucial to verify that Budget allocations and realisations respect the 
policy and strategy priorities laid out in the PRSP, both by sector and, within each 
priority sector, by priority programme or activity. This type of qualitative budget 
analysis has not been undertaken in Guyana since 1999. Second, the impact on 
PFM improvement of the TA and the use of PFM indicators has so far been very 
limited. Without central pressure for engaging in a medium term budgeting exer-
cise, the MTEF models that were developed under the Commission-funded TA 
were neither appropriated nor used by the respective ministries whilst the fiscal 
projections model could not be used due to limitations in staff availability. 

The EC has played a key role with its DRGEP programme. The provision of budget 
support has contributed to macro-economic stability and better PFM performance. 
DRGEP acted as an effective fore-runner for subsequent IMF and other IFI support 
for macroeconomic management. Many of the performance measures and bench-
marks have retained their validity and relevance in the subsequent macroeconomic 
related policy engagement. This has resulted in a variety of reforms and a much 
clearer and more rigorous policy framework in 2010. It also resulted in amend-
ments to the Financial Administration and Audit Act and corresponding regulation 
for the better and more transparent management of the macro-economic and PFM 
domains. The EC’S support of PFM was well justified. The 2007 PEFA showed 
relatively good scores in many areas; however it identified poor results for expendi-
ture management. Jamaica has been slow to adopt an Integrated Financial Man-
agement Accounting System, although a process of expenditure management im-
provements is now on-going. A PEFA envisaged for 2011 has been deferred by 
one year. The pace of PFM reforms has accelerated since the 2007 PEFA as-
sessment with the passing of fiscal responsibility legislation which should generate 
substantial improvements in budget management and governance. A comprehen-
sive review of public procurement has also been undertaken. It is widely acknowl-
edged by IDPs (WB, IDB, IMF) that there has been good progress in some key ar-
eas of PFM; the perception of many respondents in the field is that many of these 
improvements are bearing fruit after the end of the evaluation period, e.g. since the 
end of 2009, although the structural steps were put in place during the period un-
der evaluation. The EC has actively supported improvements to PFM, both through 
its macroeconomic policy dialogue and by adopting specific conditions in its budget 
support, e.g. under the DRGEP programme. The EC support has extended to 
steps taken to improve PFM and accountability as part of sectoral programmes. 
Considerable effort has been put into containing liabilities in public sector entities 
that are outside central Government such as the Road Fund which has caused 
concern amongst donors and IFI. Fiduciary risks remained significant and the EC 
continued its support to improve on them. The National Integrity Action Forum may 
help address corruption concerns along with technical and security measures that 
are also supported in that sector. Whilst many of these improvements have been 
recent, the 2007 JAR highlights extensive technical participation in preparation of 

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strengthening measures. Under SERP III debt management and budget manage-
ment TA was provided. In addition, the 2007 PEFA study funded and contracted by 
the EC was successfully completed with participation of all major donors. The 
MTF, developed with EC support, was approved by Cabinet in 2004 and has be-
come the prime strategic planning source. The support of the Commission played 
a vital catalytic role in supporting the MTF in its early days. The MTF has been 
mainstreamed in the country making it a crucial strategic plan. The past three to 
four years (encompassing the latter part of the period under evaluation and subse-
quent events) has demonstrated a joined-up, coherent and responsive approach to 
the adverse external macro-economic environment and the GoJ’s efforts to re-
spond to that evolving situation. The EC has played a key role in addressing the 
macroeconomic challenges faced by Jamaica. For example, the Commission sup-
ported the GoJ’s measures to dispose of loss-making state enterprises (for exam-
ple in the sugar sector and Air Jamaica). It has also supported a successful debt 
exchange (JDX); helped to reduce the interest rate burden; provided a supporting 
role in actions that underpinned the Jamaican dollar and improved Jamaica’s cred-
it-worthiness, thereby playing a vital role in response to the international credit cri-
sis. It has played an important role in strengthening the Jamaica’s resilience to ex-
ternal shocks by, for example helping to put in place more robust governance ar-
rangements. Support has also been given to ensure that dossiers in support of 
budget support releases should be as strong as possible. Generally, the EC’s 
budget support has been an important contribution to stability and releases in re-
cent years have demonstrated improving predictability. The EC has shown willing-
ness to de-commit funds where necessary, where progress has been unsatisfacto-
ry (as with PSDP and with the transport sector support). Finally, consistency and 
coherence can be identified in the EC’s policy dialogue, linking issues of macro-
economic management, sectoral reform and public finance management. 
There is a small but important body of evidence to support a finding that 
third parties (other than the EU and the GoJ) have perceived the EC support 
to the MTF as being worthwhile or critical. For example, the WB CAS for 2010-
13 indirectly recognises the EC as an “IDP”; and the Bank of Jamaica’s 2010 4th th 
Quarterly Report identifies the role of the EC in building confidence through the 
debt exchange process. 
The overarching purpose of EC co-operation under the 9th EDF and the PSDP 
was therefore to improve the competitiveness of the Medium, Small and Micro En-
terprise (MSME) sector, specifically by increasing access to enhanced business 
development services. Under the PSDP, small and micro enterprises benefitted 
from an average of JMD 1.5 million while medium enterprises received grants of 
JMD 2.8 million on average. Both the approval and utilisation rates increased sig-
nificantly in the 2008-2009 period compared to the earlier period 2006-2007. Ap-
proximately 94% of projects financed were directed at increasing efficiencies 
through re-tooling, product/service development, MIS development, marketing and 
promotion. The EC’s response to this situation was to enable the granting of funds 
to SMEs to adapt. The adoption of new technologies was particularly targeted at 
small enterprises and related to increased use of production-oriented information 
technology, in the form of both hardware and software. Records show that grant 
support to business entities has been island-wide and across all sectors, with the 
majority of support provided to the priority sectors of agriculture, including agri-
business, the creative industries, tourism and services. 80% of the beneficiaries of 
grants and business development services (BDS) were micro and small entities. 
Community-based Organisations (CBO) in particular were provided with very fa-
vourable grants of 90%/10% and these entities served to increase the emphasis on 
areas such as small community projects, women-led businesses, the fashion in-
dustry, beauty products and, to a lesser extent, good governance, better business 
practices and greater access to corporate finance. Through the PSDP some 100 
loans 118 were facilitated in order to address the challenge of the access to corpo-
rate financing in order to help business expansion. The Development Bank of Ja-

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136 

maica greatly contributed in 2009 by providing 50% credit guarantee through their 
network of financial institutions. In this way, one of the objectives of the PSDP, 
namely the access to corporate finance, was addressed. 

Opinions and conclusions of a number of studies and evaluations differ as regards 
the extent to which the performance of Kenya’s PFM system has improved during 
the period 2006- 2012. Overall, it is noted that the EU made a modest positive 
contribution to PFM reforms, although the PFM Reform Programme support-
ed by the EU was not very successful. The EU-funded macro-economic support 
programme consisted of GBS and funding of the SRPFM. The EU support could 
have contributed to improved performance of Kenya’s PFM system via (i) the GBS 
disbursement conditions, (ii) the PFM policy dialogue and (iii) the financial support 
provided to the SRPFM. Its design was weak although it provided a workable 
framework for donor support. Its implementation is also considered as weak due to 
insufficient high level political support, a weak PFM Reform Secretariat, a compli-
cated set-up of the donor support, absence of an effective monitoring system and a 
weak PFM policy dialogue during most of the time. Despite the problems with the 
PFM Reform Programme itself, relevant PFM reforms have been implemented and 
continue to be implemented, thanks to drivers of change within a number of institu-
tions responsible for PFM. 
1.  There was a clear relationship between the PFM disbursement conditions of 
the first fixed tranche and the on-going and planned PFM reforms at the time 
the PRBS was prepared and launched in 2004/2005. It is plausible that there 
has been mutual influence. 

2.  There has been an active PFM policy dialogue in the period 2004-2006 when 

the PRBS-II was being prepared and the SRPFM was being formulated. During 
those years, the DPs – including the EU – have contributed to designing a new 
comprehensive PFM policy, which has contributed to improving the 
performance of the PFM system. 

3.  The performance of the SRPFM in terms of guiding and coordinating a 
comprehensive PFM reform programme has not really lived up to its 
expectations. There were not only design weaknesses, but also a weak 
institutional set-up and leadership and last but not least a complicated and 
inefficient set-up of donor support to the SRPFM. The EU contribution to the 
external funding of the SRPFM just exceeded 10% in terms of actual 
expenditures. As the use of the EU funding was not earmarked for specific 
purposes or activities, the overall conclusions as regards the contribution of the 
EU support to improvement of Kenya’s PFM system via the SRPFM are the 
same as those presented here above for all external funding and are thus not 
so positive. 

The implementation of BS in was triggered by the macro-fiscal framework (sudden 
temporary deterioration in Lesotho’s otherwise structurally sound fiscal position). It 
took insufficient account of the weaknesses of public administration which jeopard-
ised the successful implementation of public policy, and thus of BS, as well as the 
effectiveness and sustainability of BS’s accompanying technical assistance sup-
port in PFM.BS and PFM reform Regarding PFM, DPs involved in BS (WB, AfDB, 
EU) as well as the other donors present on the ground (DFID, Irish Aid, GTZ) 
played a crucial role in facilitating the design, implementation and monitoring of 
Lesotho’s PFM reform programme in the mid 2000s. However, progress in PFM 
was very slow, with different diagnostic studies (WB PEMFAR in 2006, PEFA 2009 
and 2012 and PFM technical IMF missions since 2010) and the authorities attest-
ing to the continued difficulties experienced despite important support having been 
provided by donors in developing new systems (IFMIS), providing new tools 
(MEFF, MTEF) and training staff. The PFM reforms were expected to be complet-
ed in 2011 instead of which, progress was slow and, in some areas, PFM slid 
backwards. A new PFM Reform Action Plan (PFM-RAP) foresees reform activities 

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to span at least up to 2017. However, considering that the IRSC has been dormant 
since 2012, that this RAP has been prepared by a TA, and that forthcoming elec-
tions are likely to effect changes in the MoF direction, it is questionable whether 
the PFM-RAP will receive the adequate political backing to be implemented. Two 
effects of BS on public spending can be distinguished. Firstly, regarding funding 
flows, as shown above, BS was very timely in cushioning the impact of the 2008/09 
economic crisis on public expenditure and increased the GoL’s margin of budget-
ary manoeuvre at a difficult time (even though drastic expenditure curtailing 
measures still had to be taken to accommodate the sharp fall of SACU revenues). 
Secondly, regarding the improvement of GoL’s management capacity and the 
quality of its spending, the BS and associated TA efforts focused primarily on im-
proving the accounting and expenditure information system (IFMIS) to facilitate the 
monitoring of expenditure allocations and executions but paid little attention to the 
quality of spending. GoL’s accountability did not improve either over the period. 
Even though there has been impressive progress in catching up on the production 
of yearly accounts and their submission to Parliament, the capacity of the latter to 
scrutinise the accounts has remained feeble: closing accounts have routinely been 
looked at but the quality of spending and the budget allocations according to policy 
priorities have not been analysed for lack of capacities. Fiscal decentralisation re-
quires tight management of fiduciary risks but delays have occurred in disburse-
ment of funding by the GoL, and with the withdrawal of World Bank and GIZ sup-
port there is less external scrutiny of the safeguards to be managed in this high-
risk PFM environment. Decentralisation is challenging to implement in any envi-
ronment: the very slow pace of progress in the 18 years since the legislation in Le-
sotho was passed in 1997 reflects the impediments faced. 

Madagascar  Budget support provided by the EU during 2002-2008 contributed to the harmoni-
zation of external aid and the increase in state revenue. It also promoted major re-
forms in favour of the improvement of the macroeconomic framework and the effi-
ciency of the management of public finances. These were partially interrupted by 
the 2009 crisis. In the field of Tax revenues the IMF has calculated that between 
2009 and 2013, the tax burden rate has averaged 10%, a level that remains very 
weak internationally. The imbalance of public finances was contained but signifi-
cant arrears were accumulated by the State during the period 2009-2013. Growth 
of the Malagasy economy has been driven by foreign direct investment made 
mainly in the mining sector. They have in particular attracted significant foreign ex-
change inflows which allowed a significant improvement in the balance of external 
payments. Monetary policy helped to contain inflation, (27% in 2004 to 10.8% in 
2006 and 8.2% in 2007). At the end of 2008, economic prospects were good. Be-
tween 2009-2013 the country experienced a deep economic crisis under the dou-
ble impact of the global financial and economic crisis and the political crisis in 
Madagascar since 2009. The combination of these events led to a collapse in do-
mestic demand and exports (especially tourism). The growth in mining output did 
not offset the decline in activity recorded in agriculture and services. The significant 
efforts to maintain a macroeconomic framework "stable" have caused particularly 
severe budget restrictions. These austerity policies have helped to aggravate the 
poverty rate in the population. According to the World Bank, virtually all of the pop-
ulation (96%) and live on less than USD 2 / day in 2013. 
With the adoption in 2004 of an ambitious reform for a results-based management, 
significant efforts have been made to improve public financial management (PFM). 
TFP supported this reform with the mobilization of expertise, development of 
guidelines and coordinating the implementation of training by the Ministry of Fi-
nance. But the pace of implementation has been too fast, or without a weel se-
quenced accompaniment and the scope of the reform has been limited, the major 
players have not been fully involved in the process. The dialogue conducted in the 
context of budget support has also encouraged other reforms in public financial 
management, such as that applicable to checks on the execution of public spend-

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ing. However, PEFA 2008 still highlighted the weaknesses of such controls, which 
affect the reliability of the entire system. Between 2009-2013, although previously 
decided reforms have not been challenged, the transition period was not conducive 
to multiannual programming or capacity controls. In this difficult context, the efforts 
made at the technical level to continue the implementation of certain reforms are 
noteworthy, including: clarifying the budgetary guidelines; deconcentration of fi-
nancial services with opening of secondary perceptions and corporate treasuries in 
the ministries of Health and Education; phasing out of accounts in commercial 
banks in derogation from the principle of single treasury and used without compli-
ance with the principles of public finance and procedures. Finally, the Communica-
tion on the use of public funds has been strengthened. 
Improved planning and budgeting process With the adoption of MAP in 2008, the 
budgeting exercise in public spending has evolved to reflect the new strategic are-
as while developing medium-term expenditure frameworks (MTEF) in order to re-
flect the priorities of the budget based on anticipated resources. In this context, 
donors have mobilized their institutional support as part of their projects, and these 
supports were juxtaposed, with no real structure. On the other hand, the sectoral 
variation of the reform process has faced the fact that the financial programming 
format was poorly adapted to sectoral activities (especially in the sectors of health 
and education), which made the artificial exercise. When the programming frame-
work was reviewed, the implications of the crisis in terms of budget cuts came 
wearing a setback to efforts. Gradually, the budgeting process has disconnected 
from that of the programming of activities. Also, the self-assessment conducted in 
2013 by the Ministry of Finance and Budget, with technical support from the World 
Bank, further underlines some notable rigidities that hinder the efficiency and pre-
dictability of budgetary expenditure, in particular: constraints for persistence con-
solidation of various deposit accounts; difficult to assess the level of internal debt 
constituted including government arrears; lack of consistency in the information on 
the exact composition of the staff of state officials. 

A heavily donor-dependant country, with DPs‟ Aid representing 20% of the GDP, 
the EC disbursements within its three BS programmes (PRBS I-III) brought, in 
synergy with the funds released by other BS donors, a critical mass that strongly 
supported the country’s efforts for securing its international reserves and imple-
menting its poverty reduction strategy. This external and internal stabilisation could 
be achieved in a context of improved co-operation with the GoM and a policy dia-
logue structured by the CABS group under the Joint Framework for budget support 
co-operation and the Performance Assessment Framework, both designed after 
the resumption of BS flows in 2004. On the contrary the 2003/2004 Budget support 
suspension that followed the late completion of IMF PRGF review worsened the 
country’s financial situation with debt and associated interest charges rising and 
pro-poor expenditures decreasing simultaneously. Even though referred to as a 
“programme” in the three consecutive EC PRBS financing agreements, budget 
support remains an aid modality whose substantial financial leverage was still lim-
ited to the combination of disbursements and monitoring of PAF indicators. In par-
ticular, it cannot by itself mitigate risks arising from external shocks or deterioration 
in the policy dialogue. In a context of deterioration of the terms of trade following 
the fall of tobacco sales since early 2011 the IMF ECF programme with Malawi be-
ing finally declared “off-track” on June 20th after the failed completion of the sec-
ond review due in April this year is likely to create an additional financial shock as 
most budget support disbursements within the CABS groups are likely to be sus-
pended. 

