Ref. Ares(2017)4669073 - 25/09/2017
Annex IV to the Agreement establishing the European Union Emergency Trust Fund for stability and addressing
root causes of irregular migration and displaced persons in Africa and its internal rules
Action fiche of the EU Trust Fund to be used for the decisions of the Operational
Committee
T05-EUTF-NOA-REG-03
1.
IDENTIFICATION
Title/Number
Technical Cooperation Facility (TCF): Formulation of programmes,
Implementation of the Monitoring and Evaluation Framework, and
Communication activities
Total cost
Total estimated cost: 5.200.000 EUR
Total amount drawn from the Trust Fund: 5.200.000 EUR
Aid
method
/ Component 1: Indirect management with an International Organisation
Method
of Component 2: Procurement of services
implementation
Component 3: Procurement of services
DAC-code
43010
Sector
2.
GROUNDS AND BACKGROUND
2.1. Summary of the Action and its objectives
This Action consists of a technical cooperation facility designed in three components. The
first component aims at supporting the European Commission services in the implementation
of a monitoring and evaluation framework specifically devised for the programmes
implemented under the EU Trust Fund North of Africa Window (EUTF NOA). The second
component aims at supporting the European Commission Services in formulating Actions to
be funded under the EUTF NOA as well as scaling up Results-Oriented Monitoring (ROM),
including third party monitoring in areas with limited humanitarian access. This particularly
in light of the recently approved Actions for Libya in the Southern border areas characterised
with limited humanitarian access. The third component focuses on strengthening
communication on migration-related activities at national, regional and cross-regional level.
The overall objective is to increase the effectiveness of the EUTF NOA on migration and
international protection by strengthening the formulation of Actions, monitoring and
evaluation of such Actions as well as improving communication and visibility on the results
achieved through the EUTF at national, regional and cross-window level. It is to be noted that
an overarching TCF for the EUTF for Africa is in place. Though due to the specific migration
related needs, it has been agreed that the EUTF NOA would have an additional TCF in order
to cover specific window needs for feasibility, monitoring, evaluation and communication.
The Action covers horizontally the five priority areas of intervention of the North of Africa
window of the EU Trust Fund, notably a) Migration Governance b) Promote mutually-
beneficial legal migration and mobility c) Ensuring protection for those in need, d) Tackle
irregular migration, and support sustainable return and reintegration policies and e) Improve
information and the protection of vulnerable migrants along the migratory route.
The Action has a regional coverage, comprising the five eligible countries under the EUTF
NOA.
The intervention logic is to provide specialised expertise to monitor and evaluate the impact
of the funded Actions both on the national policies as well as on the final beneficiaries.
Finally, building on capitalisation of knowledge, lessons learned and results achieved it will
strengthen the communication, raise the visibility of the EU and other donors of the EUTF as
well as disseminate to a wider public the results achieved against the EU strategic objectives
on migration. By increasing the effectiveness of programmes funded under the EUTF NOA,
the Action will indirectly contribute to improve the migrant conditions in the North of Africa
Countries.
2.2. Background
2.2.1.
Sector context: policies and challenges
The EU Emergency Trust Fund for stability and addressing the root causes of irregular
migration and displaced persons in Africa (EUTF) was officially launched at the Migration
Summit in La Valletta on the 12th of November 2015. The overall objective of the
Emergency Trust Fund for Africa is to address crises in the regions of the Sahel and Lake
Chad, the Horn of Africa and in parts of North Africa. The Trust Fund will support all aspects
of stability and contribute to better migration management, as well as address the root causes
of destabilisation, forced displacement and irregular migration, in particular by promoting
resilience, economic and equal opportunities, security and development, and addressing
human rights' abuses.
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The EUTF is one of the main instruments to implement the Valletta Action Plan (VAP),
which was adopted during La Valletta Summit and contains a comprehensive range of
migration-related Actions, and it complements other financial instruments available for
cooperation with African partners by the EU and its Member States.
