EUROPEAN COURT OF AUDITORS

THE EFFECTIVENESS OF THE COMMISSION’S PROJECTS IN THE AREA OF JUSTICE AND HOME AFFAIRS FOR THE WESTERN BALKANS

EN

Special Report No 12

2009

ISSN 1831 0834

special report

no 12

2009

the effectiveness of the commission's projects in the area of justice and home affairs for the western balkans
(pursuant to article 248(4), second subparagraph, ec)

european court of auditors

european court of auditors 12, rue alcide de Gasperi 1615 luxembourg luXembourG tel. +352 4398-45410 fax +352 4398-46410 e-mail: euraud@eca.europa.eu internet: http://www.eca.europa.eu

special report

no 12

2009

a great deal of additional information on the european union is available on the internet. it can be accessed through the europa server (http://europa.eu). cataloguing data can be found at the end of this publication. luxembourg: publications office of the european union, 2009 isbn 978-92-9207-454-8 doi:10.2865/80334 © european communities, 2009 reproduction is authorised provided the source is acknowledged. Printed in Luxembourg

contents

3

Paragraph

ABBREVIATIONS
I–V

EXECUTIVE SUMMARY INTRODUCTION AUDIT SCOPE AND APPROACH OBSERVATIONS
EU INVESTMENT SUPPORT MOSTLY SUCCESSFUL BUT SUSTAINABILITY AT RISK real need for investments due to eu standards and dilapidated infrastructure miXed results for a major cateGorY of investment projects: border manaGement and securitY aliGnment of eu and national priorities a necessarY pre-condition for success impact and sustainabilitY of investment projects at risk investments not matched with necessarY institutional capacities SIGNIFICANT INSTITUTION-BUILDING NEEDS BUT ONLY LIMITED CHANGE RESULTING FROM EU SPENDING chanGe manaGement and institution-buildinG limited and poorlY measured sustainabilitY of institution-buildinG compromised because of chanGes in keY staff and corruption traininG — more outputs than results local ownership a keY success factor improvinG the rule of law MANAGEMENT APPROACHES AND DONOR COORDINATION no siGnificant difference bet ween manaGement approaches beneficiarY-led donor coordination not enhanced

1–5

6–10

11–55 11–28 12–15 16–19 20–23 24–26 27–28 29–49 30–35 36–39 40–45 46–49 50–55 51–52 53–55

56–58

CONCLUSIONS AND RECOMMENDATIONS
ANNEX I — CARDS JUSTICE AND HOME AFFAIRS PROJECTS AUDITED AND AN ASSESSMENT OF THEIR EFFECTIVENESS ANNEX II — AUDIT METHODOLOGY AND SAMPLE ANNEX III — TOTAL GRANT ASSISTANCE DURING 2006–08, 4 240 MILLION EURO BY SOURCE ANNEX IV — LEVEL OF PERCEIVED CORRUPTION — THE WESTERN BALKANS ANNEX V — THE COMMISSION'S MANAGEMENT STRUCTURE IN THE WESTERN BALKANS ANNEX VI — TOTAL GRANTS AND LOANS DURING 2006–08, 10 488 MILLION EURO BY SOURCE

REPLY OF THE COMMISSION

abbreviations

5

BiH: bosnia and herzegovina BiHCC: constitutional court of bih BCP: border crossing point CARDS: community assistance for reconstruction, development and stabilisation DG ELARG: directorate-General for enlargement EAR: european agency for reconstruction EBRD: european bank for reconstruction and development EC: european commission EIB: european investment bank EU: european union EUPOL-Proxima: european union police mission in the former Yugoslav republic of macedonia HQ: headquarters HRC: human rights commission IBM: integrated border management JHA: justice and home affairs PAMECA: police assistance mission of the european community to albania SAp: stabilisation and association process SR: special report of the european court of auditors UNSCR: united nations security council resolution WCC: war crimes chamber

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eXecutive summarY
the european union's strategic interest in the western balkans is to install democrac y, securit y and long-term stabilit y. the b a lk a ns have b een affec ted by insec ur it y and violence in the past. the political and economic environment is still fragile. the relevance of the justice and home affairs ( j h a) s e c to r i s t h e re fo re h i g h fo r t h e e u. th e i n cent ive o f eu memb ership h as con tributed to mak ing the eu the biggest and most influential external stakeholder in the region. between 2001 and 2006, the commission has spent almost 500 million euro on justice and home affairs projec ts in the western balkans. the aim of the com m issio n's assist ance was to align th e we s t e r n b a l k a n c o u n t r i e s w i t h e u s t a n d a rd s t h ro u g h a p p ro p r i ate a d m i n i s t rat i ve, j u d i c i a l and l aw enfo rcement st ruc tures.

I.

the cour t's audit covered both investment and institution-building projects i n t h e fo u r j u s t i c e a n d h o m e a f f a i r s s u b areas: asylum and migration, integrated border management, judiciar y and police. th e cour t foun d th at 1 : ( a) u n l i k e t h e p r e v i o u s a c c e s s i o n p r o grammes, the commission has prio r i t i s e d t h e j u s t i ce a n d h o m e af f a i r s sec tor and attempted to tack le important structural reforms earlier in the en largement process; (b) a g a i n s t t h e b a c k g ro u n d o f a d i f f i c u l t p o l i t i c a l a n d o r g a n i s a t i o n a l e nv i r o n m e nt, t h e co m m i s s i o n' s m a n a g e m e nt of justice and home affairs projects has been largely effective, although the cour t identified some shor tcomi n g s, p a r t i c u l a r l y i n te r m s o f t h e s u s tain abilit y of results; (c) t h e n e e d s a n a l y s e s w e r e s o m e t i m e s inadequate and there was a lack of don or coordin ation ;
1

III.

II.

the cour t's audit assessed to what exte nt : ( a ) n e eds in the j ustice and h ome affairs area had been proper ly identified and the projec ts were relevant to the ident i f ied needs, and ( b) t h e intended o ut p ut s had b een delivered and the expected results were a c h ieved and su st ainab l e.

the summary of findings on projects is in Graph 1.

GRAPH 1

S U M M A RY O F F I N D I N G S O N AU D I T E D P R O J E C T S
100 % 80 % 60 % 40 % 20 % 0% Needs: relevance Needs: assessment Results: achieved Results: sustainable Needs: relevance Needs: assessment Results: achieved Results: sustainable Unsatisfactory Partially satisfactory Satisfactory

Investments

Institution-building

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eXecutive summarY
( d ) a l t h o u g h n o t a l l i nv e s t m e n t p r o j e c t s achieved fully satisfac tor y results and the sustainability is at risk, the investment assistance financed by the commission made a relevant and use f u l co nt r ib u t io n to t he nat io nal in fras t ru c t ure and inst it u t io ns; (e) on the other hand the achievements of institution-building projects were only par tially satisfac tor y and unlikely to be sustainable. this was due to cont i n u e d p o l i t i c a l we a k n e s s a n d l a c k o f co m m i t m e nt ( ow n e r s h i p) by t h e b e n eficiaries, as most reform initiatives do not come from within the region but from the european commission or ot her ex ter nal st akeho l ders; (f ) t h e re wa s n o s i gn i f i c a nt d i f fe re n ce in the degree of success achieved in p rojec ts managed by the d elegations com p ared w it h t ho se manag e d by th e eu ro p ean ag enc y fo r r eco nstr uc tion . on the basis of these obser vations, the court makes recommendations which could help the commission to provide more efficient and effective assistance. th e p ro jec t resul t s co ul d b e imp roved if : ( a ) when designing the justice and home a f f a i r s p ro j e c t s, t h e co m m u n i t y s u p por t complied with annual programme objectives (for example the future joint border crossing points should b e gi ve n p r i o r i t y a s t h i s wo u l d fo s te r re gio nal co o p erat io n); (b) i n v e s t m e n t p r o j e c t s w e r e m a t c h e d more closely with institution-building proj ec ts; (c) all donors ac tive in the area, including the commission as the main donor, coo rd i n ate d b e t te r w i t h e a c h o t h e r ( fo r ex a m p l e o n e d o n o r co u l d f u n d o r co fund a project designed by another don or ) ; (d) t h e p r o c u r e m e n t p r o c e s s f o r e q u i p ment was reconsidered by the donor c o m m u n i t y. w h e r e v e r p o s s i b l e , j o i n t investment pools man aged by th e re cipient countries should be conside re d.

V.

pro j e c t s u s t a i n a b i l i t y co u l d b e i m p rove d if : ( a) b e n e f i c i a r y i n v o l v e m e n t w e r e i n creased; (b) n o p ro j e c t s we re l a u n c h e d w i t h o u t a mainten an ce plan ; (c) t h e c o m m i s s i o n m o n i t o r e d m o r e closely the distribution and evaluated the use of eu-funded equipment and in frastr uc ture; (d) t h e d e l i v e r y o f t e c h n i c a l a s s i s t a n c e was adequately complemented by ac tive encouragement for institutional ch an ge.

IV.

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introduction

1.

e n l a r g e m e n t s e r ve s t h e e u ' s s t r a t e g i c i n t e re s t s i n s t a b i l i t y, s e cur it y, and conflic t prevention. the present enlargement agenda covers the wester n balk ans, which have been given the prospec t of becoming eu members once they fulfil the necessar y condit i o ns.

2

cards is the acronym for

‘community assistance for reconstruction, development and stabilisation’ and covered the period 2000–06.
3

this represented around 10 % of

2.

the total cards budget. most of the

the audit of the justice and home affairs (jha) sector for the w e s t e r n b a l k a n s a d d r e s s e d a n a r e a o f h i g h p o l i t i c a l r e l e v a n c e. the jha sec tor is one of the most prominent areas of cooperation b e t we e n t h e eu ro p e a n u n i o n a n d we s te r n b a l k a n co u nt r i e s a n d can be categorised into four sub areas: asylum and migration, integrated border management, judiciar y and police. the value of justice and home affairs-related contrac ts under the commission programme for the wester n balk ans (c ards 2 ) amounts to around 470 mil l io n euro fro m 2001 to 2 0 0 6 3 .

cards spending took place during the first years of the programme, addressing the urgent post-conflict needs of the western balkan population.
4

concerning the latest

enlargement in 2007, bulgaria and romania have still progress to make in the justice and home affairs sector. the eu decided to

3.

establish a special cooperation and

pr ior to star ting the audit, the following pr incipal r isks to sound f i nancial manag ement were identified: ( a ) justice and home affairs projec ts are implemented in a fragile political and economic environment which means that the commission assistance might not achieve the intended polic y o b jec t ives and mig ht b e un sustain able. ( b) t h e r o l e o f t h e r e c i p i e n t c o u n t r y a n d f i n a l b e n e f i c i a r i e s i s of fundamental impor tance to the success of the projects because the commission's powers to strengthen the comp e t e n c e, p ro fe s s i o n a l i s m a n d i n d e p e n d e n c e o f j u s t i c e a n d h o me affairs inst it u t io ns are limited. (c) the community is under pressure to obtain high contracti n g r a t e s a n d t h e r e c i p i e n t s ' a n d b e n e f i c i a r i e s ' b u d g e t a r y, procedural and political constraints might therefore be disreg arded. this mig ht hamp er th e effec tiven ess of th e outputs, especially when aiming to improve administrative capaci t ies. ( d ) b a s e d o n p re v i o u s ex p e r i e n ce, co m p l i a n ce w i t h j u s t i ce a n d h o me affairs cr iter ia is o n e of th e most, if n ot th e most, difficu l t issues in enl arg eme nt 4 .

verification mechanism to help the newest member states to address outstanding shortcomings.

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4.

th e o b jec t ives o f t he co mmis sion's programmes were to: ( a ) reinforce the rule of law, human rights and relationships with civil so ciet y ; ( b) suppor t judicial reform and harmonisation of national legislat io n w it h eu requirement s; ( c ) refo r m t he p o l ice in g eneral, an d border police more spec ifical l y, and ensure p u b l ic order ; ( d ) f i g h t a g a i n s t c o r r u p t i o n , i l l e g a l m i g r a t i o n , o rg a n i s e d c r i m e and ter ro r ism; ( e ) facil it ate devel o p ment, t rade relation s an d traffic; ( f ) s t r e n g t h e n i n s t i t u t i o n a l a n d o p e r a t i o n a l c a p a c i t i e s , e . g. i n asylum and migration, visa and integrated border manage ment mat ters.