Malawi 

Mozambique  EC support has permitted the strengthening of key institutions involved in agricul-
tural development and food security and has thus contributed to create the basis 
for a more efficient service provision of these institutions. PROAGRI I has concen-
trated mainly on institutional reforms. Thus, the evaluation of rural development 
(2006) concluded “If the PROAGRI has had a clear impact on ministerial reform, 

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Pacific 

139 

capacity development and institutional strengthening, it is widely recognised that its 
impact on agriculture production and rural economic growth has been rather 
weak”.  
PROAGRI II, which is focusing more on production, is only recently under imple-
mentation and thus it is too early for conclusions. Several evaluation studies report 
a local improvement of agricultural production and poverty situation where “out-
sourced” projects are under implementation. Means of EC support to the agricul-
tural sector and food security sector have been coherent. The support to 
PROAGRI and to the FS sector have been appropriate, considering that the partic-
ipation in a SWAp is the only possibility for entering in policy dialogue and influenc-
ing Government’s policies in the medium and long term. Some general improve-
ment of rural poverty indicators and expanding of rural economy can be observed, 
however, it seems impossible to relate this improvement directly with PROAGRI 
activities; it seems more related to the general growth of Mozambican economy in 
the post-war period and to the improvement of overall macro-economic conditions 
than to the donor support to PROAGRI. The EC support to the agricultural and FS 
is coherent and appropriate. Supporting Government-owned programmes and in-
vesting primarily in institutional strengthening is a precondition for a better sector 
performance in future. Thus, direct effects on rural poverty indicators can be ex-
pected only in the medium term, once institutional reforms show their first results.  

The new draft Aid for Trade Strategy 2013-2017, which benefitted from higher in-
volvement of the stakeholders than the previous strategy, is shifting the focus from 
support to institution-building to two priorities: trade infrastructure and productive 
trade capacity, thus responding better to the needs and concerns expressed by 
trade and private sector operators. 
However, EU support for regional economic integration insufficiently addressed 
key barriers to private sector growth in the region: 
An inadequate business environment and poor regulatory framework proved to be 
major impediments to the expansion of the private sector in the Pacific region. 
These were not chiefly addressed by EU programmes. § Access to finance is a key 
constraint to Pacific countries as elsewhere. Additional difficulties are the small 
size and the remoteness of many enterprises and thus the reluctance of the finan-
cial intermediaries to provide them with credit in view of the cost of assessing and 
managing the risks. Moreover, in many countries property remains collective at 
community level which creates a difficulty when enterprises are asked to provide 
collaterals to obtain a credit. Current EU support to enterprises does not sufficiently 
address these issues. The financial crisis of 2008 has further reduced the capacity 
and the willingness of the banking sector to extend credit to enterprises, particular-
ly to SMEs. However, there are signs of improvements over the last years as indi-
cated in the latest Doing Business Report of the World Bank for 2014: Palau, Sol-
omon Islands, Marshall Islands and PNG are among the economies advancing the 
most towards the frontier in getting credit over the past 5 years; Palau, Tonga and 
Fiji recorded sensible improvements gaining respectively 99, 27 and 16 positions in 
the ranking for this indicator. It remains that improving access to finance, in particu-
lar the legal and regulatory constraints, was not sufficiently addressed by the EU 
projects, in part due to insufficient consultation of private sector operators and as-
sessment of their needs. Whereas the institutions and the experts which implement 
the private sector development programmes have generally a fair perception of 
these constraints from their contacts with the economic operators, they are primari-
ly occupied with the implementation of their projects and do not have sufficient lev-
erage to promote an enabling financial environment. Regional institutions, e.g. the 
Chambers of commerce, lobbying for the interest of the private sector are insuffi-
ciently recognised and consulted and/or have insufficient means. § Whereas re-
gional economic integration, economic growth, development and diversification of 
trade, are paramount objectives of EU regional economic integration programmes 
and the PICs themselves, the information to monitor progress in these areas was 

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Tanzania 

Tchad 

140 

insufficient. 

Credit to the private sector has increased from an average of less than 6% of GDP 
in 2002 to over18% of GDP in 2010 (MoF, 2011). In part this is because, in recent 
years, the Government has restrained its own borrowing from domestic banks in 
order to make more financial resources available to the private sector. However 
despite the upward trend of domestic credit to private sector, it remains low com-
pared to other developing countries. 

EU support has helped improve the efficiency of public financial management. Dur-
ing the period under review, macroeconomic performance indicators, especially the 
economy's growth rates have fluctuated significantly linked to those of oil revenues 
and also to changes agricultural production, heavily dependent on weather condi-
tions. In April 2015, after a long process, the World Bank and the IMF considered 
that Chad met the requirements for reaching the completion point of the initiative 
for Heavily Indebted Poor Countries (HIPC). The relative flexibility demonstrated by 
the Bretton Woods institutions in the assessment of these conditions is explained 
by several factors: i) Chad was the last country having reached the decision point 
(in 2001) and has not yet reached the completion point; ii) some criteria, defined in 
2001, proved to be obsolete; iii) some member states of the EU, including France, 
considered necessary to enable Chad to obtain debt relief 106 in a context of 
budgetary difficulties in particular the country's commitment in the fight against 
Boko Haram ; iv) the announcement by the EU to the instruction of budget support 
in 2015 in Chad. The EU's previous support has also played an important role in 
the achievement of triggers through the support provided to improving the public 
expenditure chain, construction of paved roads and investment in the sector of 107 
village water. Despite this progress, the economic outlook remains worrying: de-
pendence vis-à-vis the oil sector economy remains strong and oil prices, which fell 
by nearly 50% between April and December 2014, should remain at a low level in 
2015, or even 2016. This difficult economic situation, compounded by an increase 
in military spending, combines the structural weaknesses of PFM (particularly the 
low level of the tax burden) to result in the final period to deteriorated fiscal posi-
tion. 

Timor Leste  PFM reform has progressed in the MoF to such a level of professional perfor-

mance that the EU (following the example of Australia) decided in 2013 to change 
its support to direct budget assistance, starting in 2014. Government ownership of 
this reform is high which allows the EU to feed into the reform process of the Minis-
try of Finance more effectively, although the Ministry’s mechanisms for engaging 
with sector ministries are weak which makes it difficult to create synergies for re-
form. Interviews conducted for this evaluation and monitoring reports confirm that 
these findings largely hold true today, although further advances were noted in the 
areas supported by the EU. As an example, the World Bank – Independent Eval-
uation Group stated in 2011 that “Timor-Leste has made very significant progress 
(between 200 and 2010) in setting up a system of fiscal and public financial man-
agement. The stable macroeconomic environment and the improved budget exe-
cution in recent years are evidence of this progress. The basic institutions for fiscal 
and public financial management have been set up and are functioning. Fiscal pol-
icy in general and expenditure policy in particular are now planned and with in-
creasing focus on public service delivery. These policies are better grounded, us-
ing more reliable estimates of the macroeconomic aggregates and the needs of the 
population.”  

The Government has presented significant legislative PFM reform to deal with 
some of the structural weaknesses including lack of credibility, integrity, and pre-
dictability of the budget. If such reforms are legislated and implemented they will 
result in a major improvement in PFM systems and performance in the country. On 
a more concrete note, the Pro-poor budget allocations, as identified in the PAF, 
grew rapidly in the first years after the set-up of the PAF, more than tripling in real 

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Uganda 

Zambia 

141 

terms from 1997/98 to 2002/03 but from that moment onwards, a slowdown in pro-
poor allocations gradually started and was then precipitated by an increase in the 
allocation for productive sectors and defence expenditures that sometimes ex-
ceeded the approved budget. A commitment to reduce the deficit without sufficient-
ly raising domestic revenues meant that there were relatively less funds available 
to finance key priorities, and policy trade-offs between pro-poor and productive 
sector expenditure became more acute. The decline in BS funds in recent years 
combined with the failure of BS partners to help GoU in increasing revenue and 
improving the efficiency of public expenditure at sectoral and local level have 
weakened the positive effects of BS on pro-poor expenditure, both quantitatively 
and qualitatively. That said, overall, BS contributions to allocative and operation 
efficiency of public expenditure have been significant. If not weakened in the way 
described above, BS would have been irreplaceable as shown in the first years of 
the PAF. Relying solely on investment projects would have not helped to the same 
extent in putting in place a national strategy in the early 2000s, with strong owner-
ship and important results obtained in education, health, water and PFM reforms. 
In the last years, it is possible that earmarked sectoral support and projects would 
have contributed better to pro-poor expenditure, although they would not have 
helped in building a financial management and monitoring system suitable to en-
sure the long-term sustainability of such expenditures. 

Governance and Public Finance Management (PFM) progressively became 
the major EU strategic concerns, unexpectedly so considering the relatively 
good performance in both respects during the first half of the reference peri-
od. The EU contribution in dialogue on public financial management issues 
was however a driver of PFM reforms. The whole new administrative set-up, 
both PFM and indeed sector-wise, remained extremely susceptible to external po-
litical pressure and demonstrated only limited regulatory autonomy, if indeed any at 
all, as promoted by the EU. The EU has been consistent in supporting capacity 
building activities in the areas of public finance management with a view to en-
hancing domestic accountability and also strengthening the role of civil society in 
budget execution. Over recent years, PFM reforms have progressed, albeit at a 
slow pace. This is demonstrated by the PEFA 2008, finalised in February 2009, 
which indicated positive trends since the first PEFA of 2005. A major achievement 
of capacity building in PFM by the EU is the revision of the budget management 
cycle in 2009, which has been an obstacle to effective budget management in 
Zambia for the decades. The ongoing PFM reforms have accelerated since 2009, 
with a number of concrete policy decisions, which have positive implications for 
budget execution such as capital projects. In addition, the EU have also been ad-
vocating successfully for increased capacity building in government procurement, 
although capacity building is still required at ministerial level. 
However, a coherent and harmonised approach to Capacity Development, under 
which a formalised co-ordination and dialogue process on TA activities could be 
established, is lacking in the EU strategic response. 
Fiscal discipline was only very indirectly addressed by PEMFA, which merely tar-
geted systems and procedures. The issue was therefore mostly a matter related to 
GBS and highlevel policy dialogue. Although limited, the EU contribution to improv-
ing fiscal discipline through PEMFA was achieved by promoting resource optimisa-
tion during planning, establishing macro-economic modelling as a method of fore-
casting fiscal resources and promoting the evaluation of alternative policies 
(ZAMMOD). 

Table 17 

Selected examples for education (EQ 8) 

Availability of education services 

School struc-
tures 

Educational structures, schools and classroom construction. Increased, particular-
ly classrooms of low quality material (Mozambique). 

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Equipment, 
books etc. 

Higher edu-
cation 

Increased 
capacity/ ca-
pabilities 
(quality) 

142 

EU's support has contributed to improved infrastructure in target areas (construc-
tion/ rehabilitation of schools and class room (Haiti). 
School infrastructure In primary education (Burundi). 

Equipment, books/ student. Decreased – has not kept pace with the growth of en-
rolments (Mozambique). 
EU's support has contributed to equipment provision – still lack of teacher materi-
al, particularly in remote areas (Haiti). 
School kits and a large number of textbooks to primary basic schools distributed 
(Haiti). 
Improvement in teaching materials available incl. books and teaching guides (Bu-
rundi). 

Establishment of an online regional education resource centre to encourage best 
practice, knowledge and dissemination (Pacific). 
Expand facilities of Gaborone Vocational College, Automotive Training School 
(Botswana). 

Capacity building: strengthened ICT competencies, higher education (Caribbean). 
Teacher trainings for teacher at primary and secondary levels (Mozambique, Tan-
zania, Burundi, Burkina Faso). 
Capacity building at regional level (Pacific). 
Teacher training at public and non-public schools but limited results due to deep 
structural problems (Haiti). 
Qualification of teachers in secondary schools increased significantly (Burundi). 
Institutional capacity building with limited success (technical assistance; scholar-
ships). 
Improved capacity for higher education – partly successful (Education in ACP). 
Notable results in institutional capacity building within MoE (Uganda, Burkina Fa-
so). 
Regional support and training to national institutions (e.g. workshops) but not yet 
possible to assess whether this has resulted in increased competence (Pacific). 

Pupil-
teacher-ratio 
(quality) 

Decreased. Contributed to enhanced quality (Mozambique). 
Still high pupil-teacher ratio with major disparities between provinces (Tanzania). 
Increase in staff of 30% in 2006-10 (Burundi). 

General 

Across the sectors (Education, Health etc.) there is evidence of EC value added 
(Angola). 

Access to education services 

Major infrastructure (roads) improvement. Has improved access to education for 
children. Access for the most disadvantaged groups addressed only very slightly 
(Haiti). 
Decrease in distance travelled by the primary students public (Burundi). 

Enrolment rates in primary education increased significantly (Mozambique, Tan-
zania). 
Schooling has generally improved significantly in recent years – Still remains one 
of the lowest worldwide (Haiti). 
Limited improvements at national level of educational access (Pacific). 
Important increase in primary school enrolment (Burundi). 
Sharp decline in net enrolment rates – MoE budget decrease (Madagascar). 

Enrollment rates in secondary education increased (Mozambique, Tanzania). 

Physical ac-
cess 

Access for 
children 
(primary) 

Access for 
children 

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(secondary) 

Enrolment in technical/ vocational secondary education doubled (Burundi). 

143 

Access 
higher edu-
cation 

Access – ge-
ographic as-
pect 

Access with-
in the system 

Improved access for women, the disabled and un-/semi-skilled (Botswana). 

Progress of student access across the country but still important disparities by 
provinces (Mozambique). 
Inequalities remain high between rural and urban areas (Tanzania). 
School access remains weak and uneven in geographical terms (Haiti). 

Progression-rates decreased – those not progressing are increasingly dropping 
out of the education system (Mozambique). 
Significant differences between progression at country level (Pacific). 
Transition-rates, increased – same as progression rates (Tanzania, Haiti). 
Repeat rates are high (Burundi). 

Indirect contributions to availability and accessibility of education services 

National 
Poverty Re-
duction Pro-
grammes 

Policy 
change 

Budget sup-
port 

Education as a priority sector. Highest share of budget for education. Significant 
impact (Mozambique, Tanzania). 

Significant policy change (e.g. abolition of school fees) has contributed to im-
provements in education provision (Mozambique, Tanzania). 
EU provision of school fees subsidies – to degree (Haiti). 
Significant policy change: cost-sharing scheme in higher education and the crea-
tion of the Higher Education Student’s Loan Board (Tanzania). 
Introduction of free primary school in 2005 (Burundi). 

GBS played a significant role (Mozambique). 
Sector Budget Support in New Caledonia showed positive results (Pacific). 
Funding sector strategies which have resulted in significant improvements in ac-
cess, although the reduction of BS in the second half of the evaluation period has 
not been able to compensate the decline of the sector government expenditure. 
The contribution of BS dialogue has been moderate: it has been unable to help 
protect the expenditure levels, improve the efficiency of expenditure and enhance 
government actions on quality (Uganda). 
Many of the new entrants into secondary schools represent the first generation of 
their families, who have ever had access to this level of education, and the level of 
parental education is in Tanzania (as in most of the world) a principal determinant 
of education outcomes. On the other hand, parental educational levels are less 
important at the primary level: here, Government’s efforts to increase the Pupil 
Teacher Ratio, particularly in rural and underserved areas are a primary causal 
factor in the increase in pass rates at primary level. Signs that system expansion 
is straining the limits of financial and human resources are also reported, including 
its impact upon quality. Not only has it proven difficult to generate an adequate 
level of trained primary and secondary teachers and to ensure their balanced de-
ployment across rural and urban areas, the level of capitation grants disbursed to 
primary schools, to cover requirements for non-salary inputs, has also fallen. 

Other  

Focus on reinforcement of regional institutions (Pacific). 

Quality assurance and monitoring system in the field of education 

Pacific 

The EU supported the development of M&E systems within its education pro-
gramming in but it was not successful. The intention was to set up M&E systems 
at national and regional levels. All MoEs collect data on the educational system 

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144 

e.g. enrolments and staffing, but not properly analysed. 

The EU budget support aimed at strengthening M&E of public structures in charge 
of education services, but due to lack of suitable institutional support it was not 
carried out as planned. Institutional capacity at central level is acceptable, and 
they produce statistics considered sufficiently credible and detailed monitoring of 
PARP. 