In parallel with the adoption of the EUTF, at La Valletta Summit, African and European
leaders endorsed a strategic orientation document for the three windows of the EUTF (Sahel
and Lake Chad, Horn of Africa and North of Africa). The strategy of the North of Africa
window focuses mainly on objective 3 of the EUTF, namely 'improved migration
management in countries of origin, transit and destination', and it is articulated around 5
strategic sub-areas, as follows: i) migration governance; ii) advancing mutually-beneficial
legal migration and mobility; iii) ensuring protection for those in need; iv) tackling the drivers
of irregular migration, including voluntary return and reintegration; and v) improving
information and protection of vulnerable migrants along the migratory routes. Those strategic
orientations reflect priorities established by guiding policy frameworks, such as the European
Agenda on Migration and the reviewed European Neighbourhood Policy.
At the stocktaking meeting on the state of play of the implementation of the Valletta Action
Plan (VAP), held in Brussels on the 21st and the 22nd June 2016, the representatives of the
members of the steering committees of the Khartoum and Rabat Processes decided to adopt a
common methodology for the mapping, monitoring and reporting of the Actions of the VAP.
To this end, since the EUTF is a significant financial instrument implementing the VAP, the
Commission has already taken Actions to follow up on the recommendations of African
partners and EU Member States, regarding in particular the development of a solid monitoring
and evaluation framework to measure results and impact. A first simplified example of results'
matrix for the EUTF was already drafted upon the establishment of the EUTF and constitutes
a living document to be further elaborated and refined as the EUTF progresses in the
elaboration of its performance monitoring and evaluation system
1.
The reviewed European Neighbourhood Policy, in close partnership with neighbour
Countries, aims at setting up a more coherent and impact-oriented cooperation on issues of
common concern, including migration.
Moreover, the Court of Auditors carried out an audit on
the EU external migration spending
in Southern Mediterranean and Eastern Neighbourhood countries until 20142 which
identified a number of shortcomings in the implementation of assistance on migration.
In particular, the Court observed that it is difficult to measure the results achieved by EU
spending because of objectives covering a very broad thematic and geographical area and the
lack of quantitative and results oriented indicators.
On this basis, the Court formulated a set of recommendations stressing the
need to develop
clear and measurable objectives to be accomplished by a coherent set of EU instruments
supported by effective monitoring and evaluation, and by an appropriate information system.
Furthermore, the report stress that the
focus on clear and measurable objectives and
concrete deliverables should be at the core of new co-operation frameworks in the
1 http://ec.europa.eu/europeaid/eu-emergency-trust-fund-africa-results-framework_en
2 http://www.eca.europa.eu/Lists/ECADocuments/SR16_09/SR_MIGRATION_EN.pdf
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Neighbourhood and that an effective formulation of Actions tailored to the needs of the
targeted institutions and final beneficiaries along with the
set-up of a clear matrix of results
are of paramount importance to produce long lasting impact.
Finally, it is key to ensure a link between the objectives expressed in the policy framework on
migration and the cooperation assistance, so as to be able to assess whether programs and
other assistance tools contribute to the achievement of the strategic objectives.
Taking into account the afore mentioned recommendations and in line with the Art. 13 of the
Constitutive Agreement of the EUTF on Monitoring and Evaluation, the North of Africa
window of the EU Trust Fund intends to ensure a stronger adherence between the political
commitment and the technical cooperation through the set-up of a monitoring and evaluation
framework for the programmes adopted under the EU TF NOA as well as raise the visibility
and disseminate results achieved by those programmes.
As a first step for a strengthened Monitoring and Evaluation of the EUTF funded Actions, an
intervention logic for the North of Africa Window3 has been developed and approved by the
Operational Committee held on 16th December 2016.