5

technical assistance is a resource

used in many development projects and programmes of different types and can be defined as ‘experts contracted for the transfer of know-how and skills and the creation and strengthening of institutions’. reference made to court's special report no 6/2007 on the effectiveness of technical assistance in the context of capacity development (oj c 312, 21.12.2007, p. 3).
6

launched in 1998 for accession

assistance, twinning provides the framework for administration and semi-public organisations in the recipient countries to work with their counterparts in member states.

5.

the community justice and home affairs assistance is imple mented by financing investments in infrastructure and equip m e n t o r t h r o u g h i n s t i t u t i o n - b u i l d i n g p r o j e c t s . i nv e s t m e n t s a r e either works or supply contracts. institution-building via technical a s s i s t a n ce 5 o r t w i n n i n g 6 e s t a b l i s h e s s t a n d a rd s a n d gro u n d r u l e s for public ser vice, e.g. laws and strategies with the necessar y t ra ining.

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audit scope and approach

6.

the european union helps the western balkan countries mainly through specific programmes and projec t assistance. the purpose of the cour t's audit was to assess the effectiveness of the european commission's (ec's) projects in the areas of justice and home affairs for the wester n balk ans. the audit wor k included a sample of 33 justice and home affairs projec ts, i.e. 30 national and three regional, over the 2001–05 annual programmes 7 . b oth t ypes of ass i s t a n c e, i . e. i nve s t m e n t s a n d i n s t i t u t i o n - b u i l d i n g, we re e q u a l l y re p re s e n t e d i n t h e s a m p l e. t h e l i s t o f a u d i t e d p ro j e c t s w i t h t h e results and the cour t's findings is given in A nnex I. d etails of the audit methodology and sample are given in A nnex II.

7

as provided in the cards

regulation, the annual programme, drawn up for each country receiving community assistance, contains a list of projects to be financed and specifies the relevant amounts. the management committee, composed of representatives of member states and chaired by the commission, gives its opinion on the annual appropriations.
8

the audit assessed the extent to

7.

which the justice and home affairs

the main objectives of the audit were to assess the extent to wh ich: ( a ) j ust ice and h o me affairs n eeds were proper ly identified an d t he p ro jec t s were rel evant to th e identified n eeds 8 , an d ( b) t h e i n t e n d e d o u t p u t s h a d b e e n d e l i ve re d a n d t h e e x p e c t e d resu l t s were achieved and sustain able 9 .

projects were justified in the light of the scope and specifications of the needs and whether alternative approaches had been considered and properly analysed. furthermore, it assessed whether the objectives were in line with priorities defined in commission, council and national strategy documents.

8.

9

the audit assessed the extent to

th e co m m i s s i o n u s e d t wo b a s i c m a n a g e m e nt a p p ro a c h e s i n t h e wester n balk ans: devolved and indirec t centralised management. in devolved management the commission's delegations in albania, bosnia and herzegovina and croatia are responsible for p ro jec t p rep arat io n, co nt rac t in g, an d fin an c ial an d tech n ical implementation. i n the indirec t centralised management approach, the european agenc y for r econstruc tion (ear) managed the pro gra m m e s i n t h e fo r m e r Yu g o s l av r e p u b l i c o f m a ce d o n i a , k o s ovo ( u nder unsc r 1244/99), m o nten egro an d s er bia until th e en d of 2 0 0 8 . th e co u r t e x a m i n e d w h e t h e r t h e re w a s a ny e v i d e n ce t h a t o n e management approach was more effec tive than the other as re g ards t he j u st ice and h o me affair s proj ec ts 1 0 .

which the beneficiary used given eu-funded assistance (for example equipment, infrastructure and training) effectively and whether the results of the projects were financially and operationally sustainable.
10

this additional component

of the audit was included at the request of the european parliament. reference was made to the european parliament resolution of 22 april 2008 with observations forming an integral part of the decision on discharge in respect of the implementation of the european union general budget for the financial year 2006, section iii — commission.

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9.

the european commission is financially the most significant donor i n t he wester n bal k ans. m o re th an h alf of th e grants given to th e re gio n co me fro m t he eu b u dget ( A nnex III) . i n th is contex t, th e a u d i t ex a m i n e d h ow t h e re c i p i e nt co u nt r y g ove r n m e nt h a d h a rve s ted t he b enefit s fro m do nor coordin ation .

10.

th e re p o r t i s s t r u c t u re d a cco rd i n g to t h e fo r m o f a s s i s t a n ce, i n vestment and institution-building projects and discusses their re l at ive st reng t hs and weak nesses. th e h or izontal issues of man agement approach and donor coordination are dealt with in a t h i rd sec tion.

MAP OF THE WESTERN BALKANS

S ource: european commission.

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observations

E U I N V E S T M E N T S U P P O R T M O S T LY S U C C E S S F U L B U T S U S TA I N A B I L I T Y AT R I S K

11.

th is sec t io n first deal s w it h t he relevan ce of investment proj ec ts a n d t he needs assessment s o n wh ich th e proj ec ts were based. i t goes on to present the findings on achievement of results and on t h e n e ce s s a r y a l i gn m e n t o f e u a n d n a t i o n a l p r i o r i t i e s, a n d t h e n c o n t i n u e s w i t h t h e i s s u e o f s u s t a i n a b i l i t y, d i v i d e d i n t wo p a r t s : on e o n t he imp o r t ance o f mainten an ce, an d on e on th e n eed for s u fficient inst it ut io nal cap acities for en sur in g sustain abilit y.

11

the emergence of six new

states from the break-up of the former Yugoslavia has created over 5 000 kilometres of new international borders in the region that have to be properly controlled.

R E A L N E E D F O R I N V E S T M E N T S D U E TO E U S TA N D A R D S A N D D I L A P I D AT E D I N F R A S T R U C T U R E

12.

because of years of underinvestment and changes in geopolitics 11 , t h e invest ment needs in t he wester n balk an s to br in g in frastr uc t u re up to eu st andards are sign ific ant an d in most cases are be yond the means of national budgets. the investment requirements re s ul t fro m t wo main fac to rs:

BOX 1

E X A M P L E S O F S T R AT E G I C A N D N O N - S T R AT E G I C I N V E S T M E N T S PROJECTS
Case 1: Project following strategic objectives albania's prison system is below international standards. prisons and pre-trial detention centres are heavily overcrowded. at the time of the audit albanian prisons were occupied by 3 049 inmates, although their capacity was 1 510 people. this means an overpopulation of 102 %. therefore, the construction of fushe kruja prison to accommodate 312 detainees could be considered a key and relevant priority. Case 2: Project not following annual programme in the former Yugoslav republic of macedonia, the approved asylum project documents allocated a budget of 2 million euro to institution-building activities such as drafting legislation, strategies and national action plans. this was not done. instead, a reception centre for asylum seekers was built.

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( a ) e u s t a n d a r d s f o r c o m p l e t e l y n e w i n s t i t u t i o n s 12 h a v e t o b e c o m p l i e d w i t h . fo r e x a m p l e, e u s t a n d a rd s re q u i re a p ro fe s sional border sur veillance ser vice. this is a challenge because unt il recent l y t he b o rders were main ly controlled by militar y co nscr ip t s 1 3 . i n addit io n, th e n ew border s sh ould be open to l egit imate movement s o f per son s an d goods but at th e same t ime b e secure and co nt rolled. ( b) dilapidated justice and home affairs infrastruc ture. the current infrastruc ture in the wester n balk ans is poor and inade quate. for example, when external evaluators 14 visited 38 cour t b u i l d i n g s i n a l b a n i a i n 2004–0 5 , t h e y c o u l d n o t u s u a l l y d i s tinguish judges from defendants or members of the public or prosecutors and cases were handled in cor r idors.

12

for example, in bosnia and

herzegovina the border police is the oldest of the state-level institutions but less than 10 years old in 2009.
13

for example, in serbia the army

was controlling the borders until 2007.
14

‘master plan for judicial

infrastructure’ — study carried out by external consultants between january 2004 and april 2005.
15

the court's special report

no 5/2007 on the commission's

13.

management of the cards

the audit identified that in around 70 % of cases justice and home affairs investment projects stayed within the broadly defined b o u n d a r i e s o f s t r a t e g i c o b j e c t i v e s 15, i . e . t o c r e a t e s t a b i l i t y a n d s e c u r i t y a n d to e n h a n ce a s s o c i a t i o n w i t h t h e e u. th e re m a i n i n g projec ts were not in line, or only par tly in line, with the objec tives i n t he annu al p ro gramme (B ox 1) .

programme (oj c 285, 27.11.2007, p. 1) concluded that the strategic guidance was very general. this was adequate for the reconstruction phase but not for the more challenging institution-building objectives.

14.

th e audit reveal ed t hat t he as sistan ce was tr iggered with out adequate feasibility studies defining the scope and specifications of t h e p ro j e c t s. pe r fo r m i n g s t u d i e s i s a d e m a n d i n g t a s k gi ve n t h at t h e b eneficiar y inst it u t io ns did n ot h ave soun dly for mulated n at i onal st rategies o r ac t io n p l a n s wh ic h would h ave set pr ior ities. o u t o f t h e 1 7 a u d i t e d i nve s t m e n t p ro j e c t s, t h e re we re o n l y t wo highly satisfac tor y studies describing beforehand the impor tance of t he sel ec ted p ro jec t (B ox 2).

BOX 2

E X A M P L E O F H I G H LY S AT I S FAC TO R Y N E E D S A N A LYS I S
the construction of the two courts of appeal in korça and vlora in albania were the two top priorities in the ‘master plan for judicial infrastructure’ study. the study analysed the situation and prospects of all district and appeal courts in albania. the master plan was well prepared and detailed.

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15.

wea k nesses at t he p l anning stage both by th e recipient countr y and, in some cases, the commission led to inefficient and ineffect i ve dist r ib u t io n and use o f eu -fun ded equipment ( B ox 3) .

16

the national integrated border

management strategy was adopted in albania in november 2006, in bosnia and herzegovina in july 2005, in the former Yugoslav republic of macedonia in october 2005, in montenegro in february 2006 and in serbia in january 2006.
17

MIXED RESULTS FOR A MA JOR C ATEGORY OF INVESTMENT P R O J E C T S : B O R D E R M A N AG E M E N T A N D S E C U R I T Y

16.

it should be noted that the eu

th e eu–wester n bal k an summit in th essalon ik i in jun e 2 0 0 3 emphasised that border insecurity is one of the real obstacles to the rule of law and constitutes a major priority for the union. the commission has been heavily involved in the sector of inte grate d b o rd e r m a n a g e m e nt , to w h i c h a m a j o r s h a re o f j u s t i ce and home affairs funding (37 %) has been committed. the sec tor has t wo components — border management and border secur it y. th e co u r t a u d i t e d e i g h t i n t e g r a t e d b o rd e r m a n a g e m e n t i nve s tment projec ts, including the construc tion of several border crossi n g p o int s. the resul t s o f t hes e investments were gen erally more s a t i s f a c to r y w h e n co m b i n e d w i t h i n s t i t u t i o n - b u i l d i n g m e a s u re s such as drafting national strategies for integrated border manage m e n t 1 6 . a n e f fe c t i ve b o rd e r m a n a g e m e n t s y s t e m re q u i re s a b a l a n ce b et ween o p en, b ut secu re border s 1 7 . this balance has been a c h ieved in s er b ia, fo r example ( B ox 4) .

acquis communautaire, the schengen standards or community custom code do not provide a universal, ‘one-size-fits-all’ model for border management. nevertheless, the standards do require the system to be effective and risk adjusted.

BOX 3

EXAMPLES OF INEFFICIENT AND INEFFECTIVE DISTRIBUTION AND USE OF EU-FUNDED EQUIPMENT
in the former Yugoslav republic of macedonia some of the eu-financed motorcycles provided in summer 2005 to the border police were hardly used for the first 18 months because the government did not provide the police with the necessary protective gear as agreed. some pieces of equipment were still missing in 2007. the government launched the complementary equipment tender in september 2008 and the contract should be signed during the first quarter of 2009. the opening of the asylum centre in the same country was also delayed by one year because the government failed to provide the necessary equipment. computers supplied to the albanian police were still in cardboard boxes eight months after the contract signature awaiting the decision of the authorities concerning the allocation of the computers to the final beneficiaries.