Not well-defined indicators to measure the degree of achievement of results. 

Madagascar 

Dominican 
Republic 

Burkina Faso  M&E system, including training, was planned to be created, but did not material-

ize. 

Zambia 

Uganda 

MoE carries out six monthly reviews and has a complex set of indicators. Howev-
er, monitoring was difficult because of insufficient mechanisms and weak capacity 
in the Directorate of Planning. 

The best example of performance monitoring. Donors finance a large stake of the 
education sector and it made it possible for performance reviews to be central to 
the partnership. The model has important implications for national and local ca-
pacity development in terms of enhancing transparency, dialogue and manage-
ment. 

Burkina Faso  Monitoring performance not much supported MoE. There is an old performance 
monitoring system initiated within the framework of the structural adjustment pro-
gramme, but it has several limitations. 

Zambia 

Participation 
of NSA 

It is considered controversial to measure performance the education sector due to 
important budgetary support. With EC budget support to education, the only indi-
cator being monitored is overall discretionary public expenditure in the social sec-
tors.  

From the findings, it appears that, in Uganda, EC GBS support has contributed to 
enhancing the participation of civil society in general governance and policy plan-
ning processes. The CSE 2009 and the ECA report stated that EC support has 
been particularly successful in contributing to strengthening NSAs and in develop-
ing their capacity to participate in policy dialogue with government. The EC sup-
port in Uganda also enabled NSAs to acquire increased access to national and 
international financing, and thus to play a major role in service delivery (Uganda). 
EC GBS support has in some cases (such as Ghana and Mozambique) led to sig-
nificant progress in participation of civil society (Ghana and Mozambique). 
The EC successfully supported initiatives contributing to involving NSAs in policy 
dialogue and education service delivery (Dominican Republic). 

Table 18 

Selected examples for health (EQ 8) 

Availability of health services 

Physical 
Structures 

Moderate contribution to infrastructure .e.g. expanding, reconstructing and equip-
ping primary health facilities (Health in ACP). 
Notable results in terms of improved health and service availability (Zambia). 

Number of 
health work-
ers 

Strengthened 
capacity 

Increasing the availability of health workers (Burkina Faso). 

Increased qualified personnel (Burkina Faso). 
Evidence of capacity building, but less evidence of improvements (Health). 
Improved capacities for health services management and delivery (Timor Leste). 

Increased 

Strengthening the service offering in the field of reproductive health (Burkina Fa-

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services 

Quality 

Availability 
of medicine 

General 

Physical 
structures 

145 

so). 
Development of medical centre with surgical unit (Burkina Faso). 

Issue with proper treatment of patients due to high demand – children in difficult 
circumstances and AIDS patients (Burundi). 
Malfunctions in the quality of basic services (Madagascar). 
Improvements in health care quality – in fragile states (Health). 

Not much impact on promoting essential medicine guarantees (Health). 
Projects typically embarked on provision of equipment and medicines, along with 
extensive training of staff and community mobilisers. This transition project was a 
success since in many provinces government services steadily improved (Ango-
la). 

Across the sectors (Education, Health etc) there is evidence of EC value added. 
Availability of health services have been improved (Angola). 
An important indirect support for subsidised or free services is EC support for the 
Global Fund, which provides services such as ARV therapy and TB testing / 
treatment in heavily AIDS affected countries. It is also acknowledged that attrition 
and absenteeism are major problems. In some countries (e.g. Zambia), the EC 
financed health worker retention schemes. They were implemented under the 
Human Resources for Health Strategic Plan adopted in 2006. EC sector budget 
support contributed significantly to financing retention schemes. Moreover, Zam-
bia is the only ACP country for which hard evidence related to absenteeism and 
the EC response was found. EC participation in various initiatives related to provi-
sion of global public goods for health, some related to pharmaceuticals and im-
plemented under DG Research framework programmes, was relevant to needs 
and coherent with the EC’s role as a supranational organisation. Overall, the sus-
tainability of interventions, together with lasting inequities between rural and urban 
populations, remains a challenge.  

Fiji School of Medicine Human Resource Development Project: construction com-
pleted. It is the main regional institution for the training of health personnel (Pacif-
ic, Fiji). 
EC support to the rehabilitation of the health system contributed to new special-
ised services e.g. physical rehabilitation (Angola). 

Strengthened 
capacity 

Training in health provided but lack of data on e.g. participants and level of satis-
faction with training results, or of performance improvements (Pacific). 
EC support has strengthened health systems with support for capacity building as 
part of wider efforts to reform health systems (Population). 

Geographic 
access 

Target ac-
cess related 

Access to health services 

Improved accessibility to health centres/clinics; still differences between geo-
graphic areas (Burkina Faso). 
Improved accessibility of basic social services (Madagascar). 
Significant impact on access to health via infrastructure (Health). 

Increased access in rural areas/poor households – maternal health (Burkina Fa-
so). 
Decrease in births attended by skilled personnel (Madagascar). 
Increased access to health care limited except in specific geographical areas – 
disadvantaged parts in some countries (Health). 
Improved access maternal health (Health). 
Certain increased utilisation of health facilities by children (Health). 
Increased utilization of health facilities (Zambia). 

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146 

Implementation of the Programme of Action with focus on sexual/ reproductive 
health and the right to choose the number and timing of births made possible by 
equitable access to family planning (Population). 
EC support has strengthened access to health services (Angola). 
Access to health services have been improved (Angola). 
Nearly 70% of the population is theoretically exempt from fees in the compulsory 
National Health Insurance System; in fact, exempt populations are often denied 
care, but it is agreed that children, the elderly and pregnant women effectively 
benefit from exemptions. GBS in Ghana may have helped create fiscal space for 
these exemptions (Ghana). 

Quality assurance and monitoring system in the health sector 

The EU budget support aimed at strengthening M&E of public structures in charge 
of health services, but due to lack of suitable institutional support it was not car-
ried out as planned. The sectoral performance indicators in the PARP are not 
consistent with monitoring and evaluation processes supported by the EU. The 
M&E capacity is very low. 

Involvement of NSA 

An interesting case is found in Ethiopia, where the Promoting Basic Services 
(PBS) programme was set up to decentralise the provision of basic services to 
lower tiers of government after the suspension of direct budget support in 2005. 
CSOs were involved in this innovative scheme through monitoring and accounta-
bility checks of the PBS grants on the field. For this purpose, a civil society fund 
was set up by the EC to channel aid to CSOs. The PBS is particularly active in 
sectors like health and education, were CSOs are invited to directly participate in 
the budgetary process and to the monitoring of service delivery. In other cases, 
NGO-implemented projects were especially effective in providing health care in 
rural areas, isolated regions or areas affected by conflict. Interestingly, evidence 
suggests that traditional service provision approaches (financing clinics or sup-
porting community health workers) tended to take precedence over innovative in-
terventions such as non-traditional outreach services (e.g. use of mobile tele-
phone networks for community health workers or putting in place an adequate 
emergency referral and transport system). However, training of community work-
ers was a key feature of many NGO-implemented projects. 

Most of direct EU Support to Maternal, New-born and Child Health (MNCH) is 
channelled through individual projects89 and implemented by specialised NGOs or 
multilateral organisations90. However, MNCH is often also integrated in primary 
health care programmes, funded under big sector interventions (e.g. Provision of 
Basic Health Care Services or Sector Budget Support) or GBS programmes (e.g. 
Ghana or Burkina Faso), which usually include performance-related indicators 
(i.e. Proportion of births attended by skilled health personnel). Through these sec-
tor interventions, the EC has certainly provided additional support for the im-
provement of maternal health, resources, although not directly quantifiable. 

Madagascar 

Ethiopia 

General 

Table 19 

Selected country examples on gender (EQ 9) 

Angola 

When gender issues have been specifically addressed (e.g. in DDRR), the EC 
has significantly contributed to the economic empowerment of women but the 
condition of women has not been addressed in all its aspects. Although the EC 
response as set out in the CSP is limited to analysis of gender issues in the con-
text of support to civil society, EC support has targeted gender issues more sub-

89 35% of SRH funds go to the ACP region and usually have a regional approach (e.g. ACP programme “Sexual and Re-
productive Health EC/ACP/UNFPRA/IPPF Joint Programme”). 
90 Thematic evaluation of the European Commission support to the health sector, 2012. 

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147 

stantially than other cross-cutting issues as most EC project interventions 
throughout the evaluation period have targeted vulnerable populations (of which 
women constitute the majority). An important example is given by the DDRR pro-
ject “Socio-economic reintegration assistance to vulnerable groups”, in which the 
choice to target women and children was made on the grounds that assessments 
of the needs of combatant populations had downplayed the needs of women and 
children whereas in the receiving communities the poorest among the poor were 
in fact women (particularly widows). Results were attained in terms of reduction of 
economic disparities and, to a lesser extent, in terms of improved women’s partic-
ipation in civic activities such as the Municipal Fora, but no data were available on 
cultural issues. Besides this, no other reliable evidence was found that EC inter-
ventions actually contributed to reduction of gender disparities despite significant 
targeting of the issue in project interventions.  

EC support has helped maintain and improve the already high degree of gender 
equality at all levels of the education and training system. In all other areas sup-
ported by the EC, gender issues are addressed in planning documents, often with 
special attention to gender equity issues; but even so impact is less evident than 
in the education and training sector. Apart from the focal sector programmes un-
der EDF 8, environmental aspects are less consistently addressed than gender 
issues. 

The country strategies of the DPEs have given little consideration to gender, with 
the exception of the Netherlands and the UK. The implementation of the pro-
grammes does not reflect an approach that is systematically gender-specific. In 
this sense, DPE goals are less ambitious than those of the government, which 
has enshrined the principle of gender equality in the Constitution and has set 
gender quotas. 

Cross-cutting issues have been taken into account very unevenly in the formula-
tion and implementation of projects. Gender has obtained greater attention than 
the other dimensions (human rights, HIV / AIDS, environmental sustainability). 
Several initiatives have been undertaken to take better account of gender in M&E 
of certain projects. But at present, the effects of these projects on equality be-
tween men and women are not known.  
Some projects under the EDF have led to a strengthening of the role of women in 
the field of labour recognition (PAFIB) and women in the political sphere 
(PARSET). However, other projects have led their activities ignoring the con-
straints specific to women (water programme of the 9th EDF which implements 
participatory methods without take into account the situation of women to set 
schedules, venues and meeting arrangements), or by contradicting the interests 
of women (the case of PAFGA where some operators have encouraged men to 
go pick gum while that this activity is traditionally reserved for women) at the end 
of the period under evaluation, with the increasing attention given to the issue of 
Nutrition (SUN ACP and initiatives supported by the EU), women are at the fore-
front as beneficiaries of the actions and especially actresses changes that will im-
prove food and nutrition security. 

EU concerns on gender mainstreaming were built into the design of GoE‘s PSNP 
and related food security programmes. They are fully integrated into programme 
implementation, particularly for food-cash for work projects in which concrete 
steps are taken to allow an equitable share for women‘s participation. 

Gender appears to have been treated in a rather ad-hoc manner in EC support to 
Jamaica: a) at a strategic level it is positive to note that Support for Security and 
Justice sector should have positive gender impacts, because of the high incidence 
of violent crime against women, including domestic violence and sexual offences; 
b) some sectoral initiatives are also gender positive such as grants paid to support 
vulnerable female retrenched sugar workers; c) elements of support to civil socie-

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Burundi 

Chad 

Ethiopia 

Jamaica 

148 

ty and other non-state actors benefits women, and/or women-led community 
groups. 

Madagascar  Crosscutting issues (gender, environment, HIV-AIDS) were unevenly and often 

Malawi 

insufficiently taken into account in the design and implementation of the different 
interventions. During the period 2002-2008, although PARP was not designed as 
a tool likely to generate impacts over gender or the environmental dimensions it 
was nevertheless included through the definition of the indicators. For gender, 
disaggregated indicators were tracked in education, and through those related to 
maternal health. 

Promotion of gender has under the 10th EDF been elevated as a non-focal sector 
with support to the government’s commitment to reducing gender inequalities in 
accessing productive resources, development opportunities and decision-making. 
Support focuses on capacity building amongst stakeholders and on the estab-
lishment of monitoring mechanisms to differentiate impact on poor women and 
men with the aim that all interventions equally benefit and empower poor women 
and men. Coverage of gender issues is weakest in terms of mainstreaming with 
sector policies and strategies making little or no reference to gender issues (alt-
hough interventions on rural roads have made much more of an effort to address 
gender issues including employment of women in rural road works).  

Mozambique  EC interventions have not ‘mainstreamed’ cross-cutting issues or articulated 

Namibia 

Nigeria 

strategies for mainstreaming although some sector interventions have taken gen-
der and environmental issues into account. Without actually identifying capacity 
development as a cross-cutting issue, EC support to capacity development across 
all focal and non-focal sectors comes closest to mainstreaming. Most EC support-
ed interventions have a major component of capacity development even though 
there is little attempt to coordinate such efforts between sectors or link HRD or 
institutional support methodologies in different locations. 

Formal mainstreaming of environment and gender has not always guaranteed 
due attention to the issues during implementation. EC interventions in the sector 
of rural development have mainstreamed gender issues and the environment ad-
equately at least in project design. The RPRP guidelines for DDDA grant appli-
cants clearly reflect the Namibian government’s Environmental Assessment Poli-
cy of 1995 and define that DDDA projects “must be economically viable and 
mainstream sound environmental, HIV-AIDS, and gender related practices”. De-
spite formal mainstreaming, the extent of involvement of women in the respective 
interventions varies, also depending on the primary focus of activities. As regards 
environmental mainstreaming, one of the two projects not considering this aspect 
in detail was financed under 7th EDF while the other one is an infrastructure pro-
ject which was supposed to include regular environmental assessment. 

As regards crosscutting issues, the best results have appeared in relation to gen-
der equality. It is a general finding that the EC-supported interventions took gen-
der-related issues into due consideration both at the strategic level and during 
programme design and implementation. Gender considerations have been inte-
grated into the EC co-operation culture. For aspects of the co-operation relating to 
governance and civil society, there appears to be a consequent positive impact in 
enhanced gender equality in line with the general finding of a high degree of gen-
der equality in the NGO community. Most micro projects affected the life of wom-
en positively. Gender training was conducted for the staff and MPP6-
implementing CSOs in 2006. In MPP9, “Capacity-building of communities on 
crosscutting issues like Gender Equality, HIV/AIDS and Environment” is among 
the measures likely to be selected for grant assistance. 

Pacific 

Gender considerations have often been included in the design of EU interven-
tions. There is little evidence in the project documentation on the effects of equi-
table gender access to education institutions. the gender mainstreaming ap-

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Uganda 

149 

proach, while applied across regional programming, was not yielding a sufficient 
focus on gender equality, particularly in thematic areas such as climate change.  
The EU’s Pacific dialogue over the evaluation period also made space for inclu-
sion of CCIs in the dialogue process, but the EU regional programming itself 
struggled to integrate CCIs, concerns being raised most notably regarding gender 
equality (although it should be noted that the concerns about gender integration 
were considered in detail during the consultation procedure for the 11th EDF, with 
consequent commitments to supporting gender integration during the 2014-2020 
period). 

Despite a gender equality and women’s empowerment perspective integrated into 
the EU CSP, there is not a country-specific gender equality strategy. in spite of 
policy frameworks emphasizing the centrality of gender equality, due to a combi-
nation of lack of specific gender capacity and lack of commitment, EU support to 
gender equality in Timor-Leste is limited. Additionally, it is noted that there have 
been opportunities for the Women-Peace-Security agenda. The EU has contribut-
ed to the promotion of the agenda on Women, Peace and Security through sup-
porting the UNW/UNDP/EU programme and five Civil Society projects. However, 
EU support has not strengthened any of the key national institutions in support of 
women’s empowerment. EU support to ‘1325’ was limited in terms of non-financial 
support, lacking initiatives to develop the theme throughout the development 
strategy or to establish linkages and complementarities, resulting in limited own-
ership and visibility. This is a missed opportunity. 