The intervention logic combines through an operation-oriented approach, activities, outputs,
outcomes and impacts explicitly mentioned for the NOA in all relevant policy documents
such as the EUTF Strategic Orientation Document, 20154, the “European Neighbourhood
Policy (ENP) review5 as well as the Valletta Action Plan6. By doing so, it was possible to find
gaps, overlaps and inconsistencies within and between each priority Action. The final
intervention logic has been reshaped and objectives have been reformulated to be effectively
measurable. Following the approval of the Intervention Logic, Matrixes of Results for each of
the 5 strategic objectives of the NOA have been formulated, identifying a set of indicators,
both for intermediate and immediate outcome as well as for output, to help measure the
achievement of the strategic objectives, baselines, targets, data sources –when available – and
frequency of reporting. To achieve the NOA Strategic Objectives, a number of intermediate
outcomes are necessary and have been outlined within the intervention logic for each priority
Action. In the longer term, these will be triggered by initiatives implemented in the targeted
country. This however requires specific institutional capacities, which in many cases are not
available yet, as well as political willingness.
Results oriented monitoring will be used as a standardized approach for reporting on the
implementation of all the indicators against the set objectives as reflected in the log frames at
project level, harmonized and aligned with the overarching results framework. Results
oriented monitoring will be planned for each Action adopted by the Operational Committee
besides regular monitoring being conducted the EU Delegation and implementing partner. In
areas with limited humanitarian access, the Action allows for the (sub) contracting of third
parties to conduct external monitoring. The Action will be also used for formulation of
Actions and evaluations as need arise. The proposed Action on technical cooperation recasts
activities on monitoring, evaluation, communication and visibility of Actions adopted in the
3 https://ec.europa.eu/europeaid/regions/africa/eu-emergency-trust-fund/north-africa_en
4 https://ec.europa.eu/europeaid/eu-emergency-trust-fund-strategic-orientation-document_en
5 https://ec.europa.eu/neighbourhood-enlargement/tenders/consultation_en_en
6 www.consilium.europa.eu/en/meetings/international-summit/.../Action_plan_en_pdf/
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December and June 2016 Operational Committees.
Finally, a clear need has been identified in strengthening visibility and communication of the
EUTF at national, regional and cross-window level. While Implementing Partners will be
tasked with communication and visibility activities for the single programmes implemented,
the Component will focus on how the EUTF NOA is contributing to tackle the priorities at
national, regional and cross-window level.
2.3. Complementary Actions
In line with the need to ensure a prompt reporting on progress achieved through the
programme adopted under the EUTF as stressed by both EU MS and Partner Countries, the
three windows of the EUTF have identified a common platform managed by a Dutch NGO
AKVO that has made available one of its tools for reporting and monitoring the programmes
implemented under the EUTF in the three targeted regions.
Akvo7 is a non-profit foundation that creates open source, internet and mobile software and
sensors. Indeed, the
Akvo Really Simple Reporting (RSR) aims at coordinating activities,
monitoring and sharing their results in compliance with International Aid Transparency
Initiative (IATI)8.
Akvo made available to the three windows of the EU TF a web-based system that allows EU
TF to collect, update and store detailed programme and project information and helps to
monitor, report and communicate on the funded activities. The RSR platform facilitates
working with result- and indicator frameworks to keep track of programmes and projects
performance and thereby assist the EUTF and implementing partners in decision-making.
This means that for every programme or project of the EUTF there is room to define outcome,
results, and indicators, baselines, thus allowing defining programme and project hierarchies
and aggregating results per region (eg. North of Africa), or per sector (eg. Protection).
The Result Oriented Monitoring (ROM) will continue being used as a tool for monitoring the
project in a specific moment and provide recommendations to improve performances.
The DG NEAR guidelines on linking planning/programming monitoring and evaluation
issued in 2016 represents the reference document used to put in place a M&E framework of
the EUTF NOA.
Finally, it is worth to mention that following the stock tacking meeting of La Valletta Action
Plan held on 21st and 22nd June 2017, EU Ms and Partner Countries stressed the importance of
devising a monitoring tool for all the Actions that have been launched following La Valletta
Summit held in November 2015. A mock-up version of the tool was presented at the Valletta
SOM in February 2017 and is being developed by ICMPD.
The Monitoring and Evaluation Framework of the EUTF NOA has been conceptualised to be
consistent with the broader exercise launched under the framework of La Valletta Summit.