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PHOTO 1

Th e E U - f i n a n ce d B at rovc i b o rder crossing p oint o n t h e B el g rad e – z ag reb m otor way has led to sig nific ant re d u c t i o n s i n p a s s e n g e r wa i t i ng times.

S ource: european court of auditors.

BOX 4

EXAMPLE OF HOW THE USE OF MODERN EQUIPMENT S T R E N G T H E N S B O R D E R CO N T R O L S W H I L E PA S S E N G E R WA I T I N G TIMES ARE REDUCED
in serbia the new infrastructure and the equipment at the batrovci border crossing point made a difference compared to the past (Photo 1). thanks to the project, the throughput increased and waiting times were reduced. the waiting time for lorries has fallen from several hours to 30 minutes. passenger traffic waiting times during peak season have decreased from 12 hours to around 20 minutes. the border crossing point was also supplied with modern equipment so that the border guards could detect forged documents, even well forged ones. the ‘docubox’ was used 100 times a day on average and since putting it into operation the authorities have discovered almost one forged document a day.

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17.

modern border securit y is based on four elements: mobilit y, communication, intelligence and firepower. the commission's suppor t h a s covered al l o f t hese except ar ms. i n s h kodra, in alban ia, th e b o rd e r p o l i ce we re o bv i o u s l y b e t te r a b l e to p at ro l t h e n o r t h e r n land borders with their four-wheel dr ive vehicles than previously on foot. also the land border between the former Yugoslav repub lic of m acedonia and Greece and the sea border bet ween albania and italy are now better controlled than before (see Photos 2 a n d 3 ). the nu mb er o f at tempts for illegal border crossin gs from a n d i n t o t h e fo r m e r Yu g o s l a v r e p u b l i c o f m a c e d o n i a d e c re a s e d substantially from 2005, when the vehicles were delivered, to 2 0 0 8.

18.

a l t h o u g h t h e o ve r a l l p i c t u re re m a i n s r a t h e r p o s i t i ve s o m e we a knesses were identified in this area that relate not only to the lack of political will and legal means in the recipient countr ies (see paragraphs 36 to 39) but also to cer tain specific weak nesses in the commission's management (Box 5).

BOX 5

EXAMPLE OF A NON-IMPLEMENTED BORDER CROSSING POINT PROJECT
the Gorica border crossing point (bcp) in bosnia and herzegovina is located on the busy international road from mostar (bih) to split (croatia). the croatian authorities had already constructed a bcp of their own but the bosnian side lacked proper infrastructure. the commission signed a 3 million euro works contract without checking that the land expropriation process was complete. because of disputes over the valuation of the land, the project never started and the contract expired in december 2006 18. the consequence is that a ‘customs terminal’ on the bosnian side is being run by a private legal entity which withholds 70 % of fees for access to the customs terminal (amounting to approximately 20 euro per lorry). there is no plan for the government to take over this infrastructure.
18

as the commission could not honour the contract, the contractor filed a request for over 550 000 euro for losses and damages and an

amicable settlement procedure was ongoing at the time of the audit.

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19.

t h e b r e a k - u p o f t h e fo r m e r Yu g o s l a v i a c r e a t e d o v e r 5 0 0 0 k i l o metres of new international borders in the region. the most c o s t - e f fe c t i ve w ay t o c o n t ro l t h e s e b o rd e r s wo u l d h ave b e e n to co n s t r u c t j o i nt b o rd e r c ro s s i n g p o i nt s ( b c p ) . h owe ve r, t h e co m m i s sio n co nt in ues to finance th e bcp projec ts usin g n atio n al all o c at i o n s i n s te a d o f t h e re gi o n a l a l l o c at i o n . th i s a p p ro a c h d o e s n ot su p p o r t t he devel o p ment of region al cooperation .

PHOTO 2

Al l p roj ec t s excep t on e were aud ited o n the sp o t. Here a n E U - f i n an ced fou r - w h eel d r i ve vehicle is b eing checked by Cou r t s t af f i n G evg el i j a on the b o rd er o f the fo rmer Yu g o s l av R e p u b l i c o f M a ce d o nia facing G reece.

S ource: european court of auditors.

PHOTO 3

A res u l t of t h e s t ren g t h en ed sea b o rd er co ntro l in Albania: a co n f i s c ated s p eed b oat u s ed by o rg anised crime to smug g le p e o p l e i nto EU.

S ource: european court of auditors.

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A L I G N M E N T O F E U A N D N AT I O N A L P R I O R I T I E S A N E C E S S A R Y P R E - CO N D I T I O N F O R S U CC E S S

20.

r e fo r m s i n t h e j u s t i ce a n d h o m e af f a i r s s e c to r, w h e t h e r re l ate d to investment or institution-building, are a huge and complex u n d e r t a k i n g. h owe ve r, t h e n at i o n a l b u d g e t s d o n o t p rov i d e s u f ficient funding for justice and home affairs priorities, par ticularly i n t he eco no mical l y l ess developed wester n balk an countr ies 1 9 .

19

in the former Yugoslav republic of

macedonia, the academy for training judges and public prosecutors is partly financed from the state budget under a specific law. this ensures its educational independence. but 63 % of the total funding to the academy

21.

in 2008 came from international

e ve n t h o u g h t h e co m m i s s i o n i s t h e m a j o r d o n o r i n t h e we s t e r n b a l k ans, eu funds are no t enough to cover all investment n eeds. th e co mmissio n t herefo re usually fin an ced pilot proj ec ts, wh ich s h owe d t h e b e ne f ic i a r y t he ad va nt a ge s of u p - gra d e d i n fra s tr u cture. an example of this kind of assistance is the eu-financed ‘state - of-the -ar t ’ cour t house in vlora, which improved the transp a renc y o f ju st ice (B ox 6).

donors. a more balanced financial framework is needed to ensure the operational independence of the institution.

22.

the level of national funding varied considerably between the countries concerned. the audit identified a case where donor d e p e n d e n c e w a s n o l o n g e r a r e a l i t y. i n s e r b i a t h e c o s t s o f t h e e u - f u n d e d co u r t re n ovat i o n p ro j e c t s we re a p p rox i m ate l y 5 % o f t h e t o t a l s e r b i a n j u s t i c e a n d h o m e af f a i r s b u d g e t fo r t h e ye a r s b e t ween 2003 and 2007 (B ox 7) .

BOX 6

E X A M P L E O F A N I N V E S T M E N T E N F O R C I N G T H E R U L E O F L AW
Construction of the Court of Appeal in Vlora, Albania the commission invested 770 000 euro in the construction of the court of appeal in vlora, albania. the short-term result of the project was positive. in the new building the average number of cases judged during the first operational year (2007) more than doubled compared with the cases judged on the old premises. also for the first time, the court of appeal had proper courtrooms. this increased the transparency of the proceedings and improved the ‘reality of justice’ in general. however, at the time of the audit, there was no electricity from the national power grid and the annual budget for heavy oil for the generators had already been exhausted four months before the year end. for this reason, computers could not be used. this reduced the throughput of the cases and diminished the overall effectiveness of the investment.

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PHOTO 4

Th e n ew an d more s ec u re Cou r t o f App eal build ing in Vlo ra Al b an i a was f i n an ced by t h e Euro p ean U nio n. The wo rk s were co mp l eted i n 2 0 0 6 .

S ource: ec delegation in tirana.

BOX 7

E X A M P L E O F A S U F F I C I E N T N AT I O N A L B U D G E T CO M M I T M E N T
Renovation of the biggest court building in Serbia following the assassination of the serbian prime minister Zoran djindjic in march 2003, the authorities arrested a high number of suspected criminals. however, the serbian authorities lacked suitable facilities to enable them to try high-profile cases in a safe and dignified manner. the renovation work financed from the eu budget provided the belgrade district court with, for example, a modern courtroom. since the opening of the courtroom in june 2006, it was used for 35 trials in 2006 and 40 trials during 2007 — most of them related to high-level organised crime and war crimes. since then the serbian government has allocated considerable resources to reconstruction of court houses throughout the country.

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23.

when the eu and national priorities are not aligned, the result i s i n e f fe c t i ve a s s i s t a n c e. fo r e x a m p l e t h ro u g h t h e s t a b i l i s a t i o n a n d a s s o c i a t i o n ag r e e m e n t s ( s a a ) t h e c o m m i s s i o n o b l i g e s t h e wester n balk an countr ies to implement readmission provisions 20 . but the provisions have not been successfully applied because t h e recip ient co unt r ies have n ot reser ved sufficient fun ds in th e n a t i o n a l b u d g e t s . fo r e x a m p l e , i n a l b a n i a a l a c k o f s t a f f i n t h e b o rd e r a n d m i g r a t i o n d i re c t o r a t e o f t h e s t a t e p o l i c e p u t a t r i s k albania's ability to fulfil its obligations under the agreement. even when the commission financed the national strategy on migration and readmission for albania and highlighted the agreement's conditionalities dur ing the high-level committees meeting, progress wa s sl ow.

20

the western balkan countries and

the european union have signed a readmission agreement as part of the saa. this agreement provides for western balkan and eu member countries to accept the return of citizens who have illegally entered or illegally remained on the territory of any of the other countries, as well as to accept illegal migrants who are citizens of third countries or stateless individuals who have come to the territory of one of the countries through the territory of the other country. the agreement essentially obliges western balkan countries to share responsibility for eu security with the european union.

IMPAC T AND SUSTAINABILIT Y OF INVESTMENT PROJEC TS AT R I S K

24.

s i x o u t o f t h e 1 6 a u d i te d i nve s t m e nt s p ro j e c t s h a d p ro b l e m s a f fe c t i n g t h e i r s u s t a i n a b i l i t y. a l t h o u g h t h e c o u n t r i e s v i s i t e d h a d carried out some maintenance of the infrastructure and equip m e nt p u t in p l ace, t he l evel o f mainten an ce was n ot suffic ient to e n s u re t h e s u s t a i n a b i l i t y o f t h e i nve s t m e n t s. at t h e t i m e o f t h e audit the beneficiar y did not have to provide evidence of a proper m a intenance p l an and b u dg et pr ior to receivin g e u fun din g.

BOX 8

E X A M P L E O F I N F R A S T R U C T U R E P R O J E C T W I T H L AC K O F I M PAC T
the commission invested over 3 million euro to upgrade the border crossing point (bcp) in kamensko in bosnia and herzegovina to the level of a ‘first category’ bcp, i.e. all types of goods can enter and leave the country. however, since the completion of this eu project, the government has revised its decision and down-graded the status of kamensko bcp. because of this decision, several types of goods (e.g. petrol) can no longer be declared there. the traffic levels have decreased although the road is the most practical road for traffic from split in croatia to the centre-west and north of bosnia and herzegovina. the commission was not aware of this change.

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25.

the delegations were not always aware of the situation on the g ro u n d b e c a u s e t h e u s e o f i n f r a s t r u c t u re a n d e q u i p m e n t i s n o t monitored. therefore, the impac t and sustainability of investment p rojec t s co u l d no t b e assu red by th e commission ( B ox 8) .

21

the delegation's own four-wheel

drive vehicle is not serviced in tirana but driven to a neighbouring country.

26.

alt h o u g h t he p ro curement rules allow for th e in c lusion of af ters a l e s s e r v i c e s i n t h e p ro c u re m e n t p ro c e s s, t h i s p ro v i s i o n i s n o t sufficiently applied. in albania the delegation procured fourwh eel dr ive vehicl es fo r t he border police alth ough it k n ew th at t h e r e w o u l d b e p r o b l e m s i n m a i n t a i n i n g t h e e q u i p m e n t 21. t h e relevant beneficiar y institutions in charge of maintenance are also not systematically invited as voting members to tender evaluation co m m i t te e s n o r we re t h e y s u f f i c i e nt l y i nvo l ve d i n e a r l i e r s t a g e s i n t he tender ing p ro cedure.

I N V E S T M E N T S N OT M ATC H E D W I T H N E C E S S A R Y I N S T I T U T I O N A L C A PAC I T I E S

27.

i n m a ny c a s e s t h e s i t u at i o n i m p rove d o n t h e gro u n d b e c a u s e o f the eu assistance with equipment or infrastruc ture. however, the i nvestments on their own will not achieve the overall objec tives fo r a t a rg e t i n s t i t u t i o n . fo r e x a m p l e, i t i s n o t e n o u g h to b u i l d a modern border crossing point: the work ing practices of the border p olice have to chang e acco rdin gly.