Gender equality and equity principles have been often declared in BS perfor-
mance assessment frameworks and in government sectoral policies. But they 
have almost never been effectively implemented through specific policies and 
measures, while BS dialogue has been unable to support their prioritisation. Be-
low the surface of some basic indicators of gender parity, major gender inequities 
remain. While limited, some progress has been made with regard to gender main-
streaming, as evidenced by the introduction of the Gender in Education Policy in 
2008, of the Water and Sanitation Gender Strategy in 2010 as well as the stream-
lining of gender within all new guidelines in the water and sanitation sector. That 
said, while some efforts to promote the mainstreaming of gender activities have 
been registered in all three sectors, these have been limited. Overall number of 
staff knowledgeable in gender remains low, key decision makers demonstrate lit-
tle interest in gender aspects and, as a result, attitudes and behaviour are still not 
gender-oriented. 

Table 20 

Selected country examples on HIV/AIDS (EQ 9) 

Angola 

Overall HIV/AIDS-specific results have not been (quantifiably) produced, but the 
sectoral implications of HIV/AIDS have been addressed and several ECHO pro-
jects had awareness-raising components. This choice has been continued in sec-
tor interventions by EDF projects but there is little evidence of population aware-
ness increasing despite an increase in the populations targeted by HIV/AIDS pre-
vention. Major Findings supporting the judgement Angola is not characterised by 
the high level of HIV-AIDS prevalence found in other Sub-Saharan African coun-
tries. This is mainly due to the fact that during the war communications with sur-
rounding countries were reduced.  
The national response is based on the National Strategic Plan for Sexually Trans-
mitted Diseases and HIV/AIDS elaborated for the period 2003-2008. HIV/AIDS is 
one of the priority areas of the ECP, but with no direct EC contribution. The low 
level of awareness is a further element of risk (e.g. 70% of youths in the country do 
not use condoms) and there is no evidence of any improvement so far. 85 At stra-
tegic level the EC response strategy as set out in the CSP includes reference to 
additional funds which may be made available from the HIV/AIDS thematic inter-
vention in the framework of the thematic Budget Line ‘Investing in People’. During 

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examination of a sample of EC sector support interventions for evidence of inclu-
sion of HIV/AIDS as a cross-cutting issue, it was found that several ECHO inter-
ventions had HIV-AIDS awareness raising components, which contributed to 
avoiding the spread of the infection during the early relief and recovery phases. 
However, there was little or no reference to HIV/AIDS in EC project documentation 
as a cross-cutting issue except for rather specific health sector interventions , 
which had HIV/AIDS as a component (although some food security and infrastruc-
ture sector interventions do mention HIV/AIDS in project documents).  

HIV/AIDS is threatening achievement of the objectives of the co-operation strategy 
in many respects (e.g. human resources development). Substantial investment by 
the GoB and other donors persuaded the EC to refrain from developing its own 
programmes with a national scope. Instead, the EC concentrated on mainstream-
ing HIV/AIDS in all its interventions and supported programmes at regional level. 
In fact, the EC is active in strengthening the response strategies through improved 
co-ordination and more emphasis on prevention (e.g. in co-operation with a new 
World Bank project to combat HIV-AIDS). 

As for HIV, the government granted such importance that all projects implemented 
had to bring a total and free assistance to all patients within their area of operation, 
because of its negative impact on all sectors of development. It is in this sense that 
the European Union is a historic partner of Burkina Faso. Its major funding is 
through a contribution to the Global Fund to fight against HIV-AIDS. Also in 2005, 
two new contracts were co-financed by the EU for projects in the health sector that 
have been implemented by NGOs. With the involvement at the highest institutional 
level by the Head of State, all development sectors (health, education, transport, 
energy, culture, etc.), religious communities, etc. were invited to set up committees 
of action against HIV-AIDS and the EU has helped to mobilize many partners to 
support the fight against the spread of the pandemic. 

HIV / AIDS has not been the subject of specific actions in the EU-Chad co-
operation portfolio during the period evaluated, especially in road projects or the 
10th EDF health project. 

HIV / AIDS has not been the subject of specific actions in the EU-Chad co-
operation portfolio during the period evaluated, especially in road projects or the 
10th EDF health project. 

There are few specific crosscutting interventions for HIV-AIDS and gender, the 
former already being over-funded (?). 

EC programming documents refer to the incidence of HIV/AIDS, and the response 
strategy at sector level includes some activities related to HIV/AIDS. In addition the 
EUD has been monitoring support for the response to HIV/AIDS provided indirect-
ly. The EUD is contributing to a regional HIV/AIDS initiative. 

One of the highest profile service delivery activities has been support to ALAFA, a 
public-private partnership formed to provide HIV/AIDS treatment and care services 
to garment workers in Lesotho. An estimated 43% of these workers are HIV posi-
tive, very high, even for a country with the second highest rate of per capita infec-
tions in the world. This programme worked with the collaboration of factory opera-
tors to provide in situ consultations, HIV testing and treatment 43. The factory con-
tributions were typically the consulting rooms and time-off from work for employees 
to attend clinics. EU support followed initial funding from DFID, and was comple-
mented by a grant from GIZ. 

Botswana 

Burkina Fa-
so 

Chad 

Chad 

Ethiopia 

Jamaica 

Lesotho 

Madagascar  The EU interventions in the fight against HIV / AIDS are carried out mainly in the 

context of its contribution to the Global Fund for the fight against HIV Tuberculosis 
and Malaria (GFATM). The EU participates in this respect the Board of Directors of 
the Country Co-ordination Mechanism in Madagascar, which allows it to assess 
the relevance and effectiveness of actions undertaken in this area. However, in 

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Malawi 

Madagascar, the Global Fund’s activities are specifically intended for the fight 
against malaria and tuberculosis in a context where the prevalence of HIV/AIDS is 
less present than in the rest of the sub-region. 

Support to fight HIV/AIDS is specifically provided for as a non-focal sector as it is 
envisioned that this will be mainstreamed into all interventions. The EC has been a 
major contributor to the Global Fund to combat HIV/AIDS, TB and malaria. 
HIV/AIDS is also addressed at sectoral level enhanced by support to the Malawi 
Blood Transfusion Service. Coverage of HIV/AIDS is probably the best main-
streamed issue with consideration at all stages in the project cycle and sensitisa-
tion efforts during the course of works (with intermittent publicity campaigns along 
major routes).  

Mozambique  At the time of the development of the current CSP & NIP it was noted that the EC 

neither has a comparative advantage nor a telling past experience in health or 
HIV/AIDS. On the other hand, it was recognised that both fields remain high priori-
ty areas. In the context of concentrating the EC support on a few focal areas, it 
was agreed to streamline interventions in the health or HIV/AIDS sector, though 
without creating a gap in terms of funding. It was, therefore, proposed to support 
health and HIV/AIDS as a non-focal area under the 9th EDF. Between 10% and 
15% of the funds, or about EUR 39 million, would be used for the non-focal areas, 
of which approximately EUR 25 million for health and HIV/AIDS under the 9th EDF 
(and EUR 50 million under 8th EDF and 9th EDF together). The EC support in 
health and HIV/AIDS was to be implemented within the framework of the National 
Health Strategic Plan and the National Action Plan to fight HIV/AIDS. In accord-
ance with the new national health strategy, the EC support would move towards a 
sector-wide approach and budget support. Support to the already existing basket 
funding mechanism for medicines was specifically mentioned, but also to other 
common funds that at that time were being developed by MISAU in the context of 
the SWAp. Similarly, support in the field of HIV/AIDS would focus on a multi-sector 
approach, and in particular on participating in the budget support mechanisms that 
were being developed at the National AIDS Council (CNCS). No specific perfor-
mance indicators were defined for the EC support in health and HIV/AIDS, but the 
health and HIV/AIDS indicators of the PARPA were adopted. The 8th EDF, opera-
tion (with a value of EUR 25-30 million) was to complete the on-going infrastruc-
ture projects in Zambezia province, as part of an exit strategy, to continue ongoing 
HIV/AIDS prevention and care interventions and to support the development of the 
health SWAp with particular emphasis on capacity development at central and 
provincial levels. The CSP & NIP recognised the weaknesses of the government in 
ensuring a correct management of the budget support and emphasised the need 
for institutional strengthening. An assumption was that for the duration of the NIP 
transparent procedures would be developed and accountability improved. 
Mainstreaming HIV/AIDS can never be a substitute for a specific HIV/AIDS sup-
port. Mainstreaming of HIV/AIDS in EC projects appears to be correctly done but 
mainstreaming in sector-wide EC support appears to be more difficult. EC is cur-
rently contributing to the fight against HIV/AIDS by attempting to mainstream it in 
its other support. For example, road infrastructure projects have to include activi-
ties to sensitise and educate road construction workers on HIV/AIDS. This appears 
to be correctly done, although the question can be asked if the sensitisation of 
road construction workers is best achieved by mainstreaming it in a particular con-
struction project or by developing workplace-based policies and strategies. Main-
streaming HIV/AIDS in sector-specific budget support, such as in the agricultural 
sector, is more difficult. The Ministry of Agriculture is mainstreaming HIV/AIDS in 
its activities, but there was little indication that EC support plays an important role 
in it. Although mainstreaming HIV/AIDS remains important, it can never be a sub-
stitute for a specific HIV/AIDS support 

Namibia 

EC support to strengthen HIV and AIDS related organisational capacity through 

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the HRCD at national, regional and local levels has likely made a positive contribu-
tion towards the overall decrease in the HIV prevalence rate from 2004 to 2008. 
Overall, however, capacity challenges in the host institutions, i.e. in MoE’s HAMU 
and the NPC meant that EC technical inputs could not be used optimally by these 
organisations and have therefore often constrained the effectiveness of this type of 
support. A formalistic interpretation of HIV and AIDS mainstreaming among some 
of the EC’s implementing partners, including those of the DDDAs, have also af-
fected the effectiveness of EC support in this area. Nationwide, Global Fund and 
PEPFAR are main contributors to the overall national response to HIV in Namibia; 
directly-financed EC projects make locally confined contributions. The EC contrib-
uted to improving the quality of life of those infected and affected by HIV/AIDS, 
primarily through its contributions to the Global Fund, directly funded projects and 
support the HIV sub-programme under ETSIP. 

Pacific 

In the Pacific region, over the same period, the Global Fund provided a total com-
mitment of USD 57 million in seven grants tackling HIV/AIDS. 

Rep. Congo 

L’intégration de la lutte contre le VIH/Sida dans le système de soins. Les interven-
tions de la CE ont permis, de manière concomitante, de mettre en place une cen-
trale autonome d’achat et de distribution de médicaments essentiels et de con-
sommables pharmaceutiques sous forme générique ; la fonctionnalité de cette 
centrale reste cependant très insuffisante. Les principaux projets de la CE n’ont 
pas eu une implication directe dans la prise en charge des principales maladies 
liées à la pauvreté : VIH/SIDA, malaria, tuberculose. L’identification et la prise en 
compte des dimensions transversales n’ont pas fait l’objet d’une prise en charge 
particulière dans le cadre des projets de la CE. on observe également une amélio-
ration de la couverture sanitaire, de la prise en charge du VIH/Sida. 

Table 21 

Selected country examples on environment and climate change (EQ 9) 

Angola 

Chad 

EC interventions have only marginally contributed to a reduction in environmental 
risks and problems such as population growth, seawater and fresh water pollution 
and scarcity, oil-related environmental pollution and deforestation. Pressure to 
remedy environmental shortcomings is mainly donor-driven. Despite a plethora of 
environmental legislation, enforcement and regulation has been virtually non-
existent. The national environmental agenda was updated recently and a national 
environmental action plan is now being prepared although this seems to be mainly 
donor -driven. However, legislation enforcement and institutional capacity is rudi-
mentary, as this issue remains low on GoA agendas and GoA still does not view 
environmental issues as of high priority.  

The cross-cutting dimensions are taken into account very unevenly in the formula-
tion and implementation of projects. 
For Projects specifically addressing environmental issues, the inclusion of envi-
ronmental sustainability has been low and the factors of fragility and objectives are 
not established very precisely. 

Timor Leste   Environment (together with gender) represents critical priorities for the Timor-Leste 
population. Specific actions addressed environmental issues, but, in this case too, 
the absence of strategic vision, a piecemeal approach, and a lack of engagement 
in policy dialogue all served to limit opportunities for contributing to long-term im-
pacts.  
Climate change is a concept not well understood by national stakeholders, includ-
ing Government, institutions and final beneficiaries and does not rank high 
amongst national priorities. However, Climate Change is the only cross-cutting is-
sue for which substantial financial resources are available for its promotion. 

Ethiopia 

Crosscutting issues mainstreamed into government systems but environmental 
regulations and safeguards have still to be fully implemented locally. 

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EC support has shown high regard for the environment in Jamaica.  
9 and 10EDF addressed environmental policies but 10 EDF refers to it from a more 
holistic perspective taking into account climate change. Not evidence of significant 
impact of environmental actions but in the cases related to the private sector.  
The Climate Change Initiative demonstrates that under the 10th EDF, support has 
been given to addressing critical national, regional and global concerns. Climate 
change is a particular concern in Jamaica due to its vulnerability to flooding and 
hurricanes. Both the 9th and 10th EDF refer to environmental policies and protec-
tion. However the level of analysis is greater in the 10th EDF as a more holistic 
perspective is adopted taking account of issues such as climate change that have 
become prominent during the evaluation period. The climate change initiative is 
also an important step forward under the latter. However, it was not able to provide 
evidence that thematic initiatives such as EIDHR or the Climate Change Facility 
were used as strategic levers to support the EC’s overall developmental priorities 
in the country. 

Climate changes have also been addressed through the various EU interventions 
in the ASAL areas with the introduction of more drought resistant crops (sorghum, 
grass and fodder crops) and setting up small scale agricultural production schemes 
for supplementary feed for livestock. The National Drought Management Authority 
(NDMA), supported by the EU, and the National Environmental Management 
Agency (NEMA) are promoting rural households to take more environmental 
measures, which would result in increasing resilience in case of adverse weather 
conditions (droughts). The NDMA has also set up an early warning system. How-
ever, the actual outcomes of the activities of the NDMA and NEMA are not yet 
clear. 

Lesotho  

EC contributed to improved environmental protection but its effect was limited to 
better sector co-ordination 

Madagascar   EU support did not continue its remarkable efforts undertaken during the previous 
EDF on mainstreaming crosscutting issues. But the environmental dimension was 
fully taking into account notably to meet internal EU standards and not to comply 
with the national regulatory framework. The environmental dimension explicitly ap-
pears in the formulation of projects in two cases. The direct results of projects 
funded by the EU in terms of growth and management of vegetation cover and 
carbon sequestration, thus helping to protect the environment, are numerous. 
However, support to the productive sugar sector have not yet addressed the issues 
of pressing environmental impacts 

Malawi  

Nigeria 

OCTs 

Environmental (and social) issues are considered at design/planning stage, at least 
for major works, although implementation of mitigation measures can be variable. 

Environment was streamlined in micro projects, but only generically in the 
WATSAN sector. In regional co-operation cross-border, environmental manage-
ment issues have been implemented in the agricultural productive sectors as well 
as in a regional approach to natural resource management. Thus, the environmen-
tal impact of the EC interventions was limited, reflecting its relatively low priority in 
most of the co-operation sectors. The 10th EDF aims to focus more directly on en-
hancing livelihoods in this Region. 

Despite the recognition to the importance of the environment, the reality of climate 
change and the importance of disaster preparedness, only few concrete results of 
the EU-OCT co-operation were found in this field thus far, while prospects for fu-
ture impact from recently started interventions are promising. With targeted EU 
support some of the OCTs may develop centres of excellence in their regions or 
amongst the OCTs, related to climate change, renewable energy and environment 
issues. OCTs should be supported in developing centres of excellence capable of 
creating and disseminating knowledge, in particular with respect to climate change 

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154 

and environment issues that apply to their regions. Centres of excellence could be 
shared between different OCTs, thus promoting their co-operation.  