7 http://www.akvo.org
8 http://iatistandard.org/
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The proposed communication and visibility Actions will be complementary to the
communication strategy 2017-2018 adopted for the EU Trust Fund for Africa as a whole. It
will cover communication on migration-related bilateral, regional and cross-regional
programmes, increasing awareness both in the affected regions and in the EU. .
2.4. Donor co-ordination
By strengthening the monitoring function of the EU TF funded Actions and through the use of
a monitoring and reporting tool open to the public, the Action will contribute to increase
awareness on the results achieved against strategic objectives and foster a donor coordination
at all stages (be it in its contribution to key stages of the project management cycle of Actions
to be presented to the Operational committee). It will also raise the EU and MS profile in
funding Actions to address the root causes of irregular migration and forced displacement in
Africa, with specific regards to the North of Africa Window.
3.
DETAILED DESCRIPTION
3.1. Objectives
The
overall objective is to increase the effectiveness of the EUTF NOA on migration and
international protection by strengthening the formulation of Actions, monitoring and
evaluation of such Actions as well as improving communication and visibility on the results
achieved through the EUTF at national, regional and cross-window level.
The
specific objectives are:
SO1: to implement a coherent, measurable and impact-oriented cooperation framework for
the EUTF NOA.
SO2: to provide technical assistance on formulation of Actions, requiring ad hoc technical
expertise, and strengthen the use of standard tools, in particular the Result Oriented
Monitoring (ROM) for the Actions funded under the NOA.
SO3: to reinforce communication and raise the visibility of ongoing programmes and their
contribution to tackle the migration challenges at country, regional and cross-regional
level.
3.2. Expected results and main activities
3.2.1: Actions implemented under the EUTF NOA are effectively monitored in line with the
ad-hoc Monitoring and Evaluation Framework of the NOA and results are timely reported
against the strategic objectives of the EUTF NOA.
List of indicative activities:
Review of Description of Actions and related logical frameworks to ensure their
compatibility with the M&E framework;
Technical support for the selection of indicators and baselines for the programmes to
be implemented under the EU TF North of Africa Window;
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Support in systematic data collection for the aggregation of results at country and
regional level for each priority area of intervention of the EU TF North of Africa
window;
Technical support for the analysis of reports generated through the RSR platform used
by the three windows of the EU TF for Africa.
Provide guidelines for reporting at project level, tools and templates for data collection
(especially when data does not exist) for the benefit of the Implementing Partners
Provide training and support to EU Services and the Implementing Partners upon
request;
Establish a register of relevant data collections as reference point for strategic and
context indicators. Such a register would cover relevant existing data sources
(statistics) for strategic and context indicators, specifying availability, accessibility and
quality (reliability, timeliness) as well as geographic-administrative coverage.
Annual analysis of monitoring data at all levels in line with the reporting formats
defined.
Analysis of qualitative data provided at outcome level. It is assumed that sometimes it
will not be possible to obtain data for indicators at outcome level. In these cases, it
will be possible to enter short narrative information into the database, which has to be
analyzed separately.
Regular reporting for both EU delegations as well as DG NEAR Headquarters.
Facilitation of External evaluations through advise on and review of ToR for external
evaluations. The quality of evaluations depends to a large extent on the ToR, i.e.
evaluation questions, framing of the evaluation, etc.
The other two windows of the EU TF are proceeding with a similar exercise to set up an
M&E Framework, coordination is ensured through bi-weekly meetings. AKVO RSR platform
will be fed with data and indicators at project level identified thanks to the Monitoring and
Evaluation Framework specifically developed for the North of Africa.
3.2.2: Trust fund interventions under the North of Africa Window are identified, formulated,
monitored and evaluated as appropriate.
List of indicative activities:
Feasibility studies are conducted at country, regional or cross-regional level when ad
hoc high technical expertise is required;
Periodical field monitoring missions, in line with the Results Oriented Monitoring
methodology, are organised for EUTF NOA, including the coverage of areas with
limited humanitarian access.;
A number of specific impact assessments (evaluation) are conducted at programme,
sector and/or country level.