28.

o t h er examp l es o f invest ments th at were n ot matc h ed with n ec e s sar y institutional capacities were the audited it projec ts. even when the equipment supplied was relevant to the work of the p o l i c e o r j u d i c i a r y a n d a d d re s s e d c u r re n t a n d f u t u re n e e d s, t h e p ro jec t s' p o tent ial effec t ivene ss could n ot yet be adequately exp l o ited b ecau se o f : (a ) t h e l o w n u m b e r o f b o r d e r p o l i c e s t a t i o n s a n d c o u r t b u i l d i n g s t h a t w e r e c o n n e c t e d t o t h e n e t w o r k s . fo r e x a m p l e , i n m ontenegro only three out of 26 border crossing points were interco nnec ted;

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( b) p ro j e c t s re l a t i n g t o p u b l i c a u t h o r i t i e s ' i n fo r m a t i o n s y s t e m s re q u i re a s o l i d l e g i s l a t i ve f r a m e wo r k a n d a d e q u a te s e c u r i t y policies if they are to be sustainable, as confidential data are exchanged. at the time of the audit, no countr y had a law on dat a p ro tec t io n w hich wa s fully align ed with th e commun it y acquis. in the case of bosnia and herzegovina, a data pro tection law had been enacted in 2006 but still needs to be u p dated to al ign w it h t he commun it y requirements; (c) none of the three it sof tware projec ts audited had written in struc tions for access controls. access control is a key process that controls and limits access to the resources of a computer system; it should be designed to protect against unauthorised ent r y o r use.

SIGNIFICANT INSTITUTION-BUILDING NEEDS B U T O N LY L I M I T E D C H A N G E R E S U LT I N G F R O M E U SPENDING

29.

this section first deals with reasons for limited achievements i n i n s t i t u t i o n - b u i l d i n g p ro j e c t s a n d t h e l a c k o f m e a s u re m e n t o f a c hievements. fac tors cr itical for sustainabilit y are presented in t h e n e x t s u b s e c t i o n s : s t a b i l i t y o f k e y s t a f f a n d a n e nv i r o n m e n t f re e o f c o r r u p t i o n , s p e c i f i c f a c to r s re l a t i n g to t r a i n i n g p ro j e c t s, a n d ow nership at t he l evel o f th e ben efic iar ies.

CHANGE MANAGEMENT AND INSTITUTION-BUILDING L I M I T E D A N D P O O R LY M E A S U R E D

30.

a justice and home affairs project can be said to be potentially effec tive if it addresses recognised needs and weak nesses, produces expec ted benefits, is suppor ted by a commitment to sustainability by the beneficiar y and is par t of a coordinated strategy to address i n s t it u t io n-b uil ding.

31.

th e re s u l t s o f t h e co m m i s s i o n' s p ro j e c t s i m p rove d t h e s i t u at i o n o f t h e b e n e f i c i a r i e s. th i s w a s m o s t e v i d e n t i n s u p p l y a n d wo r k s co nt ra c t s b u t t h e gre ate s t c h a l l e n g e re m a i n e d w i t h t h e s u s t a i n a b il it y o f inst it u t io n-b uil ding proj ec ts.

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32.

for cases where institution-building projects did not achieve their ob j ec t ives, t hree main reaso n s were identified by th e cour t: ( a ) administ rat ive inst ab il it y in th e region , e.g. sign ificant tur n over o f st aff af ter el ec t io ns; ( b) t raining del iver ing fewer results th an expec ted; ( c ) l ack o f co u nt r y ow nership of refor m.

22

the first step in the process of

decentralised implementation is the national accreditation of beneficiary authorities on the basis of capacity assessments. the next step is the conferral of management from the commission to the recipient country.

33.

th e a u d i t a l s o n o te d t h e o p p o s i te, i . e. w h e n t h e re i s s t a b i l i t y i n the civil ser vice, when training is well targeted and when the top management of the beneficiar y is committed to change, progress i s a c h i e ve d. fo r e x a m p l e, i n a l b a n i a t h e g ove r n m e nt i s co m m i t ted to finalising its de -mining effor ts, in b osnia and her zegovina the constitutional cour t solved the backlog of pending human r ights cases and the cour t in sremsk a m itrovica in s er bia became a mo del co u r t u sing case management sof t ware.

34.

th e co mmissio n int ro du ced fe w spec ific ac tivit y-based man age ment indicators in this area. in various activity statements the co m m i s s i o n n o t e s t h a t p ro g re s s i n t h e j u s t i ce, f re e d o m a n d s e c u r it y area in t he wester n bal k an s h as been made, as j udges an d prosecutors have received training and police and prosecutors have improved cooperation. however, it is not clear how the comm i ssio n measu res t he imp ac t of th ese ac tivities.

35.

th e co mmissio n u sed to measure th e success of its assistan ce by focusing solely on contracting and disbursement rates. in 2002 the commission star ted aiming for sustainable capacit y development o f i n s t i t u t i o n s, w h i c h i s m o re d i f f i c u l t t o m e a s u r e. t h e we s t e r n b a l k a n c o u n t r i e s a re p re p a r i n g fo r a d e ce n t r a l i s e d i m p l e m e n t a tion system of assistance, which is positive as the conferral of management indicates a sufficient level of management capacit y. h owever, t he co mmissio n has n ot yet fully integrated th e measu re ment o f cap acit y devel o p ment into th e accreditation process of t he b eneficiar y aut ho r it ies 2 2 .

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S U S TA I N A B I L I T Y O F I N S T I T U T I O N - B U I L D I N G CO M P R O M I S E D B E C AU S E O F C H A N G E S I N K E Y S TA F F A N D CO R R U P T I O N

36.

only two of the 15 institution-building projec ts achieved satisfac tor y su st ainab il it y. a co mmo n feature of th e in stitution -buildin g projec ts audited was the disruptive effec t of changes of beneficia r y p e r s o n n e l. th e p o s i t i ve re s u l t s o f i n s t i t u t i o n - b u i l d i n g t ra i n i n g p ro j e c t s we re a l m o s t a l w ays d i l u te d by s t a f f c h a n g e s i n k e y p osit io ns (B ox 9).

37.

the audit also noted a few positive examples of increased capacities. these have resulted in improvements at operational level (Box 10). despite the high staff turnover, the strategic objec tives, i . e. m a i nt a i n i n g s e c u r i t y a n d s t a b i l i t y a n d k e e p i n g p u b l i c o rd e r, were ensured. this was achieved only through continuous eu a s s ist ance.

BOX 9

U N S TA B L E S TA F F I N G S I T UAT I O N I N P U B L I C A D M I N I S T R AT I O N I N A L B A N I A A N D T H E F O R M E R Y U G O S L AV R E P U B L I C O F M AC E D O N I A
in albania, three out of the eight jha projects audited included training. there were some positive results but staff changes, for example in the migration area, continued to hinder capacity building and delayed decision-making. immediately after the parliamentary elections in 2005 in albania, all 20 persons in the regional employment offices dealing with migration issues were replaced. in the police of the former Yugoslav republic of macedonia, 30 key managerial positions were identified. twenty-eight of these positions were subject to staff changes within months of the elections in 2006, i.e. staff turnover of 93 %.

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38.

the audit noted inadequate cooperation between law enforcement a gencies affec t ing t he sust ainabilit y of proj ec ts. for example although the police sur veillance equipment and the fingerprint system were relevant to the bosnian police and should enable better detec tion rates in crime cases, it was not used to its fullest p otent ial du e to l ack o f p o l ice cooperation 2 3 .

23

it should be recognised that in

bosnia and herzegovina 13 different police forces exist, two at entity and 10 at cantonal level in addition to the autonomous police of brcko district.

39.

th e integr it y o f j ust ice and h ome affair s in stitution s can be bols t e re d b y f i g h t i n g c o r r u p t i o n . t h e re a re i n d i c a t i o n s t h a t t h i n g s h ave imp roved so mew hat in th e countr ies audited, alth ough th e progress is fragile. one possible overall indicator of the effec tive ness of eu spending is the cor ruption perception index issued by transparenc y i nternational. Annex IV shows how the rating (ranki n g and sco re) has imp roved s lightly sin ce th e year 2 0 0 4 .

BOX 10

E X A M P L E S O F E N H A N C E D O P E R AT I O N A L C A PAC I T Y
in the former Yugoslav republic of macedonia the ‘mountain storm’ operation in november 2007 was planned, executed and concluded by specialised police units. in this operation, a major arms cache, sufficient to equip 650 solders, was discovered, including anti-aircraft weaponry. it was found in the possession of what was initially described as an ‘organised crime group’ but was later labelled a terrorist cell. the operation was carried out without civilian casualties. according to the international observers interviewed by the court, an operation of this magnitude would have been impossible a couple of years ago. in july 2008, the mountain storm trial verdict sentenced 17 people to a total of 192 years' imprisonment. according to the judgement, the group's goal was to create insecurity among the citizens and jeopardise the constitutional order of the country. in albania the eu has helped the police to strengthen the authorities' law enforcement capacity since 1997. assistance to the police will continue until at least 2011.

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T R A I N I N G — M O R E O U T P U T S T H A N R E S U LT S

40.

a k ey el ement o f t he p ro cess of introducin g refor ms an d ch an ge is through the provision of training to civil ser vants (Box 11). this has been an impor tant commission pr ior it y. for example, all t h re e re gi o n a l p ro j e c t s 2 4 , w i t h a to t a l b u d g e t o f 1 0 m i l l i o n e u ro, involved training. the training outputs (seminars, wor kshops and c o n f e r e n c e s ) w e r e d e l i v e r e d s a t i s f a c t o r i l y, b u t t h e i m p a c t w a s li mited (B ox 11).

24

because of past conflicts, regional

cooperation has been a challenge in the western balkans. therefore the commission's regional programme focused on promoting relations between western balkan states. the eu has made it clear that regional cooperation is a prerequisite for progress towards accession. some

41.

10 % of the cards funding was

Getting civil ser vants from different western balkan countries a ro u n d t h e s a m e t ra i n i n g t a b l e i s o f co u r s e a wo r t hw h i l e a i m i n i t s el f, given t he recent histo r y of th e region . but th e specific ob jec tives of the commission's projec ts were more ambitious, e.g. to develop regional strategies in asylum, migration and visa matters b a s e d u p o n a s e t o f co m m o n l y a cce p te d e u te c h n i c a l s t a n d a rd s a n d p r incip l es.

directed to supporting this objective and the regional programme has always focused on the rule of law and justice and home affairs issues.

BOX 11

E X A M P L E S O F J U D I C I A L T R A I N I N G C E N T R E S ( J TC s )
the court audited two training institutes for the judiciary. the overall objective of the jtcs was the same, i.e. to become a fully fledged training institute in line with best european practices, offering high-quality and targeted training to judges, prosecutors, court staff and advocates. in the former Yugoslav republic of macedonia, the eu experts' advice was overlooked when establishing the institution. the ministry did not invite any of the international experts to participate in the draft jtc law, which was then heavily criticised by the donors because it was not compliant with european standards. furthermore, the curriculum for the initial training of 24 months was cut to 15 months, with a risk of reducing the impact of the training. in serbia, the training institute for judges lacked direction and a clear legal base. furthermore, the ‘training of trainers’ programme proposed the use of modern teaching methods, i.e. small training groups with a lot of interaction. in reality only ‘ex cathedra’ training was delivered.

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42.

i t i s i n h e re nt l y d i f f i c u l t to d e ve l o p co m m o n t a rg e t s fo r re gi o n a l training projec ts because of the differ ing stages of advancement wi t hin t he individu al co u nt r ie s. th e situation in croatia was usua l l y more advanced than in the other countr ies. the commission r ightly considered that the regional dimension had to be used to put the k nowledge of the most developed national system at the ser vice of the other recipient countries. however, the commission rarely measured how the training changed policies or working p rac t ices, desp ite t his b eing a good prac tical approach to align m e nt w it h eu st andards.

25

the commission has contracted

external monitors to assess the implementation of the projects.