As regards programming realities, the integration of cross-cutting issues has been 
most visible in respect of environmental sustainability. Indeed EU regional pro-
gramming has increasingly focused on environmental sustainability and climate 
change since the 2010 Joint Initiative launched by Commissioner Piebalgs and the 
Secretary-General of the Pacific Islands Forum Secretariat. In addition to the allo-
cations from the second focal area of the 10th EDF, the EU has committed 
EUR 38.3 million from the EU’s Global Climate Change Alliance and 
EUR 20 million from the intra-ACP disaster facility for disaster preparedness and 
resilience. Aside from the particular case of environmental sustainability in the 
second focal sector, there is evidence to suggest that integration of other cross-
cutting issues across the regional projects was rather limited. The evaluation desk 
phase analysed 18 interventions out of the total of 22 regional projects in the eval-
uation inventory. Of those 18, eight projects include CCIs in the logframe. Of the 
eight, four include environmental sustainability in the objectives, but each of those 
fall within the 2nd focal area of the 10th EDF, namely sustainable management of 
natural resources (including fisheries). The remaining four include environmental 
sustainability and gender equality in the indicators or activities. Hence, EU support 
has contributed to the region’s capacity to sustainably manage natural resources 
and manage disaster risks. 
EU interventions have also made a positive contribution to the strengthening of 
natural resource conservation and helped maintain the provision of essential eco-
systems, even if this objective was often an indirect rather than primary target.  
The specific objectives of EU programmes were aimed at strengthening govern-
ment capacity for policy enhancement, roadmaps, co-ordination and implementa-
tion of their national climate change strategy and natural resources management. 
Numerous national and regional workshops have been held to develop appropriate 
guidelines, suitable policies and provision of relevant information to key stakehold-
ers. 
The EU interventions aimed at strengthening the conservation of natural resources 
and maintaining the provision of essential ecosystems, although this objective was 
often an indirect rather than primary target. While it is not possible to establish a 
firm causal link between the interventions and improvements in conservation of 
natural resources and sustainable natural resources management, field interviews 
and programme monitoring reports indicate a positive contribution from the Com-
mission’s efforts.  
The activities of the Global Climate Change Alliance have enhanced the capacity 
of the Pacific’s climate change negotiators and helped mobilise communities in 
conducting vulnerability assessments, as well as making some improvements to 
the mainstreaming of climate change in national policies. The specific objectives of 
EU programmes were aimed at strengthening government capacity for policy en-
hancement, roadmaps, co-ordination and implementation of their national climate 
change strategy and natural resources management. Numerous national and re-
gional workshops have been held to develop appropriate guidelines, suitable poli-
cies and provision of relevant information to key stakeholders. 

Table 22 

Selected country examples for EQ 10 

Angola &  
Burundi 

Some ill-conceived and -implemented interventions in rural areas (opening the 
seed market to private businesses; investing in infrastructure without adequate 
maintenance provisions) generated negative feedbacks for the family farms and 
their food security in the affected areas. In Angola, though in the framework of a 
relevant strategy, some implementation weaknesses have generated problems in 
the LRRD-related interventions. 

Burkina Fa-

Poverty:  

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  Poverty in 2014 declined moderately since 2009 (the poverty rate increased 

from 43.9% to 40.1% which has not translated into a significant improvement in 
living standards of the population; There are high inequalities; 75% of the 
population lives in rural areas where the incidence of poverty remains high. 
  The number of people living below the national poverty line corresponded to 

55%. 

Strategies/activities:  
  Adopted a development approach with the main purpose to reduce poverty 

(2000s). 

  Development of a strategy for accelerated growth and sustainable development 

(SCADD) adopted in 2010. 

Caribbean 

Poverty:  
  Significant level of poverty in CARICOM countries, despite the middle level per 

capita income that has been achieved; A high proportion of poverty and great 
inequalities of wealth and income 

Ethiopia 

Jamaica 

Strategies/activities:  
No evidence 

Poverty: 
  Problem of chronic food insecurity. 
  Extreme poverty is however pervasive in Ethiopia. The most recent household 
income survey in 2005 indicated that about 38.7% of the population was below 
the poverty line. 

  PSNP has prevented the target group of poor and food-insecure rural 

populations from falling behind and has helped them keep pace with recent 
agricultural developments. 

Strategies/activities:  
  The EU has concentrated the bulk of its assistance in the food security and 

rural development sector. 

  With the PSNP, launched in 2005, an important step was made in the long 

overdue policy shift from the previously applied emergency food aid 
approaches to more development-oriented food security programmes. 

  Strategies/activities PSNP helped the target group of poor and food insecure 

households to keep up with this. 

  Strategies/activities: the EU was particularly effective in fighting poverty by 

aligning its support on government policies and programmes through budget 
support (global, sectoral, targeted). 

  VOC savings relating to road condition, always regarded as the main DP 

contribution to poverty reduction. Mismatch between rising VOC and relatively 
stable tariffs. 

  The EU was involved in the design of the approach underlying PSNP, and 

improvements through several policy dialogue. 

  EU contribution to rehabilitating and maintaining regional roads. 
  The EU contributed to PSNP transfers which helped beneficiary households 

maintain minimum consumption levels and overcome critical periods. 

Poverty:  
  Positive trends can be observed in relation to AMS and SFA contributions in 

alleviating the consequences of external and domestic reforms within the rural 
areas of the parishes targeted. 

Strategies/activities: 

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  The EU’s overall response to poverty has been addressed through direct 
engagement in focal sectors and through the indirect support to non-focal 
sectors. 

Kenya  

Poverty: 
  The proportion of people below the poverty line is reported to be reduced from 

52% in 2000 to 46% in 2006. 

  Need to access of communities to rural infrastructure, in particular schools. 

Small farm households. Access to markets and services and empowering rural 
communities. 
Strategies/activities:  
  The EU’s community development support, being part of the agricultural and 

rural development focal sector, was provided through the Community 
Development Trust Fund (CDTF). 

  EU’s long term and consistent support to agriculture. 
  Community Development Programmes has been funded by the EU through the 

Community Development Trust Fund (CDTF). 

Lesotho 

Needs:  
  HIV/AIDS epidemic, epidemic primarily to address the needs of children 

orphaned as a result. 

Strategies/activities:  
  The EU’s strategic response was to concentrate support on (i) Support to 

orphans and vulnerable children (OVCs). 

  Continuation/ upscaling of the Child Grant Programme (CGP), a pilot project of 
support to OVCs; The EU adopted an approach (based on non- contributory 
safety nets). 

  The EU successfully moved from a standalone initiative addressing OVC to the 
support for the inception of a national social protection strategy and system 
where the EU (through UNICEF). 

Liberia 

Needs : 
  Reintegration Programme for Returnees and Displaced People and its Local 

Community Development. 

Strategies/activities:  
  Refocus its efforts to channel assistance to the most severely marginalised 

groups of the Liberian population. The goal has to be, as before, to help reduce 
the socio-economic disadvantage of these population groups. In many ways, 
the EUís portfolio between 1999 and 2008 had been made up of programmes 
that were designed to channel assistance to the most socio-economically 
marginalised Liberians. However, because of the many shortcomings of EU 
assistance, support has reached only a much smaller share and a different 
segment of Liberiaís population than had originally been intended.  

Madagascar  Poverty:  

  Madagascar ranked 151st out of 186 countries by the UNDP in 2012, 

according to the Human Development Index (HDI). 

  Over 92% of the population currently lives on less than USD 2 a day in 

Madagascar. 
Strategies/activities:  
  EU co-operation has contributed to improving living conditions of vulnerable 

populations, at least in the intervention areas. These positive results concern 
access to health and education, food security and nutrition, access to water 
and sanitation, access to markets and the situation of detainees in prisons. 

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157 

However, whatever the sector, sustainability of results is weak. 

  The EU's interventions contributed to strengthening food security and 

improving living conditions in the areas of intervention, thereby reducing 
poverty.  

Mozambique  Poverty:  

Namibia 

  Mozambique has experienced high and sustained growth during the evaluation 
period at an average rate of 7.3%, but its progress in poverty reduction has 
been less impressive. 

  High rates of poverty, poor health indicators and high rates of illiteracy, and 
‘indicators of access to education and health services show a poor situation 
even by comparison with other less developed countries (2004). 

  A rate of pro-poor growth lower than the growth rate in the mean indicates that 
the poor have benefited less from growth than the non-poor. This is the case 
for 5 provinces. 

  Many sectors experienced good growth, including agriculture; good agricultural 

growth in aggregate has not been enough for poverty reduction. 

Strategies/activities:  
No evidence 

Poverty:  
  Persisting social and economic disparities between rich and poor 
Strategies/activities:  
  EU supported projects have provided additional income sources in rural areas, 
albeit on a limited scale and without affecting the fundamental income disparity 
between rural and urban areas. Members of the poorest 25% of all households 
still only earn NAD 1,600 per year, a mere one percent of the per capita income 
of the richest two percent of Namibians. Rural areas have seen improvements 
in access to safe water, credit and extension services, all with contributions of 
EU-financed interventions or, in the case of water, by means of the successful 
provision of sector-budget support to the Ministry of Agriculture. Progress in the 
rehabilitation and construction of rural feeder roads was slower in comparison. 
Formal mainstreaming of environment and gender has not always guaranteed 
due attention to the issues during implementation.  

Tanzania 

Poverty:  
  The impressive growth performance has not unfortunately translated into a 

corresponding rate of poverty reduction. 

  Significant improvements were made in non-income poverty. From 2000 to 

2011, Tanzania’s Human Development Index increased from 0.364 to 0.466. 

  People living in poverty decreased from 35.6% of the population in 2001 to 

33.3% in 2007. 
Strategies/activities:  
No evidence 

Timor-Leste  Poverty:  

  Poverty being strongly related to access, and rural roads being perceived by 

the population as the first development priority for Timor Leste. 

Strategies/activities:  
  The two rural road projects are the only projects scoring a full A for “impact” 

prospects” in ROM reports. 

  Directly addressed poverty and its causes through improvements in 

socioeconomic conditions, reduced isolation, improved services or new jobs. 

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Uganda 

Zambia 

158 

  EU Co-operation support for rural development and health sectors, with the 
exception of interventions for improving rural roads, has not significantly 
affected national poverty levels. 

Strategies/activities:  
 

In 1998, the government introduced Poverty Eradication Action Plan (PEAP) 
framework as the Government’s overarching policy planning framework; In 
2010, the Government developed an ambitious new vision, aiming to achieve 
middle-income status within 30 years. 

Poverty:  
  Economic growth helped urban poverty fall by a third between 1996 and 2006. 
  Zambia is therefore seriously off-track on MDG 1 (Poverty). Around 60% of 
Zambians live in poverty with a third unable to meet even basic food needs, 
and inequality remains very high. 

Strategies/activities:  
  EU support on poverty alleviation, particularly through GBS, contributed to a 

positive performance. 

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Table 23 

Selected country examples for EQ 12 

159 

ACP Instru-
ments 

In accordance with the ACP-EU Partnership Agreement, the EU implements programmes at national, regional 
and intra-ACP levels in the context of its co-operation with ACP countries and OCTs through different instru-
ments: 
  At National level, on the basis of the national indicative programmes (NIPs) of the ACP States in accordance 

with Articles 1 to 5 of Annex IV to the ACP-EU Partnership Agreement.  

  At regional level, on the basis of the regional indicative programmes (RIPs) of support for regional and inter-
regional co-operation and integration of ACP States in accordance with Articles 6 to 11 of Annex IV to the 
ACP-EU Partnership Agreement; 

  OCTs, on the basis of single programming documents. 
 

Intra-ACP and inter-regional co-operation involving many or all of the ACP States, in accordance with Articles 
12 to 14 of Annex IV to the ACP-EU Partnership Agreement. This envelope may include structural support to 
institutions and bodies created under the ACP-EU Partnership Agreement. This envelope shall cover 
assistance for the operating expenditure of the ACP Secretariat. The Intra-ACP programme is the 
cornerstone of broader co-operation between the European Union and the ACP group of States.  

  Loans from the EIB’s own resources and operations managed by the EIB (Investment Facility operations). 
Some of the relevant specific intra-ACP programmes highlighted in the Evaluations assessed are:  
  The Private Sector Enabling Environment Facility (PSEEF), also known as BizClim, created in 2004 with the 
objective to support ACP Governments and Private Sector Institutions to undertake their respective roles in 
policy formulation and implementation in areas that are important for the enabling environment of the private 
sector; 

  PROINVEST, launched in 2002, with the aim of promoting investment and technology flows to enterprises 

operating within key sectors in ACP countries through support to Intermediary Organisations (and 
professional associations) and through the development of north-south and south-south inter-enterprise 
partnerships; 

  CDE (Centre for the Development of Enterprise), an ACP/EU joint Institution created in the framework of the 
Cotonou Agreement with a view to ensuring the development of professional ACP enterprises operating in 
the private sector;  

  TradeCom Facility, which provides expertise in trade related matters, mainly to design and implement 

national trade strategies;  

  The EU/ACP Microfinance Framework Programme, launched in 2005 and entirely dedicated to microfinance. 
It aims at supporting the development of sustainable micro- finance institutions (MFIs), promoting MFIs rating 
and strengthening of MFI information systems, and enhancing transparency and efficiency in ACP 

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Botswana 

Focus on a single 
sector and shifting 
to BS have in-
creased efficiency 

Burkina Fa-
so 

Adequate mix of 
modalities 

160 

microfinance markets; 

  The ACP Multilateral Trading System Programme, to assist ACP countries in reforming and improving their 

negotiation capacity, implementing multilateral trade agreements, and integrating trade into the development 
process of ACP countries. 

Focusing on a single sector for development co-operation as well as shifting to budget support as the main in-
strument of aid delivery has led to an increase in the efficiency of EC assistance. Policy dialogue has increased. 
In addition programme support has been supplied in a relatively efficient way with appropriate financial means 
and adequate TA, albeit with some delays in programme implementation and longer programme durations than 
originally planned. During the last ten years, EC co-operation with Botswana has switched from project and pro-
gramme support with integrated long-term TA (EDF 7 and 8) to a mix of programme support and Sector Budget 
Support accompanied by policy dialogue and the use of short term consultancies from the TCF (during EDF 9). 
More than 80% of the support is channelled through SBS. This evolution is in line with the Paris Declaration and 
improvements in aid delivery could be observed in many aspects. The programme approach is still used under 
EDF 9 (support to NSA and MoLG) and will be used under EDF 10 (support to CS). In most cases, projects 
started more or less on time. Delays of up to six months are still acceptable. Only few programmes from the re-
gional budget started with a longer delay. Problems have been observed with the duration of some programmes. 
It seems either that implementation times have been underestimated or that unforeseen problems have oc-
curred. There were some delays in disbursements (SYSMIN-funds, budget support) and the supply of TA (for 
example GTC, Tax administration reform, NSA). At programme level, programmes with a strong construction 
component (training centres Francistown and Gaborone) delays have been caused by problems with contractors 
and by construction deficiencies. In Francistown, even today, deficiencies are visible and new ones are starting 
to show (since there is no maintenance plan or person responsible for maintenance). 

The EU co-operation has been implemented through budget aid and project aid. These two tools are comple-
mentary as project aid compensates for the poor transparency in the resource management of general budget 
aid, due to the absence of sector-based programming. However, as a result of disbursement delays and the ap-
proval of the necessary resources for implementation of the actions, there is a negative influence on the realisa-
tion of desired results in several sectors, such as culture or rural development. General budget support (GBS) 
provided by the EC has enabled the EC to adopt the role of leader, with a positive knock-on effect on the other 
technical and financial partners (TFPs) and on the reforms undertaken by the government. GBS provided by the 
EC has contributed to improving the quality of policy dialogue between the government and its partners. The in-
centive mechanisms implemented within this framework, in particular monitoring indicators, have played an im-
portant role in maintaining pressure on the government, encouraging it to improve public finance management 
and the performance of the social sectors.  

Caribbean 

Contribution 
Agreements, altouh 
promoted ownership 

Under EDF 9, the aid modality of a Contribution Agreement (CA) was supposed to increase ownership and re-
duce transaction costs. But the lack of provision of a start-up phase slowed down implementation instead of re-
ducing transaction costs. For EDF 10, the institutional assessment concluded in 2010 that the conditions were 

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and lower transac-
tion costs brought 
significant delays 

Dominican 
Republic 

BS  and  SBS  have 
lessened the admin-
istrative  and  man-
agement 
burdens 
but  a  more  ac-
countable 
relation-
ship is needed 

Haiti 

Investment 
Facility  

161 

not yet in place for the implementation of the EPA support programme under this modality. The third institutional 
assessment confirmed that the CCS is far from offering satisfactory standards at least for internal control stand-
ards and procurement. A 2011 mission of the Court of Auditors confirms that CCS is not eligible for contribution 
agreements and a fortiori for budget support. The CCS remains a partner for the main donors like EU, UK or 
Canada, but donors tend now to prefer implement their programmes through other regional or international or-
ganisations. However, several other implementers chosen by the EU were also far from delivering the expected 
results, like the Caribbean Disaster and Emergency Management Agency (CDEMA), the Implementation Agency 
for Crime and Security (IMPACS) or the World Bank, for CKLN. 