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3.2.3: Communication strategy on ongoing programmes is in place and results disseminated.
List of indicative activities:
Develop a migration-related communication strategy in complementarity with the
Communication strategy for the EUTF for Africa;
Implement communication and visibility actions at country, regional and cross-
regional level (in coordination with possible communication activities undertaken by
implementing partners);
Provide training and support to EU Services, at HQ and EUDs upon request;
Share good practices and lessons learnt at national and regional level;
3.3. Risks and assumptions
Contextual risks
The governance context and the political settlement in some of the eligible countries can be
considered a key driver of displacement, migration and violent conflict. It is important to
underline that substantial progress needs to be made towards a more inclusive politics to
address the underlying drivers of migration and conflict.
There are a number of programmatic risks resulting from conflict and governance contexts.
Those will be mitigated by taking a conflict sensitive approach to monitoring and evaluating
Actions funded through the EUTF. This involves minimising the unintended consequences of
the development intervention on conflict i.e. ‘avoiding harm’ and maximising development’s
contribution to peace and stability.
Operational risks
Risks related to regional instability must be taken into account for the safety and security of
staff, and the consequences these may have on the monitoring missions deployed under this
Action. These risks will be mitigated through an effective and continuous monitoring of the
situation and through the use of implementing partners that are already operational in the
region.
Operational risks are mainly related to the quality of the technical cooperation provided under
this Action. These will be mitigated by the quality assurance to which each the Action will be
subject.
Other mitigating measures have been considered, including a strong supervision by the
European Commission services and coordination with relevant institutional stakeholders that
will ensure that the Actions are effectively monitored and evaluated and results achieved
widely reported and communicated.
The
assumptions for the success of the Action and its implementation include:
The Action is feasible and regional context allows the implementation of the
Monitoring and Evaluation Framework as well as the Communication and Visibility
strategies.
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Expertise mobilized meets the quality standards of the M&E and Result Oriented
Monitoring.
The Action is implemented through an inclusive approach with all relevant
stakeholders (national institutions, EUDs, etc.).
Relevant stakeholders – including implementing partners - make information available
for a proper implementation of the Action.
Complementarity is ensured through a smooth coordination with other donors and
other ongoing EU initiatives.
3.4. Cross-cutting issues
The Action is cross-cutting and will contribute to the achievements of the strategic objectives
of the EUTF NOA. The technical cooperation made available under this Action will include
the rights-based approach and the gender perspective. In particular, in line with the Gender
Action Plan 2016 – 2020 (GAP), the gender perspective will be included in the Action.
3.5. Stakeholders
Stakeholders will include members of the Operational Committee for the North of Africa
Window of the EU Trust Fund, EU Services at HQ and Country level working on formulation
and supervision of Actions adopted under the EUTF NOA, national and local institutions and
decision makers, civil society organisations, other donors and implementing partners of the
EUTF.
4.
IMPLEMENTATION ISSUES
4.1. Financing agreement, if relevant
It is not foreseen to conclude a Financing Agreement with the partner country.
4.2. Indicative operational implementation period
The implementation period will be 36 months.
4.3. Implementation components and modules
The Action entails different implementation modalities.
The Component 1 will be implemented through indirect management with ICMPD which is an
international organisation with an outstanding experience on migration. The choice of ICMPD
and of indirect management is justified on the following elements: ICMPD is also in charge of
developing a monitoring tool for the Actions implemented under the framework of La Valletta
Action Plan and therefore the use of the same methodology will ensure consistency and avoid
duplications; the need to have a M&E framework up and running as of the second semester of
2017.
The Component 2 will be implemented through Procurement of services.
The Component 3 will be implemented through Procurement of services.
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4.4. Indicative budget
Component
Amount in EUR
Component 1
2 200 000
Component 2
2 000 000
Component 3
1 000 000
Total
5 200 000
The progress of the Action will be monitored through regular reporting to the operational
committee.
4.5. Monitoring and Evaluation
If necessary, ad hoc audits or expenditure verification assignments could be contracted by the
European Commission for one or several contracts or agreements.
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