43.

th e co m m i s s i o n d i d n o t e s t a b l i s h a ny s ys te m fo r m e a s u r i n g t h e regional judicial cooperation projec t's per for mance, not even afte r it was cr it icised by it s ow n mon itor s 2 5 . th e in dic ator s did n ot allow the measurement of the impac t as they were ac tivit y- driven a n d fo r m a l i s t i c r a t h e r t h a n e v a l u a t i ve, e. g. n u m b e r o f m e e t i n g s or co nferences. the o b jec t ives were also vague an d un c lear, e.g. to enhance regional dialogue or to facilitate operational cooperat i o n . at t a i n m e n t o f o b j e c t i ve s co u l d t h e re fo re n o t b e m e a s u re d b e cau se t hey were no t direc t ly lin ked to th e ac tivities.

44.

at the nat io nal l evel to o, t he commission's train in g proj ec ts did not fully meet their objec tives, because they were run without the commitment of the top management. two special training courses within the albanian police projec t (pameca ii) can be mentioned. ‘ s t r a t e g i c c o m m a n d c o u r s e s’ w e r e g i v e n t o 6 0 m i d d l e - r a n k i n g to senio r-rank ing o fficers. wh en th e train ed police man ager s re t u r n ed to imp l ement t he t heor y th ey faced resistan ce from th eir s u p er io rs. to t r y and remedy th e potential lac k of impac t, a ‘s en ior executive programme’ had therefore to be launched involving 3 4 o f t h e m o s t s e n i o r p o l i c e o f f i c e r s. a l t h o u g h t h e co m m i s s i o n c a n b e c o m p l i m e n t e d fo r t a k i n g t h i s co r re c t i ve a c t i o n , i t wo u l d h ave b een p referab l e to ensu re th e commitment of th e top man a g ement b efo re p resent ing t h e cour se to middle man agement.

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45.

learning-by- doing and on-the -spot training are effective ways of developing a modern and efficient administration. handing ove r a d m i n i s t rat i ve re s p o n s i b i l i t i e s c a n b e d o n e a s l o n g a s s t a f f turnover is not excessive (Box 12). twinning projects with member s t a t e s a n d g r a n t c o n t r a c t s w i t h i n t e r n a t i o n a l o r g a n i s a t i o n s a re u s e d m o re s i n ce t h e c a r d s p ro gra m m e wa s re o r i e nt ate d f ro m a re co nst ruc t io n- dr iven to a refor m- dr iven programme.

BOX 12

E X A M P L E S O F ‘ L E A R N I N G - BY - D O I N G’ P R O J E C T S I N B O S N I A A N D HERzEGOVINA
Case 1: Complete hand-over of responsibilities to the beneficiary — Human Rights Commission in 2004 the commission signed a grant contract with the constitutional court of bosnia and herzegovina (bihcc) to establish a special judicial body within bihcc, the human rights commission (hrc), in order to address a back-log of almost 9 000 human rights cases 26 . during the first year the human rights commission (hrc) resolved more than 3 000 cases. the hrc started operating with international staff, but since 2005 the hrc was composed of national staff only. during the project the national staff applied the european convention of human rights and other international instruments on a daily basis. the project succeeded because 9 out of the 10 key staff stayed with the constitutional court. in june 2007 all back-log cases had been resolved. according to the beneficiary, the project made a significant contribution to the awareness of human rights standards in bosnia and herzegovina. Case 2: Incomplete hand-over of responsibilities to the beneficiary — War Crimes Chamber the war crimes chamber (wcc) in bih is the first permanent and specialised state-level organ designed to deal with grave breaches of international humanitarian law and part of the international criminal tribunal for the former Yugoslavia's completion strategy 27 . the number of war crimes suspects in bosnia and herzegovina is estimated at several thousand. at the time of the audit the handover from international experts to national experts was delayed. the actual number of active trials exceeded the number forecast, which is positive, but the court's workload well exceeded its capacity. this situation was aggravated by the turnover of international judges.
26

there are four main types of human rights violation cases in bosnia and herzegovina: equality before the law, property rights, right to

work and receive education and missing persons (‘srebrenica cases’).
27

reference made to un security council resolution 1503.

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LO C A L O W N E R S H I P A K E Y S U CC E S S FAC TO R I N I M P R O V I N G T H E R U L E O F L AW

46.

one of the most common strategic objectives of the audited p ro j e c t s wa s to re i n fo rce t h e r u l e o f l aw i n t h e we s te r n b a l k a n s. the western european concept of rule of law is in essence the p r i n c i p l e t h a t n o o n e i s a b o v e t h e l a w. c e m e n t i n g t h e r u l e o f l aw i n t h e we s te r n b a l k a n s i s e s s e nt i a l fo r s t a b i l i t y a n d s e c u r i t y i n euro p e. d esp ite so me p ro gress, th e r ule of law in th e wester n b a lk ans is st il l weak (B ox 13).

47.

i n m a ny o f i t s p r o g r e s s r e p o r t s , t h e c o m m i s s i o n h a s e x p r e s s e d dissatisfac tion at the slow speed of reforms. the projec t approach adopted by the commission has its limitations. i t is not a ‘cure all r e m e d y ’. s u c c e s s i n t h e c o m m i s s i o n ' s j u s t i c e a n d h o m e a f f a i r s projec ts requires a change in attitudes of national authorities and continuity of government struc tures. these fac tors lay beyond the commission's direc t powers and their negative impac t, in par ticul a r o n inst it ut io n-b uil ding, sh ould n ot be un derestimated.

BOX 13

R U L E O F L AW CO N C E P T I N W E S T E R N B A L K A N S W E A K
the ‘rule of law’ is weak in the region and confidence in the government and institutions is low. the citizens distrust the legal system and they feel it benefits only certain status groups. when asked whether ‘some people are above the law in this country’, the percentage of positive responses in certain countries of the region was the following 28: montenegro: 69 %; serbia: 81 %; the former Yugoslav republic of macedonia: 85 %. it should be noted that those who feel most strongly that society is unfair and that people lack equality before the law are the most educated and the best politically informed.
28

see the research paper by alina mungui-pippidi: ‘deconstructing balkan particularism — the ambiguous social capital of south eastern

europe’, 2005..

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48.

however, the commission has lear nt the lesson of previous expe riences. compared with the commission's earlier pre -accession p ro g r a m m e ( p h a re ) , i m p o r t a n t s t r u c t u r a l re fo r m s i n j u s t i c e a n d home affairs are now tack led ear lier in the enlargement process.

29

reference made to delevic, milica

‘regional cooperation in the western balkans,’ eu-iss chaillot paper no 104, july 2007.

49.

u n t i l n o w m o s t re fo r m i n i t i a t i ve s d i d n o t c o m e f ro m w i t h i n t h e region but from the european commission and other external a g e n t s 2 9 . t h e re s u l t i n g l a c k o f o w n e r s h i p we a k e n s t h e p ro j e c t s ' l on g -ter m resul t s. the first ser ious in itiative with in th e region is t h e r egio nal co o p erat io n co un c il, wh ic h was laun ch ed in febr ua r y 2008, as t he successo r o f th e stabilit y pac t for s outh e aster n europe. the work of the cooperation council will focus on six p r i o r i t y a r e a s. o n e o f t h e m i s j u s t i c e a n d h o m e a f f a i r s . a l m o s t t wo decades af ter t he co l l ap s e of th e for mer sec ur it y an d stabilit y struc ture in s outh-easter n europe, this new institution, based in s arajevo, aspires to become the first regional forum of its k ind through a regionally owned and led framework that also suppor ts eu ro p ean integrat io n.

M A N AG E M E N T A P P R O AC H E S A N D D O N O R CO O R D I N AT I O N

50.

t h i s s e c t i o n p re s e n t s t h e re s u l t s o f t h e a u d i t o n t wo h o r i zo n t a l i s s ues, cover ing both t ypes of projec ts: the compar ison bet ween the two management approaches used by the commission and d on o r co o rdinat io n.

NO SIGNIFIC ANT DIFFERENCE BET WEEN MANAGEMENT A P P R O AC H E S

51.

i n t h e we s te r n b a l k a n s t h e co m m i s s i o n u s e d t wo b a s i c m a n a g e m e n t a p p r o a c h e s ( s e e A n n e x V ) , t h r o u g h t h e e u r o p e a n ag e n c y for reconstruc tion (ear) or through commission delegations. the cou r t anal ysed t he audit results obtain ed on proj ec ts in order to d e ter mine if there was evidence that one management approach wa s mo re effec t ive t han t he oth er.

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52.

out of the 30 justice and home affairs projects audited in the recipient countries, 18 were managed by the delegation, and 12 by the ear (see A nnex I). while the overall per for mance of the p ro j e c t s a u d i t e d w a s m i xe d, t h e re w a s n o s i gn i f i c a n t d i f fe re n ce in the degree of success achieved in projects managed by the delegations compared with those managed by the ear. one of t h e st reng t hs o f a devo l ved d elegation is th e close lin k bet ween policy dialogue and the annual programming process. on the o t h e r h a n d, t h e e a r ' s h e a d q u a r te r s co nt r i b u te d to t h e d i a l o g u e wi t h addit io nal exp er t ise fo r th e region as a wh ole.

B E N E F I C I A R Y - L E D D O N O R CO O R D I N AT I O N N OT ENHANCED

53.

th e co mmissio n has co mmit ted itself to play in g an ac tive role in fo s t e r i n g d o n o r c o o rd i n a t i o n i n t h e we s te r n b a l k a n s. d o n o r co o rd i n at i o n i s o n e o f t h e p r i n c i p l e s o f t h e 2 0 0 5 pa r i s d e c l a rat i o n o n ai d e f fe c t i ve n e s s a n d t h e e u co d e o f co n d u c t o n d i v i s i o n o f labour. the commission subscribes to these principles. the cour t found t hat it was difficu l t fo r th e commission to put don or coord i n at io n into p rac t ice o n t he groun d.

54.

j u st ice and h o me affairs co ns titute a sec tor wh ere th ere is comm o n do no r interest. the co mmission , th e inter n ation al fin an cial institutions, the member states and the non-eu donors are all a c t i ve i n t h e we s t e r n b a l k a n s ( A n n e x V I ) . th e p r i n c i p l e t h a t t h e recipient countr y should lead the donor coordination process c o u l d n o t b e a p p l i e d, b e c a u s e t h e re c i p i e n t c o u n t r i e s ' c a p a c i t y to o p erate was st il l weak . m o reover, th e ben eficiar ies did n ot re ce i ve s u f f i c i e nt s u p p o r t to e n h a n ce t h e i r c a p a c i t y to l e a d d o n o r coordination. even when the beneficiar y had a clear vision of how to i m p l e m e nt t h e i r p re fe r re d s o l u t i o n , t h e y we re f a ce d w i t h u n coordinated do no r ac t ivit ies ( B ox 14) .

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55.

the lack of donor coordination was not limited to investment p r o j e c t s o n l y. i n i n s t i t u t i o n - b u i l d i n g c a s e s t h e b e n e f i c i a r y w a s confused by recommendations given by different eu operators. an over load of advice with mixed messages was most obvious in the for mer Yugoslav r epublic of m acedonia. i n 2004–05 five separate eu entities (the ec delegation, ear, eu special representative, eupol-proxima and eu monitoring mission) were active in the area of police development. additionally, the organization for security a n d co - o p erat io n in eu ro p e, i nter n ation al cr imin al i nvestigative tr a i n i n g a s s i s t a n c e pro g r a m m e ( a p o l i c e p ro j e c t f u n d e d b y t h e usa) and a number of eu member state bilateral programmes were op e rat ing simul t aneo u sl y. the problem was especially damagin g wh ere advice was o f a co nt radic tor y n ature.

BOX 14

E X A M P L E O F U N CO O R D I N AT E D M U LT I - D O N O R I N V E S T M E N T AC T I V I T Y
one aid harmonisation principle deals with aid alignment and untied aid. however, because of uncoordinated multi-donor activities, where each donor gave cars, lorries and vans originating from their country, the police of the former Yugoslav republic of macedonia uses over 40 types of vehicle. this makes it impossible to run the fleet cost-effectively. the police aims to use only 12 types of vehicle in the future.

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conclusions and recommendations
56.
th e i n c e n t i ve o f e u m e m b e r s h i p h a s co n t r i b u te d to m a k i n g t h e e u t h e b i g g e s t a n d m o s t i n f l u e n t i a l s t a k e h o l d e r i n t h e we s t e r n balk ans. unlike the previous accession programmes, the commission has prioritised the justice and home affairs sector and att e m p t e d t o t a c k l e t h e s e i m p o r t a n t s t r u c t u r a l r e fo r m s e a r l i e r i n t h e e n l a rg e m e nt p ro ce s s. th e j u s t i ce a n d h o m e af f a i r s p ro j e c t s managed by the commission take place in a difficult political and organisational environment. against this background the co m m i s s i o n' s m a n a g e m e nt h a s b e e n l a rg e l y e f fe c t i ve. h owe ve r, the cour t's audit identified some shor tcomings in commission m a nagement which, if addressed, could have resulted in an even higher rate of projec t success, par ticularly in terms of the sustaina b i l it y o f t heir resu l t s.