The decision to use General Budget Support and Sector Budget Support as key implementation mechanisms 
has lessened the administrative and management burdens of the Government of the Dominican Republic but the 
conditions that the EC established for disbursement (fixed and variable tranches) have not been specific enough 
to form the backbone of a mutually accountable relationship based on meeting established performance targets 
and dialogue. The last country-level evaluation recommended that the EC focus more and seek greater impact; 
its response was not significantly reduce scope but to transfer the responsibility for performance to its country 
partner through a change in modality from projects to budget support (both sector and general), a strategy re-
quested by the country. The choices of modalities have enabled the EC to disburse most of its planned funds in 
support of the strategic objectives set out in the various Country Strategy Papers; however, a causal relationship 
between the modalities chosen and the effective execution of strategic objectives cannot yet be concluded. It 
therefore cannot be shown empirically and definitively that the most appropriate modality was chosen for the ob-
jective(s). Based on an examination of the process through which the choice of modality and instrument (or 
combination) is made, this evaluation concludes that the EC effectively examined alternatives and then selected 
the modality mix that would meet stated objectives while taking the context and capacity constraints of both the 
EC and the GoDR into account. In implementing its strategies the EC tended not to complement its programming 
with rigorous risk analyses and management that are necessary components of accountability frameworks in 
complex environments categorised by poor entry-level data. Analysis showed that the efforts made were neither 
rigorous nor comprehensive, forcing the EC to be reductionist in its approaches and reactionary in terms of man-
aging foreseen or unforeseen disruptive events. 

BS has allowed the government to survive and provide essential services after the earthquake and NSA support 
has ensured the local rehabilitation of basic infrastructure and human beings. 

Based on the CPA, the Investment Facility managed by the EIB was launched in 2003 for a period of 20 years, 
replacing the former risk- capital funds of the Member States of the EU. The EIB operates in ACP countries un-
der co-operation agreements centred on the reduction and eventual eradication of poverty; sustainable devel-
opment; and progressive integration of the ACP economies into the world economy. This partnership envisages 
the establishment of Investment Facilities (IF) so as to promote private sector development. In addition to this 
Investment Facility, the EIB supplements the EU’s aid with its own resources (OR) and operates on a broadly 
self-financing basis, funding its operations by borrowing on capital markets and covering them with a specific 

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Jamaica 

support 
Budget 
(General  or  sec-
toral)  as 
the  pre-
ferred  modality:  ap-
propriate  and  in  ac-
cordance  with 
the 
capacity  of  GoK 
partners. 

162 

guarantee from EU Member States.  
It intervenes through three main mechanisms: 1- direct funding of large industrial projects; 2- support to local fi-
nancial intermediaries in the form of quasi-equity or guarantees to strengthen and deepen the domestic financial 
and capital market; 3- allocation to local financial institutions of credit lines intended for the provision of credit to 
medium and small enterprises, or for the development of micro-credit systems. 

Co-operation Modalities and Funding Budget Support (General or Sectoral) is the preferred instrument of co-
operation under the 9th EDF and the programming instructions strengthened this message for the 10th EDF. 
Consequently, the use of project modalities is now the exception, requiring appropriate justification and approval. 
This has led to a progressive shift from the classical project approach to the budget support approach. The share 
of EU funds disbursed as budget support in Jamaica has increased from 17% in 2007 to 63% in 2009 and to 
80% in 2010. The budget support modality has been used to allocate funds that the EC made available via the 
Accompanying Measures for Sugar Protocol Countries (AMS). Between 2006 and 2010 more than 
EUR 82 million was made available for the restructuring of the sugar industry. Jamaica received an allocation of 
EUR 17 million under the FLEX mechanism in 2009 to compensate for the losses experienced in country’s ex-
port revenues. The money, disbursed in the course of 2010, was allocated as an additional fixed tranche under 
the DRGEP general budget support programme. The 2009 Joint Annual Review (JAR) indicates good perfor-
mance in terms of disbursement across key areas of the programme. 
In most cases the instruments selected have been appropriate for their intended purpose and were selected in 
accordance with the capacity of GoJ partners. However some programmes, particularly in the early part of the 
evaluation period, under-estimated the time needed to achieve actions and results. This proved to be an issue in 
the PSDP and the transport sector. DRGEP has proved to be an extremely effective instrument. DRGEP ad-
dressed many key issues (such as the heavy burden placed by state enterprises on the economy) and the need 
for structural reforms to address these challenges, including privatisation of the sugar sector and Air Jamaica. 
The EC has been innovative in ensuring that the modalities and instruments were appropriate in obtaining out-
puts and outcomes. 
The recent use of budget support has been different in Jamaica to in most ACP countries. There has been con-
siderable focus on linking variable tranche funding to specific process deliverables (such as completion of privat-
isation measures in the sugar sector). Sector authorities, such as the Ministry of Justice, have commented very 
favourably on this approach, noting that it has helped to ensure that things get done and adding momentum to 
processes that were already within their work-plan. 

Kenya 

Optimistic  planning 
of  the  CSPs  reflect-
ing  on  an  optimistic 
planned  aid  modali-
ty mix 

The optimistic planning of the CSPs is strongly reflected in the planned aid modality mix that consisted primarily 
of budget support, both GBS and SBS. EU’s optimism is illustrated by the fact that the EU was the only donor 
providing GBS. The EU – and the other donors – were taken by surprise by the post-election violence early 
2008. The disbursement of the second tranche of the PRBS two days after the election was very unfortunate and 
could have been avoided with a more prudent approach. From 2008 onwards the EU became more risk aware. 
This is well reflected in (i) the increased attention paid to governance issues and (ii) the change of the aid modal-

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Lesotho 

Mix  of  funding  and 
implementation  mo-
although 
dalities 
could 
synergies 
have 
been 
strengthened  

Madagascar  Mix  of  modalities 
showing  mixed  re-
sults  

163 

ity mix under the 10th EDF. However, the EU’s risk mitigation strategies are still not very well developed, despite 
improved governance analysis and more attention paid to the political dialogue 
The shift to project aid increased the challenges to establish coherence between the various EU supported inter-
ventions. There are some scattered examples of good coherence, notably in the support to the Arid and Semi-
Arid Land (ASAL) areas and in the response to the 2007 elections and the preparation of the 2013 elections 
through the political dialogue. However, in general, there is a lack of coherence both within and among sectors, 
which limits the value added of the EU. The explanatory factors behind this limited coherence are on the one 
hand the large number of sectors the EU is active in with a large number of different funding instruments, and on 
the other hand the specificities of the Kenyan context. Problematic donor co-ordination and the fact that Kenya is 
not a very aid-dependent country are explanatory factors that are related to the Kenyan context.  

The use of different funding instruments and implementation modalities has been implemented via BS and pro-
jects funded from the EDF, three thematic budget lines and EIDHR, and via policy dialogue and, since 2010, po-
litical dialogue, with the authorities. Regional programmes are not considered here since Lesotho did not benefit 
individually. Overall, during the period, the EDF was the largest source of funding for Lesotho (98.1% of total 
contracted) with thematic budget lines (DCI) remaining relatively modest. More than half of the total contracted 
amounts concerned general or SBS; work contracts (in the water sector), programme estimates and projects 
each represented just over 10% of contracted amounts. 
In both social protection and water sector support, mixes of funding and implementation modalities were used to 
good effect even if they were not applied in a joint up manner and synergies for more effective support could 
have been greater. No evidence pointed towards a relative greater efficiency and effectiveness of one or another 
funding instrument or implementation modality, the co-operation results being more significantly determined by 
the overall context for aid effectiveness. These general conditions were found particularly critical for the success 
of BS. As a result, it was found that, over the period, the project approach worked best to deliver results to the 
population but also created work overload for the EUD and could not contribute to reinforcing government sys-
tems and processes. 

The wide range of financial instruments mobilized represents a priori an asset to enhance the effectiveness and 
efficiency of actions. The case of the "Rural Development and Food Security" sector shows that the EU has re-
sponded with some efficiency to the needs identified in this area by using the resources available from each in-
strument (EDF, thematic lines, STABEX). In several sectors, between 2009 and 2012, the use of thematic lines 
to finance NSA enabled in the context of suspended EDF funding, to ensure, at least, the continuity of the deliv-
ery of certain services to vulnerable populations. Budget support (AB) by the EU and other partners in 2002 to 
2008 contributed significantly to the structuring of a strategic dialogue between the donors and the government 
and promoted better alignment of external aid on national policies developed. However, the efficiency and effec-
tiveness of such support were limited by insufficient updating of the environmental scan during the preparation of 
new financing, a lack of co-ordination among the donors in technical assistance and insufficient involvement sec-
tor ministries in defining objectives and indicators. 

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Malawi 

Aid  modalities  had 
very  variable 
im-
pacts  on  efficiency 
of implementation 

Mozambique  BS  is  considered  a 
successful  case  of 
donor-government 
collaboration  

Mozambique  Budget 

support 
considered 
funda-
mentally succesfull  

164 

The adequacy of the implementation arrangements to achieve the strategic objectives and local capacities pre-
sents a mixed picture. Partnerships functioned properly during the first period. For both periods, the evaluations 
have been used to prepare the design of subsequent sectoral interventions. However, shortcomings in the man-
agement of public finances, which had intensified in 2008, illustrate the difficulty encountered by the EU to react 
sufficiently upstream where such problems start to manifest. 

The choice of aid modalities has had very variable impacts on efficiency of implementation of the support of the 
Commission of the EU. Some of its modalities contributed positively to implementation progress as measured by 
rate of disbursement and effectiveness, i.e. especially budget support. However, also other modalities contribut-
ed positively to implementation progress, such as basket funding, contribution and administration agreements. At 
least some of the perceived benefit appears to accrue from avoidance of constantly changing procedural compli-
cations of the Commission of the EU. Other modalities were impediments to implementation progress; especially 
programme estimates and EDF procurement procedures. That being said there is a widely diversified set of mo-
dalities in use in Malawi but there has been little consideration or risk analysis of capacity needs necessary to 
implement these various modalities: Some of which are highly demanding administratively of the EU Delegation 
and implementer. It has been assumed (often wrongly) that implementers have adequate capacity with no ac-
companying consideration of contingent mitigation measures. The result is that implementation progress has 
been delayed (or worse) and technical specialists in the EU Delegation (and National Authorising Offices) are 
spending long periods of time resolving administrative and procurement issues to the detriment of their core 
functions. Against this background there is little monitoring of performance of modalities (e.g. the Joint Annual 
Report). 

GBS in Mozambique can be considered a successful case of donor-government collaboration. Without GBS, the 
Mozambican economy would not have achieved such high levels of macro-economic growth and stability and 
good results on strengthening the planning and budgeting systems and public finance management in general. 
Furthermore, GBS has permitted a significant increase in the proportion of the public expenditure subject to the 
national budget and has strengthened the governmental systems. It would not have been possible to achieve the 
same or similar results under a project approach and without donor harmonisation and permanent dialogue with 
the GoM. Thus it can be concluded that EC’s macro-economic budget support strategy delivered good levels of 
efficiency, effectiveness and impact compared to other possible support measures; it is doubtful whether the 
same results would have been achieved by using other forms or support measures 

Budget Support has been fundamentally successful. It has made possible a major expansion in education provi-
sion, whilst also supporting economic growth and macroeconomic stability and facilitating steady improvements 
in the quality of public financial management and, to a lesser extent, in governance.. These are major achieve-
ments, which fully justify the risks, which have been taken in providing Budget Support. Annual predictability of 
budget support is significantly better compared with the two other aid modalities (Basket funds and Projects). Ac-
tual disbursements of Budget Support have generally been close to 100% of the planned disbursements, averag-
ing 116% over the 8- year period since 2004 This can be attributed largely to the success of the procedures es-

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NAO Sup-
port Units 

Niger 

BG  has  had  a 
modes impact 

165 

tablished in the MoU for estimating and reporting on the planned Budget Support.  
By contrast, the equivalent procedures for other modalities are less established and not so uniformly respected 
by the various providers of projects and common basket funding. Moreover, resource persons from both gov-
ernment and DPs agreed that the room for applying disbursement conditionalities with projects and common 
basket funds is greater. For these modalities, the variation in predictability has been more significant and dis-
bursements have usually been less than projected. This is particularly the case for projects, which averaged dis-
bursements of 56% of projections during the evaluation period with a considerable variance around this mean. 
Basket fund disbursements were more stable, but also averaged significantly below Budget Support (79% versus 
116%), as a percentage of projections.  

The CPA establishes as a premise to rely on the capacity of the Government to integrate EU financial and tech-
nical support into its own plans (at national and sector level) and aid management in its institutions.  
The role of the National Authorising Officer (NAO) is to represent the ACP state it in all the operations financed 
through the EDF supported by a NAO Support Unit (NAO SUs). A key challenge shared by many ACP countries 
is NAO-SUs are largely considered to be low capacity entities. 

By setting disbursement criteria in terms of increased spending and performance in social sectors, budget sup-
port only modestly contributed to reorienting public spending towards these sectors 172. While it cannot be for-
mally established, it is likely that these budget increases contributed to the impact described lower in terms of 
meeting MDGs. The causal link between these two events remains difficult to establish. Budget support also 
made it possible to pay a large number of late salaries. This made it possible to partially limit the handicaps 
stemming from the weakness of Niger in the context of programme implementation. Moreover, institutional sup-
port for budget aid, and the pressure of conditions for mobilising it, contributed to improving the technical and fi-
nancial capabilities of the State. There is true improvement in public financial management (up-to-date national 
economic accounts; progress in terms of statistics, etc.) but it remains farbelow expectations, due mostly to diffi-
culties in establishing institutional support for the Ministry of Finance.  
Although the quality of dialogue during the period under review made great progress at the level of policy design, 
the relationship remains more difficult at the level of their implementation. Budget aid has not really made head-
way and its relative weight in total aid has even gone down. Although efforts were made to integrate it in coher-
ent policies, and although the sectoral approach using extrabudgetary funds is trying to gain ground in several 
sectors, projects remain the instrument of choice. The discontinuous nature of DPE contributions thus remains 
the rule. The health sector and the crisis prevention system are two areas for which the partnership was estab-
lished on a more continuous basis, thanks to the use by some DPEs of extrabudgetary common funds in support 
of a true sectoral or thematic policy. Education was also on the same track but the dialogue broke off suddenly 
when fraud was discovered. Nonetheless, in these three areas, the continuity of interventions does not lead to 
sustainable effects as they are understood here, because dependence on aid remains huge, both at the financial 
and the technical level.  

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Nigeria 

Mix  of  intervention 
adequate 
the 
context 

to 

Stabex & 
FLEX 

166 

Overall the mix of interventions has been adequate and has taken into consideration the constraints imposed by 
the size of the country, the level of development of the relations between Nigeria and the EC and particular con-
ditions prevailing in the different sectors of intervention. Some changes from initial decisions have nevertheless 
sometimes slowed down implementation. Chosen delivery mechanisms From the outset, the mix of interventions 
was of an indirect nature: the focal sectors had to support each other through complex interventions, rather than 
directly focusing on service delivery and results for the benefit of the poor. This was the case with SRIP and 
WSSSRP. Subsequent addition of several non-focal interventions has strained the management resources of 
both the ECD and its counterparts and led to an overall reduction of efficiency in terms of aid delivery and pro-
gramme implementation. A simpler and more robust approach would have been preferable. Budget support hav-
ing been discarded, the mode of implementation was the project approach, which was able to deliver results in 
respect of strategy implementation, albeit at a slow pace due to bottlenecks arising from procedural problems 
and deficient interplay between ECD, NPC and the ministries. Management of risk Regarding the first CSP risk 
factor, “wastage and misappropriation of EDF funds”, the ECD admits that it is impossible to avoid misuse of 
funds. However, the risk management procedures applied have adequately prevented significant misuse of 
funds, but at the cost of such procedures slowing down implementation. As regards the second CSP risk factor 
“failing to contribute to a real improvement in Nigeria’s management of its own funds”, the EC support has con-
tributed to some improvement in Nigeria’s management of its own funds at Federal and State levels but not sig-
nificantly at local and community levels. 
The EC is conscious that risk management should be a top priority under the 10th EDF. A precondition is the 
setting-up of an adequate MER system, harmonised with other donors; this will allow monitoring of achievements 
in terms of delays incurred and results achieved.  

In Burundi, STABEX Fund allowed to improve certain access roads and rehabilitate industrial tools of state 
agencies before privatization. Jamaica benefited from two Stabex Transfers to compensate for export losses for 
the years 1999 and 2000. While the “1999 Stabex Transfer” was granted to Jamaica in July 2000 to partly com-
pensate for losses in the export of fresh bananas to the EU market, the “2000 Stabex Transfer” (EUR 2.9 million) 
was used by the Eastern Jamaica Agricultural Support Project (EJASP), a rural poverty reduction project cover-
ing four traditional banana growing parishes in the Eastern part of the country. In Madagascar, for some agricul-
tural sectors benefiting from STABEX funds (lychee, clove, pepper), improved product quality has been guaran-
teed without being able to quantify the consequences on the income of the main stakeholders in these sectors. 
In 2009 the European Commission (EC) approved the first financing decisions in favour of thirteen African, Car-
ibbean and Pacific (ACP) countries, which are to benefit from a total of EUR 215 million under the 
EUR 500 million ad hoc Vulnerability-FLEX mechanism (V-FLEX)91.  
As one of the 28 measures recommended by the EC in its communication "Supporting developing countries in 

91 Facility for FLuctuations in Export Earnings 

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Tanzania 

Budget 
funding 
several 
changes 

Support 
facilitated 
important 

167 

coping with the crisis", V-FLEX has been conceived as a "global safety net" aimed at helping the most vulnerable 
ACP countries safeguard social spending in a context of deteriorated fiscal balances.  

In terms of the economic and sectoral composition of spending, there is evidence that Budget Support funding 
facilitated several important changes. The primary contribution of Budget Support has been to assist in scaling 
up funding within the priority sectors. Yet, the complementary inputs of Budget Support, which might have helped 
to generate a greater impact, have functioned less effectively. Budget Support has supported the creation of an 
effective structure for dialogue, based upon the definition of policy targets and a framework of annual monitoring 
but the contributions of the Budget Support partners to this framework have not served to generate an open, 
strategic and problem-focused dialogue. In addition, complementary inputs for technical assistance and capacity 
building have been limited and the potential wider effects of Budget Support on aid effectiveness have not been 
exploited 
Neither project funding nor common basket funding could have achieved these same results with the same de-
gree of efficiency, effectiveness and sustainability. In particular, due to the following factors:  
The funding provided through Budget Support of some USD 650 million per annum would have been equivalent 
to some 200 additional project and Common Basket Fund operations, disbursing USD 3-5 million each per an-
num. The additional transaction costs of opting for alternative modalities would therefore have been prohibitive;  
It would have been difficult for GoT to utilise such operations to finance recruitment of additional teachers or to 
provide non-salary recurrent cost funding; 
Historical data suggests that the predictability of annual disbursements from projects and of Common Basket 
Fund operations would have been some 20-25% below that achieved for Budget Support and with a much higher 
annual volatility; 
The sustainability of this incremental project funding would have been difficult to ensure, whereas over time 
Budget Support funding is being replaced with domestic revenue, using the same planning and budgeting proce-
dures and hence ensuring sustainability; 
Finally, while the space for policy dialogue afforded by Budget Support has not been used to its fullest advantage 
in Tanzania, it has served to generate certain improvements in the design and implementation of policies and 
strategies, which could not have been generated by the more limited spaces for dialogue offered by project and 
CBF arrangements.  
There were significant deficiencies in the relevance of the initial Budget Support “package”, which were exacer-
bated rather than improved through the changes made after 2007. The 2005 Budget Support evaluation showed 
that there were policy and institutional problems present in 2005, which were likely to reduce the effectiveness of 
the Government’s poverty reduction strategy and the ability of the Government to achieve fast implementation of 
PFM and other reforms. Yet, the Budget Support package was largely limited to financial resources, with inade-
quate attention to the additional inputs, which might have helped to address these policy and institutional prob-
lems. Capacity building inputs, provided through or in conjunction with Budget Support, were very limited. The 

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168 

nature of policy dialogue was focused excessively on disbursement indicators and was never truly geared to 
constructive, problem solving policy dialogue. Moreover, its structure required DPs to combine the roles of “audi-
tors” and “partners in dialogue”, which inevitably undermined the quality of exchanges on policy issues. The 
Budget Support design changes introduced from 2007 served to further undermine the quality of dialogue, reduc-
ing further the extent of Government ownership, increasing transaction costs, reducing the quality of the PAF as 
a performance assessment tool, and moving further away from constructive, problem-solving dialogue. Whilst 
the DPs’ concerns over the disappointing HBS results and over the response to the EPA and Richmond scan-
dals were legitimate, the changes in the Budget Support design which they prompted served only to deepen feel-
ings of distrust and to move further away from a constructive policy dialogue 
Stakeholders from Government and from the BSG agree that in the absence of Budget Support the same level of 
consistent Government commitment to PFM reform would not have been achieved. The fact that this commit-
ment to reform has not achieved more substantial and widespread improvements to the PFM system may be in 
large part attributed to the difficulties of implementing “second generation” reforms (involving roll-out and consol-
idation rather than simple design and initiation), in a context of relatively weak human resource capacities and 
institutional structures.  

Although variable from one sector to another, complementarity between the instruments is generally performed 
satisfactorily. The synergies between Regional Co-operation (10th EDF) and national co-operation were absent, 
with one notable exception in the road infrastructure sector. Whatever the structure in charge of project imple-
mentation (national administration, NGOs, IOs, agency of a Member State), registering projects in a sectoral ap-
proach (including sectoral policies when they are sufficiently consistent) is insufficient. This is particularly marked 
in the case of NGOs (distribution of funding between multiple operators without consultation framework capitali-
zation or device) and in the case of OI (which, in general, involve little in the sectoral dialogue). Chronic work 
overload of staff in COT result of the structure of co-operation portfolio (many projects themselves comprising 
many contracts) and the multiplicity of problems encountered in the implementation. Therefore, the availability of 
project managers to get involved in the preparation, co-ordination and monitoring of the sectoral dialogue is lim-
ited. 

Project approach was the main aid modality throughout the 10th EDF, out of a limited number of options. Modali-
ties were not adjusted to the context and their use needed strengthening on aspects of alignment, ownership, 
participation, mutual accountability and management by results.  
Project aid: Project aid was relevant in the context of the co-operation with Timor-Leste, out of a limited menu of 
options. But the effectiveness of project-based co-operation was limited by the fragmented and non-strategic use 
of projects, the lack of capacity to use the project aid modality to leverage sector level changes and reforms, and 
also by the lack of active engagement in policy dialogue. Projects were perceived by most stakeholders as slow, 
burdened by heavy procedures and performing poorly. In some case projects proved effective when well em-
bedded within national institutions, owned by Government, responsive to sector strategies, or accompanied by 
policy dialogue at different levels (as experience from the roads sector shows). The quality of project design was 

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Tchad 

Sectoral  approach 
insufficient  

Timor-Leste  Project approach as 
the  main  modality 
but  other  modalities 
under  consideration 
to  ensure  greater 
ownership  and  ef-
fectiveness 

169 

often inadequate.  
Introduction of budget support: the introduction of BS as of 2013 generated differing views on its effectiveness 
and relevance for achieving changes. Non-earmarked BS has limited relevance to Timor Leste, given rising oil 
revenues and the consequent lack of financial deficits in the national budget. With the exception of the Ministry of 
Finance, Government systems – in particular at the sector level – are not yet robust enough to allow effective 
management of such support. BS could eventually find a strategic use in promoting reforms in particular sectors 
or for themes which are so far difficult to fund from domestic resources. Its effective use implies a capacity for 
dialogue and mutual engagement in the interests of reform, which has yet to be developed. 
Innovative approach: in an effort to enhance the effectiveness of the Co-operation, the EU tested the use of 
“symmetric contracts” (i.e: stipulation of similar services for different districts) with GIZ and CICL for extension 
services support under RDP4. The system had limitations due to the different work culture and procedures of the 
two organisations, which then negatively affected harmonization and limited influence and leverage vis-à-vis the 
Ministry of Agriculture. Moreover increasing oil revenues and the need for better sector development and policy 
reform are arguments for supporting the rationale for broadening the spectrum of aid modalities to include, for 
example, Sector Wide Approaches, sector investment programmes, Sector Budget Support (SBS) and Blending. 
Over the evaluation period the EU Co-operation has been partially adjusted to this new reality, for instance 
through its contribution to the World Bank Trust Fund for Health and the introduction of support to the Ministry of 
Finance for PFM as from 2014 (although preparations started in 2013). 

The mix of EU aid instruments, approaches and financing modalities has generally been well adjusted to sector 
specific factors, adapting over the period in line with the changing context. The EU’s combined GBS and health 
SBS contributed to substantial budgetary increases and improved services, with increased utilization of health 
facilities. The EU’s specific focus on human resources management reform gave a strong forward thrust to its 
successful implementation and allowed addressing of the issue of persistent staff attrition in the context of an 
imposed staff employment freeze. Especially under the budget support programmes (GBS and SBS), the EU has 
striven to establish a balance between interventions supporting policy formulation and interventions improving 
policy implementation. However, whereas traditionally CP-government dialogue concentrated more on imple-
mentation issues, this changed with the overall switch to more budget support with over-concentration on policy 
dialogue and policy formulation issues, to the detriment of working with the government to address crucial im-
plementation issues and bottlenecks. 
Zambia pioneered "basket funding" with its cooperating partners as early as 1993, and a Sector-Wide Approach 
(SWAp) involved partners in pooling resources programmed in accordance with GRZ budgetary allocations. 

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Zambia 

Mix  of  EU  aid  in-
ap-
struments, 
proaches  and 
fi-
nancing  modalities 
well-adjusted 
to 
sector  specific  fac-
tors 

 
170 

9.5  Annex 5: Level of evidence, number of evaluations and additional sources of information by JC 
The table below presents the level of evidence linked to the EQs and JCs, the number of evaluations which fed into the respective JCs and comments 
on the overall perception of the information available as well as possible ways to enlarge and/or improve this preliminary assessment by providing 
additional data collection methods. The number of reports presents only a quantitative aspect, i.e. it is possible that a high number of evaluations pro-
vide a low level of evidence and vice versa.  
The three levels of evidence combine quantitative and qualitative aspects and have been defined as follows: 

  High: Extensive and substantial information, thorough analysis on ACP countries and clear examples informing the JC occur with a high inci-

dence; trends can be easily identified over time. 

  Medium: Relevant and specific information and/or less focused analysis on ACP countries and/or a number of concrete examples informing 

the JC occur with a lower incidence; trends can be identified but not always confirmed.  

  Low: Limited or no specific information on ACP countries and very few examples are available; it is not possible to establish trends over time. 
The column “Evaluations” refers to the number of evaluations which provided relevant information for the respective JC. One single evaluation con-
sists of several individual reports or documents (e.g. main report, subsequent volumes, annexes etc.).  

Table 24 

Analysis of level of evidence and number of evaluations by JC and suggested additional data collection methods 

Judgement criteria 

Number of 
evalua-
tions 

Level of evidence 

High 

Medi-
um 

Low 

Comments on possible additional 
data collection meth-
ods/Suggestions 

EQ 1 

Political dialogue 

JC 1.1 

JC 1.2 

JC 1.3 

Agreed  priorities  and shared agendas  established  and imple-
mented 

Local  authorities,  national  parliaments  and  non-state  actors 
involved in the implementation of the partnership 

CPA  recognized  and  understood  by  the  relevant  authori-
ties/interest groups at the different levels and perceived as still 
responding to critical needs and problems 

JC 1.4 

Unintended  effects  have  played  a  minor/major  role  in  the  at-
tainment of the results 

 

 

72 

28 

25 

2 

Political and policy dialogue play a key 
role in the implementation of the CPA. 
Due  to  its  holistic  and  transversal 
scope  it  is  recommended  to  include 
qualitative  methods  of  data  collection 
(e.g. semi-structured interviews) in or-
der  to obtain a deeper  analysis  of  the 
different mechanisms in place and the 
intended  and  unintended  implications 
associated to dialogue mainly  with re-
gard  to  the  definition  of  priorities  and 
their effective implementation. 

 

 

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171 

Judgement criteria 

Number of 
evalua-
tions 

Level of evidence 

High 

Medi-
um 

Low 

Comments on possible additional 
data collection meth-
ods/Suggestions 

EQ 2 

JC 2.1 

Human rights, democracy, rule of law and good governance 

Improvements  have  been  made  in  the  field  of  human  rights, 
democratic principles, rule of law and good governance 

87 

 

JC 2.2 

The  CPA  mechanisms  (political  dialogue,  consultation  proce-
dure,  appropriate  measures,  and  suspension  of  the  agree-
ment, including its legally binding characteristic) have played a 
substantial role in the achievement of the improvements 

29 

 

JC 2.3 

The respect of the fundamental principles has been and still is 
a priority for the ACP countries 

JC 2.4 

Unintended  effects  of  the  mechanisms  have  played  a  mi-
nor/major role in the attainment of the results 

19 

 

1 

 

 

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Despite there is wide evidence availa-
ble  on  CPA  contribution  to  these  is-
sues  at  country/sectoral  implementa-
tion level EQ 2 relates to very complex 
mechanisms  that  vary  depending  on 
the context. Evidence of the respect of 
fundamental  principles  is  limited  at 
least  in  an  explicit  way.  Also,  CPA 
contribution  to  governance  covers  a 
wide  range  of  issues  related  to  the 
“soft”  aspects  of  the  partnerships (po-
litical  dialogue,  legally  binding  condi-
tions,  use  of  Art  96)  as  well  as  to  na-
tional/regional  accountability  mecha-
nisms,  linked  to  transparency  and  de-
mocracy.  
Hence,  qualitative  methods  of  data 
collection  (e.g.  semi-structured  inter-
views) would hopefully allow for a bet-
ter  understanding  of  the  effective  ap-
plication  of  these  principles  and  its 
consequences.  Similarly,  the  analysis 
of  additional  sources  of  information 
especially  coming  from  academic  re-
search  (e.g.  ECDPM  –  Political  Dia-
logue on human rights under Article 8 
of  the  Cotonou  Agreement  –  2014) 
would  be  useful  to  have  specific  in-
formation on the assessment and per-
ception  of  the  effective  improvements 
made. Finally, the selection of particu-
lar cases (positive and negative expe-

 
 
 
 
 
 
 
172 

Judgement criteria 

Number of 
evalua-
tions 

Level of evidence 

High 

Medi-
um 

Low 

Comments on possible additional 
data collection meth-
ods/Suggestions 

riences)  could  provide  useful  infor-
mation on how fundamental principles 
are  mainstreamed  over 
time  and 
across sectors.  

Due  to  the  increasing  attention  to 
CPPB there is significant evidence on 
specific  CPA  contributions  to  a  num-
ber  of  countries  (e.g.  Angola,  Timor-
Leste,  CAR,  Sierra  Leone  or  Liberia) 
implemented  through  many  Regional 
Organisations. The analysis of a num-
ber of case studies would be useful to 
assess  effective  co-ordination  1-
between  regional  and  national  levels, 
2-EU  MSs/EU  and  3-EEAS/EC-
EuropeAid. 

The  assessment  of  the  Evaluations 
has  provided  very  low  evidence  on 
CPA  contribution  to  Migration  issues. 
Further  research  combined  with  the 
identification  of  concrete  examples 
and consultations is recommended. 