57.

t h e co u r t c o n c l u d e s t h a t n e e d s a n a l y s e s we re s o m e t i m e s i n a d equate and that there was a lack of donor coordination. although not all investment projec ts achieved fully satisfac tor y results, and t h e s u s t a i n a b i l i t y i s a t r i s k , t h e i nve s t m e n t a s s i s t a n c e f i n a n c e d by t h e co m m i s s i o n h a s m a d e a re l e va nt a n d u s e f u l co nt r i b u t i o n to the national infrastruc ture and institutions. on the other hand t h e co u r t fo u n d t h at t h e re s u l t s o f i n s t i t u t i o n - b u i l d i n g p ro j e c t s were only par tially satisfactor y and unlikely to be sustainable. this was due to continued political weak ness and lack of commitment (ownership) by the beneficiaries, as most reform initiatives do not com e fro m w it hin t he regio n but from th e european commission or o t her ex ter nal st akeho l ders.

TA B L E 1

M A I N CO N C LU S I O N S O N I N V E S T M E N T A N D I N S T I T U T I O N - B U I L D I N G PROJECTS
Audit question Type of assistance Investment Institution-building Relevance S S Needs Assessment PS S S S Project outputs Achieved S / PS PS Results Sustainability S / PS US

Rating: S = Satisfactory, PS = Partly Satisfactory and US = Unsatisfactory; S / PS means that the rating falls between Satisfactory and Partly Satisfactory.

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58.

while the overall per formance of the projec ts audited was mixed, with regard to the management approaches, there was no sign i f icant difference in the degree of success achieved in projec ts m a n a g e d b y t h e d e l e g a t i o n s c o m p a re d w i t h t h o s e m a n a g e d b y t h e eu ro p ean ag enc y fo r r econ str uc tion .

R E C O M M E N D AT I O N 1

the commission's rationale for working in the justice and home af fairs sec tor in the western balk ans is clear but projec t result s wo ul d b e eve n b e t te r i f : (a ) when designing justice and home affairs projec ts, the comm i s s i o n g ave a p p ro p r i ate we i g ht to p ro j e c t o b j e c t i ve s a n d ensured that project activity-based impact indicators are set ; ( b) i nve s t m e nt p ro j e c t s we re m atc h e d m o re c l o s e l y w i t h i n s t i t u t io n-b uil ding p ro jec t s; ( c ) a l l d o n o r s a c t i ve i n t h e a re a , i n c l u d i n g t h e co m m i s s i o n a s t he main do no r, co o rdinated better with eac h oth er, for examp l e o ne do no r co u l d fun d or co -fun d a proj ec t design ed by ano t her do no r ; ( d) the procurement process for equipment was reconsidered by t he do no r co mmu nit y. wh erever possible, j oint investment pools managed by the recipient countries should be consid ered, although tight monitoring of the procurement process by t he b eneficiar y o rg anisation s will still be n ecessar y.

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R E C O M M E N D AT I O N 2

t h e sus t ainab ili t y o f p roj e c t s wo ul d imp rove i f : ( a ) b e n e f i c i a r y i nvo l ve m e n t we re i n c re a s e d, e. g. i n t h e p u b l i c p ro cu rement p ro cess; ( b) no p ro jec t s were l aunche d with out a mainten an ce plan ; (c ) the commission monitored more closely the distribution and e va l u ate d t h e u s e o f e u - f u n d e d e q u i p m e nt a n d i n f ra s t r u ct u re and to o k co r rec t ive a c tion wh en n ecessar y ; ( d ) t he co mmissio n u sed impac t in dicator s to measure results; ( e ) the deliver y of technical assistance was adequately comple mented by ac t ive enco ura gement for in stitution al c h an ge.

R E C O M M E N D AT I O N 3

the regional aspect would be enhanced if infrastructure inte r ve nti o ns in th e inte gr ate d b o rd e r mana g e m e nt area we re d esign e d an d imp l e m e nte d in a w ay that wo ul d fos te r re gi o nal cooperation. for example, joint border crossing points, f inanced f ro m th e re gi o nal all o c ati o n , sh o ul d b e gi ve n p r i o r i t y.

th is rep o r t was ado p ted by t he cour t of auditor s in luxembourg at it s meet ing o f 15 and 16 j uly 2 0 0 9 . Fo r th e Co u r t o f Au d ito r s

ví to r m anu e l da sil v a c al d e ir a Presi d e nt

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ANNEX I

C A R D S J U S T I C E A N D H O M E A F FA I R S P R O J E C T S AU D I T E D A N D AN ASSESSMENT OF THEIR EFFECTIVENESS

PROJECT DESCRIPTION Investment Albania Albania Albania Albania Bosnia and Herzegovina Bosnia and Herzegovina Bosnia and Herzegovina Bosnia and Herzegovina Bosnia and Herzegovina Bosnia and Herzegovina The former Yugoslav Republic of Macedonia The former Yugoslav Republic of Macedonia Montenegro Montenegro Serbia Serbia Serbia Office equipment for police stations Construction of Fushe Kruja prison Appeal courts in Korça and Vlora Border control and green border management Supervision and construction of Kamensko BCP Construction of Gorica BCP Supervision and rehabilitation of premises for the BiH Judiciary Equipment for police forces Supervision and construction of the border police HQ of BiH Provision of IT telecommunication system Provision of vehicles for border police Construction of reception centre for asylum seekers Construction of border crossing points D. Brijeg and S. Polje IT and special equipment for the border police Construction and supervision of border crossing Batrovci Renovation and maintenance of the main courtroom in Belgrade Supplies to border police

CARDS Annual programme

AMOUNT IN EURO (contracts)

2001 2001 2003 2003 2001 2002 2002 2003 2003 2003 2003 2002 2001 2003 2002–03 2003 2003 Subtotal

419 093 2 874 708 1 636 375 2 127 106 3 349 597 2 971 834 2 310 367 1 576 604 2 589 621 2 597 772 2 799 813 1 419 580 3 685 662 1 683 038 5 134 209 1 196 963 2 782 209 41 154 551

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NEED RELEVANCE PROJECT COMPLETION MANAGED BY ASSESSMENT Satisfactory (S), Partly satisfactory (PS), Unsatisfactory (US)

OUTPUT COMPLETED Yes/Partial/No

RESULTS ACHIEVED S, PS, US, N/A SUSTAINABILITY Satisfactory/ Unsatisfactory/ N/A

September 2005 March 2007 May 2006 February 2006 October 2005 Never started December 2004 July 2005 July 2008 December 2006 June 2005 November 2006 July 2005 March 2005 August 2006 May 2005 May 2005

Delegation Delegation Delegation Delegation Delegation Delegation Delegation Delegation Delegation Delegation EAR EAR EAR EAR EAR EAR EAR

US S S S S S S S PS S S PS PS S S PS S

US US S US S S PS S PS S PS S S S S S US

Yes Partial Yes Yes Yes No Yes Yes Yes Yes Yes Yes Partial Yes Partial Yes Yes

US PS S PS PS N/A S S PS S PS S PS S PS S S

Unsatisfactory Unsatisfactory Unsatisfactory Unsatisfactory Unsatisfactory N/A Satisfactory Satisfactory Satisfactory Satisfactory Unsatisfactory Satisfactory Satisfactory Satisfactory Satisfactory Satisfactory Satisfactory

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PROJECT DESCRIPTION Institution building Albania Albania Albania Albania Bosnia and Herzegovina Bosnia and Herzegovina Bosnia and Herzegovina Bosnia and Herzegovina The former Yugoslav Republic of Macedonia The former Yugoslav Republic of Macedonia Serbia Serbia Regional Regional Regional National strategy of migration Albanian mine action programme Pre-screening of asylum seekers and migrants PAMECA II – police mission Support to the prosecutor's office in BiH Support to Human Rights Commission Support of the high judicial and prosecutorial council Support to the war crimes registry in BiH Training institute for judiciary Support to the national police reform strategy Judicial training centre Capacity building of Ministry of Justice Establishment of EU-compatible framework in asylum, migration and visa matters Support to and coordination of IBM strategies in the western Balkans Establishment of an independent, reliable and functioning judiciary and enhancing the judicial cooperation

CARDS Annual programme

AMOUNT IN EURO (contracts)

2001 2002 2003 2004–05 2002 2003 2004 2004 2001 2001 2004 2004 2002 2002–03 2003 Subtotal

1 000 000 2 000 000 2 000 000 6 314 404 916 668 645 705 3 120 986 3 500 000 1 188 405 1 457 533 2 499 175 1 491 029 2 922 700 1 999 984 5 499 579 36 556 168 3 232 093 80 942 812

Investment and Institution building Serbia IT support to the court administration, case management 2004 TOTAL Audit criteria for relevance: The project objectives were in line with JHA priotities for the country. Audit criteria for needs assessment: The projects were justified and alternative approaches had been considered. Audit criteria for outputs: The completed activities had delivered the outputs as planned. Audit criteria for results achieved: The EU-funded assistance was used effectively. Audit criteria for sustainability: The results of the projects were financially and operationalily sustainable. N/A: Not applicable.

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NEED RELEVANCE PROJECT COMPLETION MANAGED BY ASSESSMENT Satisfactory (S), Partly satisfactory (PS), Unsatisfactory (US)

OUTPUT COMPLETED Yes/Partial/No

RESULTS ACHIEVED S, PS, US, N/A SUSTAINABILITY Satisfactory/ Unsatisfactory/ N/A

January 2005 May 2006 February 2006 December 2007 May 2005 March 2005 January 2006 January 2008 October 2005 September 2005 October 2007 September 2007 December 2005 March 2007 April 2007

Delegation Delegation Delegation Delegation Delegation Delegation Delegation Delegation EAR EAR EAR EAR DG ELARG HQ DG ELARG HQ DG ELARG HQ

S S S S S S S S S S S S S S S

S S S PS PS S S S S PS PS S S S US

Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Partial Partial Yes Yes Yes

US S PS PS PS S S S S PS US PS PS PS PS

Unsatisfactory Satisfactory Unsatisfactory Unsatisfactory Unsatisfactory Satisfactory Unsatisfactory Unsatisfactory Unsatisfactory Unsatisfactory Unsatisfactory Unsatisfactory Unsatisfactory Unsatisfactory Unsatisfactory

November 2005

EAR

S

S

Yes

PS

Satisfactory

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ANNEX II

AU D I T M E T H O D O LO G Y A N D S A M P L E
th e au dit wo r k incl u ded a review of strategy an d plan n in g doc um e nt s, e. g. co u nt r y s t rate g y p a p e r s, m u l t i a n n u a l i n d i c at i ve p ro grammes and eu ro p ean p ar t ner sh ip doc uments, as well as mon it o r i n g a n d e v a l u a t i o n re p o r t s. a s a m p l e o f 3 0 p ro j e c t s ove r t h e 2001–05 annu al p ro grammes was audited in th e followin g coun tries of the western balk ans: albania, bosnia and herzegovina, the for mer Yu g o sl av r ep u b l ic o f m acedon ia, m onten egro an d s er bia. the projects were managed either by the european agenc y for r e c o n s t r u c t i o n o r b y t h e e u r o p e a n c o m m i s s i o n ' s d e l e g a t i o n s 1. three additional regional-level projec ts were audited which were m a n ag ed by dG enl arg ement ( dG e l ar G) in br ussels.
1

1.

the ear closed down at the end

of 2008. it had operational centres in the former Yugoslav republic of macedonia, montenegro and serbia. the ec delegations are implementing programmes in albania and bosnia and herzegovina. the ear also had an operational centre in kosovo and there is a delegation in croatia but these were not audited.

2.

al together contrac ts of around 81 million euro, cover ing 17 % of the cards 2001–06 jha commitments, were audited. the projec ts w e r e s e l e c t e d i n t h e l i g h t o f t h e fo l l o w i n g c r i t e r i a : ( i ) f i n a n c i a l impor tance, (ii) coverage of all sub -sec tors of jha and (iii) coverage of all t ypes of contrac ts, i.e. grant, ser vice, supply and works. i n order to allow meaningful obser vations on outputs, results and the sustainabilit y of the projec ts, 29 of 30 national projec ts were vi s ited o n t he sp o t.

TA B L E 1: E L I G I B L E N U M B E R O F P R O J E C T S P E R CO U N T RY I N A P R I L 2007
Country Albania Bosnia and Herzegovina The former Yugoslav Republic of Macedonia Regional programme Serbia and Montenegro Total Audited Coverage Number of projects 21 30 12 6 14 83 33 40 % Amount in million euro 38 48 15 15 21 137 81 59 %

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3.

th e au dit fo cused o n p ro jec t s th at were mature but n ot too old, t h u s l i m i t i n g t h e a u d i t to t h o s e p ro j e c t s t h at s t a r te d n o t e a r l i e r t h a n 48 mo nt hs ag o and no t later th an 1 8 month s ago wh en th e a u d i t s t a r t e d . wi t h t h e s e c r i t e r i a t h e c o n t r a c t e d a m o u n t i n t h e a u d i t e d c o u n t r i e s w a s 1 3 7 m i l l i o n e u ro, a n d t h e a u d i t c ove r a g e w a s 5 9 % o f t h e c o n t r a c t e d a m o u n t . e xc e p t i n o n e c a s e (G o r i c a border crossing point projec t in bosnia and herzegovina) that was never star ted, other projects were completed ones. there was thus sufficient mater ial to identify and analyse the main effec tiveness p ro b l ems.

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ANNEX III

TOTA L G R A N T A S S I S TA N C E D U R I N G 2006 – 08, 4 2 4 0 M I L L I O N E U R O BY S O U R C E
Others 24 %

European Commission 56 % EU Member States 20 %

S o u rc e: european commission/world bank joint office for south eastern europe.

ANNEX IV

L E V E L O F P E R C E I V E D CO R R U P T I O N — T H E W E S T E R N B A L K A N S
2008 Ranking Albania Bosnia and Herzegovina The former Yugoslav Republic of Macedonia Montenegro Serbia 85 92 CPI score 3,4 3,2 2007 Ranking 105 84 CPI score 2,9 3,3 2006 Ranking 111 93 CPI score 2,6 2,9 2005 Ranking 126 88 CPI score 2,4 2,9 2004 Ranking 108 82 CPI score 2,5 3,1

72 85 85

3,6 3,4 3,4

84 84 79

3,3 3,3 3,4

105 N/A 90

2,7

103 97

2,7 2,8

97 97

2,7 2,7

3,0

The Corruption Perception Index (CPI) is calculated for 180 countries, with the ranking of 1 for the country that is perceived as the least corrupt and 180 for the country that is perceived as the most corrupt country. The CPI score ranges from 0 to 10 and expresses the level of perceived corruption, i.e. the lower the score the higher the level of perceived corruption.
S o urce: transparency international (http://www.transparency.org).

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ANNEX V

T H E CO M M I S S I O N ' S M A N AG E M E N T S T R U C T U R E IN THE WESTERN BALKANS
c a rds is mainl y imp l emented th rough t wo out of a total of four d i f ferent manag ement st ruc t ures ( see D ia gra m 1): (a) the ec delegations in albania, bosnia and herzegovina and croatia manage the projects, from identification and formulation to tender ing, contrac ting, implementation and evaluation 1 . (b) the european agenc y for reconstruc tion (ear) 2 , an independent ag enc y o f t he eu, manages th e programme in s er bia an d m o n t e n e g ro, i n c l u d i n g k o s ovo, a n d t h e fo r m e r Yu g o s l av r e public of m acedonia. i t was created as a response to the need to act quickly and efficiently when addressing the urgent p o st- co nfl ic t needs o f t he population in kosovo in th e imme diate af ter mat h o f t he 199 9 cr isis. ( c ) dG enlargement (and earlier europeaid) manages the regional pro grammes direc t l y fro m th e h eadquar ter s. (d) i m p l e m e nt i n g ag e n c i e s o f t h e b e n e f i c i a r y co u nt r i e s m a n a g e the local community development programmes in albania a n d a p a r t o f t h e c a r d s 2 0 0 2 p ro gra m m e i n c ro at i a i n a d e cent ral ised way.
1

the devolution process started

in bosnia and herzegovina in 1998. this was done in order to improve the speed of ec external aid, while ensuring robust financial procedures.
2

the ear was established in

february 2000; its predecessor, the task force for kosovo, had already started operation in 1999. in 2001, the agency's mandate was extended to serbia and montenegro and in 2002 to the former Yugoslav republic of macedonia.

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D I AG R A M 1 : C A R D S M A N AG E M E N T S T R U C T U R E

CARDS Management Committee

European Agency for Reconstruction

Commission HQ

Governing Board

Delegations

HQ (Thessaloniki)

Albania

BiH

Croatia

Decentralised Implementation The former Yugoslav Republic of Macedonia Serbia Montenegro Kosovo Albanian Development Fund Central Finance and Contracting Unit

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ANNEX VI

TOTA L G R A N T S A N D LO A N S D U R I N G 2006 – 08, 10 4 8 8 M I L L I O N E U R O BY S O U R C E
USA 8% Others 14 %

World Bank 14 %

EBRD 20 %

European Commission 22 %

EIB 22 %

S o u rce: european commission/world bank joint office for south eastern europe.

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EXECUTIVE SUMMARY
the justice and home affairs (jha) area has continued to be a priority area in the programming of the instrument for p r e - a c c e s s i o n a s s i s t a n c e ( i pa ) . t h e t o tal amount allocated to projects in this area was 58.6 million euro in 2007 and 7 5 .5 million euro in 2 0 0 8 .

I.

III.

(a) the commission has always given high pr ior it y to providing suppor t to countries for meeting the requirements u n d e r t h e po l i t i c a l cr i te r i a , i n c l u d i n g justice and home affairs, as witnessed in th e ear lier ph are an d tran sition facility and cards programmes. jha co n t i n u e s to b e a p r i o r i t y a re a u n d e r ipa. (b) sustainability of projec ts is essentially dependent on the commitments of the beneficiar y countries and resources all o c a te d to a p ro j e c t a f te r i t s co m p l e tion. the commission is addressing t h i s i s s u e t h ro u g h p ro j e c t c o n d i t i o n alities and co -financing by the beneficiar ies. ( c ) needs were generally identified in the framework of the progress repor ts, which include an assessment of the state of play in the area of jha in cand i d ate co u nt r i e s a n d p o te nt i a l c a n d i date countr ies. (e) th e co m m i s s i o n co n c u r s t h at i n s t i t u tion-building is most effective when s u p p o r te d by s t ro n g p o l i t i c a l w i l l fo r refor m. ( f ) th e european agen c y for r econ str uc tion h as been an efficient tool for th e area it was designed for, thanks to its speed in deliver y which was essential in th e recon str uc tion ph ase.

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IV.
( b) t h e c o m m i s s i o n g e n e r a l l y c o m b i n e s e q u i p m e n t a n d i n f r a s t r u c t u re i nve s tment with institution- and capacityb u i l d i n g. th e p rov i s i o n o f e q u i p m e nt and infrastructure is combined with suppor t for training and organisationa l refo r ms. ( c ) u n d e r i pa , t h e c o m m i s s i o n h a s p u t greater emphasis on aid effec tiveness, and is committed to ensuring efficient donor coordination on the ground. th is has resu l ted in var io u s d on or co o r d i n a t i o n c o n fe r e n c e s o r g a n i s e d b y the commission since 2007, as well as con crete init iat ives o n t he groun d for coordination at sec tor level, including t h e p rep arat io n o f jo int p ro je c ts with ot her do no rs. ( d) as the financial regulation allows the commission to implement ex ternal act i o n s to g e t h e r w i t h o t h e r a c to r s, t h i s type of action will be considered when d e emed ap p l icab l e. ( b) i n order to enhance sustainabilit y and own er sh ip of proj ec ts un der ipa 2 0 0 7 a n d 2 0 0 8 p ro gra m m e s, p ro j e c t f i c h e s include specific conditionality on infrastr uc ture mainten an ce. (c) t h e c o m m i s s i o n e m b a r k e d o n a r e g i o n a l f i n a n c i a l a s s i s t a n c e p ro j e c t t o improve monitoring in the jha area of per for mance of author ities and financ ial assistan ce in m arc h 2 0 0 9 . ( d) financial assistance is complementar y to the political process of stabilisation and association. progress repor ts and the european par tnerships include specific recommendations as to the re q u i re d i n s t i t u t i o n a l c h a n g e s. s o m e projec ts also direc tly suppor t refor ms in the area of jha. for example, in the programming of ipa 2009, discussions a re b e i n g h e l d w i t h t h e b e n e f i c i a r i e s in order to deliver better programmes re s p o n d i n g to b e n e f i c i a r i e s ' n e e d s i n the area of jha, from a regional eu integration perspective and linked to the s t r a t e g y p a p e r, c o u n t r y r e p o r t s , a n d accession /european par tn er sh ips.

V.

( a ) b e n e f i c i a r i e s a re n ow i nvo l ve d i n t h e procurement process from project p re p a ra t i o n to t h e e v a l u a t i o n o f b i d s (where a representative of the bene f i c i a r y i s a l w a y s p re s e n t a s a vo t i n g m e m b e r ) . m o re g e n e ra l l y, to e n h a n ce ownership by beneficiaries, regional c o o rd i n a t i o n m e e t i n g s a re o rg a n i s e d regularly with ec headquarters, ec delegations and beneficiaries, and from an early stage beneficiaries are consulted on the multiannual planning document and the outline project f i ches.

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INTRODUCTION
2. af te r c ards , the jha area has continued to b e a p r i o r i t y a re a i n t h e p ro gra m m i n g of i pa . the guidelines for the annual action programmes indicate that the amounts t o b e e a r m a r k e d u n d e r t h e po l i t i c a l c r i teria, including jha projects within the i pa c o m p o n e n t f o r t e c h n i c a l a s s i s t a n c e and institution-building, should reach b e t we e n 3 0 % a n d 3 5 % o f t h e to t a l. th e to t a l amount allocated to projec ts in this area was 58.6 million euro in 2007 and 75. 5 m il l io n euro in 2008. 3. (a) the commission's risk assessment conf i r m s t h e c o u r t ' s f i n d i n g s . h o w e v e r, risks related to sustainability and owne r ship of projec ts under ipa 2007 and 2008 programmes are now mitigated by conditionalities and measures included in the projec ts, such as projec t co -financing. ( c ) th e co m m i s s i o n a p p l i e s p r i n c i p l e s o f sound and efficient financial manage ment, and assesses the level of risks associated with individual projects. contracts will not be signed, or may be suspended, if there is no reasonable assurance that the conditions for p rojec t imp l ement at io n w il l be met.

OBSERVATIONS
13. in implementing annual projects the commission had to take into account changing circumstances while remaining within the boundaries of the broader strategic obj ec tives.

Box 1 — Examples of strategic and non-strategic investments projects Case 2: Project not following annual programme

the need for building capacities in the field of asylum has been identified at a polic y level. the commission's regular re port of 2002 called upon the country to ‘i m p r o v e c a p a c i t y t o p r o c e s s a s y l u m a p p l i c a t i o n s’, w h e r e a s t h e f i r s t a s s e s s m e n t mission in the jha area, carried out in j u n e 2 0 0 2 , re co m m e n d e d t h a t ‘a d e q u a te reception facilities for asylum seekers sh ould be establish ed ’. 14. when projects are funded, the strategic framewor k is always tak en into account. the commission has consistently encour aged the m inistries of justice and i nterior to develop th eir selec tion procedure.

Box 3 — Examples of inefficient and ineffective distribution and use of EU-funded equipment

motorbikes provided by cards were allocated to the border police stations to p a t r o l t h e g r e e n b o r d e r. t h e m i n i s t r y o f i nter ior under took to provide the protec t i ve g e a r. a t e n d e r w a s l a u n c h e d a n d a n offer ch osen in ear ly 2 0 0 9 .