EQ 3 

JC 3.1 

JC 3.2 

JC 3.3 

Peace and security 

Evidence of CPA contribution to sustainable improvements in 
peace  and  security  for  the  populations  of  the  ACP  countries 
and regions 

Evidence of CPA contribution to improvements in conflict pre-
vention and addressing their root causes by ACP countries 

Evidence  of  complementarity  and  synergy  between  CPA,  the 
common EU foreign and security policy and the policies of EU 
MS (co-ordination, complementarity and coherence – 3Cs) 

JC 3.4 

EU  interventions  provided  an  additional  value  in  comparison 
to bilateral interventions of EU MS 

EQ 4 

JC 4.1 

JC 4.2 

JC 4.3 

JC 4.4 

JC 4.5 

Migration 

The CPA contributed to the fair treatment of third country na-
tionals who reside legally on the territories of EU MS and ACP 
countries 

The  CPA  contributed  to  the  establishment  of  prevention  poli-
cies in the context of illegal immigration 

The CPA has contributed to the acceptation by MS of the EU 
and ACP countries of the return of and the readmission of any 
of their nationals who were illegally present on their respective 
territories 

Unintended  effects  have  played  a  minor/major  role  in  the  at-
tainment of the results 

EU  interventions  have  been  complementary  and  provided  an 
additional value in comparison to bilateral interventions of EU 

14 

24 

3 

4 

4 

6 

2 

2 

4 

 

 

 

 

 

 

 

 

 

 

 

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Judgement criteria 

MS 

173 

Number of 
evalua-
tions 

Level of evidence 

High 

Medi-
um 

Low 

Comments on possible additional 
data collection meth-
ods/Suggestions 

EQ 5 

JC 5.1 

JC 5.2 

JC 5.3 

JC 5.4 

Integration of ACP states into the world economy and their share in international trade 

The  CPA  contributed  to  the strengthening  of  regional  trade 
and integration frameworks  

The CPA has contributed to increased  ACP-EU trade and in-
vestment  flows,  including  key  infrastructure,  attractiveness  of 
FDI and promotion of PPPs in the ACP countries 

The  CPA  contributed  to  the  conclusion  of  WTO-compatible 
Economic Partnership Programmes 

Unintended  effects  have  played  a  minor/major  role  in  the  at-
tainment of the results 

17 

33 

26 

3 

 

 

 

 

EQ 6 

EU-ACP international economic and trade co-operation 

JC 6.1 

The CPA has helped in the mutual understanding of trade is-
sues  between  ACP  countries  and  EU  and  the  identification 
and implementation of common interests in international fora 

JC 6.2 

The  CPA  contributed  to  the  improved  capacity  of  ACP  coun-
tries to negotiate and monitor international agreements 

EQ 7 

JC 7.1 

JC 7.2 

Macroeconomic reforms, private sector and investment 

The CPA contributed to disciplined and transparent fiscal and 
monetary  policies  in  ACP  countries,  including  control  of  Par-
liaments and CSOs 

The CPA contributed to the provision of timely responses, at a 
reasonable cost, to the challenges faced by the private sector 
in  ACP  countries,  including  removal  of  obstacles  and  access 
of formal and informal SMEs to innovative and effective finan-
cial and economic services 

4 

 

 

11 

 

 

21 

 

50 

 

 

JC 7.3 

The CPA contributed to strengthening the agricultural and ru-
ral  development  policies  with  a  view  to  enhance  inclusive 

47 

 

EQ 5 and EQ 6 are interlinked.  
Trade  Related  Assistance  has  provid-
ed a big contribution in terms of trade 
policy  analysis,  including  diagnostic 
studies,  support  to  trade  strategies 
and  capacity  development.  Trade-
related  issues  are  considered  at  both 
sectoral and geographic level and thus 
evidence is high. Analysis of effective-
ness of CPA contribution to coordinat-
ed/harmonised  support would be  use-
ful  mainly  through  the  selection  of 
case  studies.  Analysis  could  be  fo-
cused  on  effective  co-ordination  of  1- 
regional/national  support;  2-  between 
the 
(inter-
regional  negotiations)  and  3-EU/EU 
MSs. 

regional  organisations 

on 

Overall,  there  is  a  high  level  of  evi-
macroeconomic 
dence 
institutional 
growth/stabilisation  and 
reforms  and  policies  at  national  level. 
Information  on  regional  support 
is 
however 
less  available  and  more 
fragmented. The analysis could be fur-
ther  enriched  via  consultation  (e.g. 
questionnaire  to  EUDs  and  relevant 
services  in  EC/EuropeAid  at  central 

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JC 7.4 

JC 7.5 

JC 7.6 

JC 7.7 

JC 7.8 

EQ 8 

JC 8.1 

JC 8.2 

JC 8.3 

JC 8.4 

JC 8.5 

Judgement criteria 

growth and food security 

The CPA contributed to establish of a democratic and efficient 
governance  framework,  including  modernised  PA,  independ-
ent and effective justice 

The CPA contributed to private sector and civil society organi-
sations  having  a  meaningful  impact  on  preparation  and  im-
plementation  of  policies  related  to  economic  growth  and  pri-
vate sector development 

 The  CPA  contributed  to  strengthen  the  role  of  regional,  sub-
regional and continental  organisation to support development 
standards and opportunities 

Unintended  effects  have  played  a  minor/major  role  in  the  at-
tainment of the results 

EU  interventions  have  been  complementary  and  provided  an 
additional value in comparison to bilateral interventions of EU 
MS 

Social infrastructure and services 

The  CPA  contributed  to  the  increase  in  availability  of  health 
and education services 

The  CPA  contributed  to  the  increase  equitable  access  to 
health and education services 

The  CPA  contributed  to  the  establishment  of  effective  quality 
assurance systems  

The CPA contributed to the integration of population issues in 
development strategies and policies 

The CPA contributed to private sector and civil society organi-
sations  having  a  meaningful  impact  on  preparation  and  im-
plementation  of  policies  related  to  social  infrastructures  and 
services 

JC 8.6 

Unintended  effects  have  played  a  minor/major  role  in  the  at-

174 

Number of 
evalua-
tions 

Level of evidence 

High 

Medi-
um 

Low 

Comments on possible additional 
data collection meth-
ods/Suggestions 

level  as  well  as  semi-structured  inter-
views to NAOs) in order to confirm the 
revealed  findings  and  identify  particu-
lar experiences to be disseminated. A 
selection  of  case  studies  could  com-
bine  country  and  regional  dimensions 
and different implementing partners. 

As for EQ 7, evidence on CPA contri-
bution  to  enhance  the  access  to  edu-
cation and health services is high. The 
analysis  could  be  further  enriched  via 
to 
consultation 
EUDs  and 
in 
EC/EuropeAid  at  central  level  as  well 
as  semi-structured  interviews  to  NA-
Os)  in  order  to  confirm  the  revealed 
findings  and  identify  particular  experi-
ences to be disseminated.  

(e.g.  questionnaire 
relevant  services 

33 

 

7 

14 

5 

7 

47 

60 

8 

5 

6 

2 

 

 

 

 

 

 

 

 

 

 

 

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Final report – March 2016 – Particip GmbH 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Judgement criteria 

tainment of the results 

EU  interventions  have  been  complementary  and  provided  an 
additional value in comparison to bilateral interventions of EU 
MS 

Cross-cutting issues 

The CPA contributed to the integration of an effective gender 
sensitive approach at every level of development co-operation 

The CPA contributed to the effective fight against HIV/AIDS  

The  CPA  contributed  to  the  mainstreaming  of  environmental 
sustainability into all aspects of development co-operation and 
support  programmes  and  projects  implemented  by  various 
actors 

The  CPA  contributed  to  the  strengthening  of  policies  and  im-
plementation of support programmes to mitigate and adapt to 
the consequences of, and the threat posed by, climate change 

The CPA contributed to private sector and civil society organi-
sations  having  a  meaningful  impact  on  preparation  and  im-
plementation of policies related to the cross-cutting issues 

Unintended  effects  have  played  a  minor/major  role  in  the  at-
tainment of the results 

EU  interventions  have  been  complementary  and  provided  an 
additional value in comparison to bilateral interventions of EU 
MS 

JC 8.7 

EQ 9 

JC 9.1 

JC 9.2 

JC 9.3 

JC 9.4 

JC 9.5 

JC 9.6 

JC 9.7 

175 

Number of 
evalua-
tions 

Level of evidence 

High 

Medi-
um 

Low 

Comments on possible additional 
data collection meth-
ods/Suggestions 

7 

50 

28 

44 

9 

4 

0 

6 

 

 

 

 

 

 

 

 

 

 

 

field  of  effective 

EQ 9 covers a wide-range of crosscut-
ting  issues.  Hence,  the  level  of  evi-
dence  is  mixed.  Thematic  evaluations 
provide  a  good  basis  of  analysis  and, 
to a lesser extent, specific information 
on  ACP  countries.  However,  it  is  pos-
sible  to  already  anticipate  some  im-
portant  trends  and  key  experiences 
that  could  be  further  analysed  though 
case  studies.  Regarding  information 
gaps, these are particularly present in 
fight  against 
the 
HIV/AIDS,  mainly  due  to  the  fact  that 
this  sub-sector  is  not  covered  by  the 
thematic  Evaluation  on  Health  and 
contributions  go  to  a  large  extent 
through the Global Fund. Again, anal-
ysis could be further enriched via con-
sultation  (e.g.  questionnaire  to  EUDs 
and relevant services in EC/EuropeAid 
at  central  level  (geographic  and  the-
matic units) as well as semi-structured 
interviews  to  NAOs  and  implementing 
partners)  in  order  to  confirm  the  re-
vealed  findings  and  identify  particular 
experiences to be disseminated. 

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Judgement criteria 

Number of 
evalua-
tions 

Level of evidence 

High 

Medi-
um 

Low 

Comments on possible additional 
data collection meth-
ods/Suggestions 

EQ 10 

Poverty reduction and the needs of most vulnerable groups 

JC 10.1 

The  CPA  contributed  to  the  overall  reduction  of  poverty  and 
addressed the needs of the most vulnerable groups 

JC 10.2 

The  CPA  contributed  to  economic  inclusive  growth  thereby 
reducing income poverty  

JC 10.3 

The CPA contributed to reducing food insecurity and vulnera-
bility to food crises 

JC 10.4 

The CPA contributed to increasing employment especially for 
the youth and effective social protection 

JC 10.5 

 The CPA has contributed  in tackling the roots of and reduce 
fragility 

JC 10.6 

EU  interventions  have  been  complementary  and  provided  an 
additional value in comparison to bilateral interventions of EU 
MS 

JC 10.7 

Unintended  effects  have  played  a  minor/major  role  in  the  at-
tainment of the results 

EQ 11 

Joint institutions 

JC 11.1 

An effective flow of information between the Parties 

59 

11 

58 

18 

12 

3 

1 

3 

 

 

 

 

 

 

 

 

 

 

EQ 10  is  a  challenging  question  in 
terms  of  analysis.  Poverty  reduction 
features  prominently  in  all  EU  policy 
strategies.  Hence,  there  is  wide  evi-
dence  on  the  poverty-related  princi-
ples and objectives in the Evaluations. 
However, measurement of poverty re-
duction  in  terms  of  outputs,  outcomes 
and  impact  becomes  a  more  difficult 
task. This is partly due to its long-term 
nature, but also to its intrinsic correla-
tion  with  economic  growth,  which 
tends  to  be  focused  on  specific  as-
pects 
to  macroeconomics, 
PFM  and  policies  conducive  to  eco-
nomic  growth.  Further  specific  analy-
sis would be useful, particularly to as-
sess  from  different  perspectives  (e.g. 
PFM  and  macroeconomic  indicators 
combined  with  governance  and  hu-
man  development  related  indicators) 
how poverty reduction has been effec-
tively  reduced. This  could be  done  on 
a  basis  of  a  selected  sample  of  case 
studies  including,  especially,  fragile 
states.  

related 

 

EQ 11  presents  very  low  level  of  evi-
dence. As suggested in the report, this 
dimension is of key importance to bet-

Review of the strategic evaluations managed by DEVCO 
Final report – March 2016 – Particip GmbH 

 
 
 
 
 
 
 
 
 
 
 
 
 
Judgement criteria 

JC 11.2 

Effective and efficient joint institutions 

JC 11.3 

Joint  institutions  contributed  to  increase  co-ordination,  com-
plementarity and coherence between the EU and its MS 

JC 11.4 

Added  value  of  the  joint  ACP-EU  institutions  as  compared  to 
regional  frameworks  for  dialogue  and  co-operation  within  the 
ACP regions 

JC 11.5 

Unintended effects of the functioning of the joint institutions 

EQ 12 

Mix of tools 

JC 12.1 

JC 12.2 

JC 12.3 

JC 12.4 

JC 12.5 

Instruments  (national/regional/intra  ACP)  effective  and  effi-
cient  

Approaches  (project  approach,  budget  support,  SWAp,  joint 
funding) effective and efficient 

Financing modalities (ACP government, private sector, NSA's, 
multilateral organisations and EU MS) effective and efficient 

Operations  of  the  investment  facility  were  effective  and  effi-
cient 

Additional financial support contributed to the mitigation of the 
adverse  effects  of  instability  of  export  earnings  and  the  safe-
guarding the development programme jeopardised by drops in 
revenue 

177 

Number of 
evalua-
tions 

Level of evidence 

High 

Medi-
um 

Low 

Comments on possible additional 
data collection meth-
ods/Suggestions 

6 

9 

2 

2 

20 

64 

30 

2 

2 

 

 

 

 

 

 

 

 

 

ter  understand how  implementation  of 
CPA  works  in  practice.  However,  the 
lack  of  information  prevents  from  pro-
posing  concluding  remarks.  The  func-
tioning  of  the  Joint  Institutions  is  con-
sidered to be rather an internal dimen-
sion  of  the  CPA  and  hence  its  as-
sessment  does  not  explicitly  falls  un-
der  the  scope  of  the  concrete  geo-
graphic  and/or  thematic  interventions. 
It  is  recommended  to  include  qualita-
tive  methods  of  data  collection  (e.g. 
semi-structured  interviews  with  rele-
vant stakeholders involved in the work 
of the Joint Institutions) in order to ob-
tain  a  deeper  analysis  of  the  different 
mechanisms  in  place  and  their  effec-
tiveness.  

A  high  level  of  evidence  has  been 
found  regarding  EU  “tools”  and  im-
plementation  mechanisms.  This 
is 
mainly due to the fact that, in line with 
the  aid  effectiveness  principles,  the 
assessment  of  the  appropriateness  of 
the EU support is a key factor to eval-
uate how ownership and sustainability 
are being ensured. However, it is also 
information 
important 
about the co-management system ex-
tracted  from  the  Evaluations  mainly 
relate  to  how  and  why  specific  imple-

to  note 

that 

Review of the strategic evaluations managed by DEVCO 
Final report – March 2016 – Particip GmbH 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
178 

Judgement criteria 

Number of 
evalua-
tions 

Level of evidence 

High 

Medi-
um 

Low 

Comments on possible additional 
data collection meth-
ods/Suggestions 

JC 12.6 

JC 12.7 

JC 12.8 

The  co-management  system  involving  national  authorities  in 
the  programming  and  management  of  aid  programmes  has 
been  efficient  and  added  value  compared  to  other  EU  co-
operation instruments in ACP and non-ACP countries 

Co-management  promoted  higher  ownership  by  the  partner 
Governments and increased sustainability of the actions 

Current system of resource allocation allows adequate funding 
to  be  channelled  to  countries  where  it  yields  the  highest  im-
pact 

JC 12.9 

The  legally  binding  characteristic  of  the  agreement  has  been 
(and still is) instrumental in reaching the results  

JC 12.10  Unintended  effects  of  the  different  "tools"  and 

the  co-

management system 

10 

19 

5 

0 

6 

 

 

 

 

 

mentation  modalities  (notably  budget 
support  and  sector  support  approach-
es)  have  been  put  in  place  as  a  tool 
conducive to ownership. Very low evi-
dence  has  been found  on the  specific 
ACP  co-management  system  and 
their  implications  at  national/regional 
level.  There  is  one  Evaluation  of  the 
EC  institutional  support to NAO  in the 
framework  of  the  CPA,  but  it  dates 
from  2002.  Similarly,  information  on 
the  legally  binding  nature  of  the  in-
strument  is  non-existent.  The  NAO 
Study  Mainstreaming  Capacity  Devel-
opment 
in  EU  aid  management 
(2013)92 could provide a good baseline 
for  further  research  on  this  specific 
dimension.  

92  Support  to  Quality  Monitoring  Systems  and  Methodologies  of  Projects  and  Programmes  of  External  Assistance  financed  by  the  European  Community  (SQ2M  Project) 
EuropeAid/127731/C/SER/Multi;  EVA/129719.  GFA-IDOM  Consortium.  The  study  was  based  on  two  separate  phases. The  first  phase  analysed  a  survey  conducted  in  September 
2012 which focused on Support Units to National Authorizing Officers of the European Development Fund (NAO SUs).  In a second phase, EuropeAid sought to provide a basis for 
recommendations and draw good practices. For such a purpose, a review of Action Fiches prepared for the programming Phase 2014/2020 was performed. In addition, 5 case studies 
were performed from June 2014 to January 2015 in Sierra Leone, Georgia, Honduras, Jamaica and Djibouti. Each drew on structured meetings based on a specific questionnaire de-
veloping EU’s 5 Quality Criteria for Technical Cooperation. The missions also served to formulate recommendations for the country NAO SU and to support the EU Delegation in the 
context of their support to the NAO system. 

Review of the strategic evaluations managed by DEVCO 
Final report – March 2016 – Particip GmbH 

 
 
 
 
 
 
 
 
 
 
 
                                                
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