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th e e q u ip ment p u rchase was initially th e responsibility of the ministr y of labour a n d s o c i a l p o l i c y. t h e c o m m i s s i o n a n d unhcr jointly raised this issue with the g ove r nment. s ome of the equipment was i n s t a l led in the centre by apr il 2008, and t h e re s t at t he end o f su mmer 20 0 8 . the commission has since enhanced its overall super vision through site visits operated by ec delegation staff and periodic repor ting on the utilisation of assets, and by interacting closely with the albanian s t ate p o l ice. th e b i h i n d i re c t ta x at i o n ad m i n i s t rat i o n ( i ta ) i s p l a n n i n g t o c o n s t r u c t a n i n l a n d customs terminal in mostar (within the i ta r e g i o n a l c e n t r e m o s t a r ) t h a t w o u l d be owned by the ita . the ita would then be in a position to collec t 100 % revenues re l ate d to u s a g e o f t h e c u s to m s te r m i n a l f a c i l i t y. c o n s t r u c t i o n o f i n l a n d c u s t o m s ter min als is also stipulated in th e bih i n tegrated border management strategy (re v i s e d ve r s i o n a d o p t e d i n j u l y 2 0 0 8 ) . t h e ita envisages construc tion of four inland c u s to m s te r m i n a l s i n b i h , w i t h i n fo u r i ta r e g i o n a l c e n t r e s , n a m e l y m o s t a r, s a r a j evo, ban j a luk a an d tuz la. 19. th e d e c i s i o n fo r o r a g a i n s t a j o i nt b c p i s subject to a number of factors, cost be ing only one of them. in addition, there a re s o m e ex a m p l e s o f j o i nt b o rd e r c ro s s ings between western balk an countries (or them and their neighbours) suppor ted by eu funds. a joint border crossing can cert a i n l y e n h a n ce co o p e ra t i o n b e t we e n t h e two countries concerned, but there are also other ways of bilateral cooperation at th e border. the commission is currently examining whether the schengen acquis on joint b c ps b e t w e e n w e s t e r n b a l k a n c o u n t r i e s and their neighbours will apply in the case of an asylum request being lodged by an asylum seeker on the territory of the third countr y (but physically at the joint bcp). the eu perspec tive on western balk an countries requires that such eu int e r n a l re f l e c t i o n s a re t a k e n i n t o a c c o u n t when mak ing polic y recommendations in relation to th ose countr ies.

b a s e d o n f i r m c o m m i t m e n t by t h e co u n cil of m inisters of bosnia and herzegovina a n d G r u d e m u n i c i p a l i t y t h at t h e l a n d ex p ro p r i at i o n p ro ce s s wo u l d b e co m p l e te d by t h e e n d o f s e p te m b e r 2 0 0 4 , t h e co m mission signed the 2.9 million euro works contract for construction of the Gorica border crossing point in october 2004. such a situation was not uncommon given the legal uncer tainties due to the transfer of competencies related to customs and border matters from the entities to the state of bih. in addition, the Gorica bcp was nominated for construction as the prior i t y b o rder cro ssing by t he federal m in istr y of transpor t of bih. i n this par ticular case, the commission faced unexpected r e s i s t a n c e w h i c h c o u l d n o t b e o ve r r u l e d by the state against the expropriation f rom the l o cal aut ho r it ies b ecause of th e va lu at io n o f t he l and. for sustainability and ownership of projec ts under the ipa 2007 and 2008 programmes, projec t fiches include measures to avoid difficulties with construction perm i t s a nd l and ow nership.

Box 5 — Example of a non-implemented border crossing point project

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Box 6 — Example of an investment enforcing the rule of law
Construction of the Court of Appeal in Vl ora, A lb a nia since the time of the audit, the supply of energy throughout the country has gre a t l y i m p rove d a n d, c o n s e q u e n t l y, t h e frequenc y of elec tricity cuts on the power network has been dramatically reduced. i n p a ra l l e l to t h i s, a s o f t h e b e gi n n i n g o f 2009, the ministr y of justice has increased t h e operat io nal and maintenance budget for t h e ent ire just ice infrast ruc t ure. i n this respec t, it is wor th noting that the budget administration and management i n j u d icial inst it u t io ns is steadil y becoming more transparent and more standardi s e d. 23. albania has concluded a community re admission agreement, which entered i nto force on 1 m ay 2006, and b osnia and herzegovina, montenegro, serbia and t h e for mer Yu g o sl av r ep u b l ic o f m acedo n i a h ave a l l co n c l u d e d s u c h a gre e m e n t s, which entered into force on 1 januar y 2008. each of these agreements stipulates that the implementation of the agreement i s to be monitored by a joint readmission committee with representatives from both the commission and the national authorities. the joint committees have regular meetings in which also representatives of the member states par ticipate. the correc t implementation of these agreements i s a condit io n fo r l if t ing t he eu v isa obligation. the assessments made in this contex t h ave confir med that the agreements are implemented correc tly and in a timely m a n n er. 24. in the meantime, the situation has imp rove d : fo r s u s t a i n a b i l i t y a n d ow n e r s h i p of proj ec ts un der ipa 2 0 0 7 an d 2 0 0 8 pro g r a m m e s, p ro j e c t f i c h e s i n c l u d e s p e c i f i c conditionality on infrastructure mainte n an ce. 25. the commission is aware that better monitoring of the assets could have a positive effec t on the impac t and sustainabilit y of the investment projec ts.

operations at the bcp are at present regulated by the instruc tion issued by the ita director. according to the relevant bih aut h o r i t i e s t h i s i n s t r u c t i o n d o e s n o t re p re sent a valid document for offic ial recate gorisation (downgrading) of the border crossin g point sin ce, in order to be valid, such a decision must be adopted by the relevant bih institutions and published in th e offic ial gazette, wh ic h was n ot th e case in this instance. i n their opinion, this instruction letter issued by the director of th e ita could n ot be seen as an offic ial decision for recategorisation, although the regime at the border crossing point is gover n ed by th at par tic ular in str uc tion . 26. beneficiaries are now involved in the pro curement process from project preparation to the evaluation of bids (where a representative of the beneficiar y is always present as a votin g member ) .

Box 8 — Example of infrastructure project with lack of impact

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after-sales ser vices are not quantifiable at the time of tendering, and generally e xc e e d t h e p e r i o d o f i m p l e m e n t a t i o n o f t h e co m m i s s i o n p ro g r a m m e s. u s u a l l y, the provision of after-sales ser vices is a requirement under ec supplies tenders, but the contract for such ser vices must be negotiated by the beneficiary and is n ot f i n anced by t he ec . Investments not matched with necessa r y i n s t i t u tio nal ca pac ities 27. the commission generally combines equipment and infrastruc ture investment with institution- and capacity-building. when it comes to border management the provision of equipment and infrastruc ture is combined with support for training of the border police and organisational reforms. the overall objectives for each countr y are based on an integrated border m a n a g ement st rateg y. 28. the project is a step in a more longt e r m s t r a t e g y. i t s u p p l i e s h a v e r e s u l t e d i n a s i g n i f i c a n t i m p ro ve m e n t o f wo r k i n g m e t h o d s a n d i m m e d i a t e t r a n s fe r o f d a t a between the linked police stations and t h e ce nt ra l i t u n i t o f t h e m i n i s t r y, a l l ow i n g f u r t h e r p ro ce s s i n g to re l e va nt p o l i ce d e p a r t m e n t s. t h i s w a s t h e i n t e n d e d a n d i m m e d i a t e o b j e c t i v e o f t h e p r o j e c t . fu r t h e r ex tension of the net wor k is planned i n s e ve ral p hases. ( a ) cu r re n t l y i n m o n t e n e g ro, s e ve n b c ps ( cover ing 85 % o f t he t raffic) are n ow connec ted to the central database and t h e i n t e r p o l d a t a b a s e. o n e a d d i t i o n al bcp was to be connected by june 2 0 09. m ontenegro has in the ongoing visa liberalisation dialogue declared t h at al l b o rder cro ssing p o ints will be con nec ted to t he cent ral dat abase by the end of 2009 and that this will be f i n anced w it h nat io nal funds. ( b) i n the other western balk an countries, new laws on data protection have been adopted in th e meantime 1 . i n some of the countries fur ther legislative and administrative measures are still required to establish sufficient personal data protec tion . (c) written instructions on access controls a re t h e re s p o n s i b i l i t y o f n a t i o n a l a u thorities. the commission also supports the implementation of access control procedures, through technical assistan ce or t win n in g. 34. th e re fo r m s t rate gi e s o n j h a to p i c s co n tain per for mance indicators. polic y notes have been developed, which ser ve to give guidan ce on programmin g an d on th e re sults to be ach ieved with fin an cial assistance. peer reviews by exper ts from the member states assess the overall situation an d offer recommen dation s on wh at should be achieved with future assistance. i n addition , an n ual progress repor ts con tain an assessment of the degree to which values of freedom, security and justice ( e. g. r u l e o f l a w, re s p e c t o f f u n d a m e n t a l r ights) are respec ted in each wester n balk an countr y.
1

new laws on data protection have been adopted in 2007

(croatia) and in 2008 (albania, serbia, montenegro and the former Yugoslav republic of macedonia).

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Box 9 — Unstable staffing situation in public administration in Albania and the former Yugoslav Republic of Macedonia
38. although the commission encourages the d i f fe r e n t s e r v i c e s t o c o o p e r a t e , i n t e r n a l te n s i o n s a n d f ra gm e nte d, u n co o rd i n ate d p o l i c y m a k i n g b e t we e n t h e s t ate a n d t h e entities in bosnia and herzegovina constit u te t h e m a i n o b s t a c l e to s m o o t h o p e ra tion of institutions and to creating better functioning and more efficient state structures. the lack of political consens u s o n t h e m a i n d i re c t i o n o f t h e co u n t r y inevitably also affects the results of the fin an cial assistan ce.

understaffing and turnover of staff followi n g e l e c t i o n s i s a s o u rc e o f c o n c e r n . t h e commission has made a point of stressing regularly to the national and local authori t i e s t h e i m p o r t a n ce o f m a i nt a i n i n g s t a f f as a guarantee of increasing effec tiveness of t h e p u b l ic administ rat io n. some improvements since the audit can b e re p o r t e d i n t h e m i g r a t i o n a re a w h e re t h e d i r e c t o r a t e fo r m i g r a t i o n po l i c i e s a t t h e al banian m inistr y of labour has been strengthened and additional staff have b e e n hired. changes were made by the ministr y according to the legislation in force and b a s e d mainl y o n so - cal l ed unsat isfac tor y per formance. this created a temporar y s l owd ow n o f t h e re fo r m p ro ce s s a n d wa s b ro u g h t u p by t h e co m m i s s i o n . th e n e w staff deployed took some time to settle in but per formance indicators for the holders of all the positions in question a re co m p a ra t i ve l y b e t te r n ow t h a n t h re e ye a r s ag o.

initially, the m inistr y of justice did not invite any of th e proj ec t's inter n ation al exp e r t s to p a r t i c i p ate i n t h e d ra f t i n g p ro c ess for the law governing the academy for t h e tr a i n i n g o f j u d g e s a n d p r o s e c u t o r s . as a result of pressure from the donor c o m m u n i t y, t h e e x p e r t s w e r e e v e n t u a l l y consulted and some of their recommendations have been included in the final legal text. never theless the current law still has shortcomings which need to be addressed. th e m in istr y of justice h as in cluded the preparation of amendments on th e 2 0 0 9 legislative agen da. cu r re nt l y t h e a c a d e my i s f u l l y f u n c t i o n a l fo r b o t h i n i t i a l a n d c o n t i n u o u s t r a i n i n g. a s r e g a r d s i n i t i a l t r a i n i n g, t h e f i r s t g e n eration of students graduated from the academy in februar y 2009 and the second generation is now undergoing training. as for th e contin uous train in g, th e ac ademy has constantly widened the scope of its activities and the categories of special train in g provided.

Box 11 — Examples of judicial training centres (JTCs)

the communit y assistance may have cont r i b u t e d t o p ro v i d i n g t h e i n f r a s t r u c t u r a l and organisational capacity and sk ills nec essar y to plan and execute an operation of t h i s i mpor tance, but was neither a direc t n or a n indirec t fac to r in it s execution .

Box 10 — Examples of enhanced operational capacity

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the decision to abandon a previously a g r e e d tr a i n i n g o f tr a i n e r s s t r a t e g y t o improve teaching techniques was taken by t h e l o cal aut ho r it ies. during the project implementation, the commission was faced with changing pr iorities due to different ministers of justice, presidents of the supreme cour t and direc tors of the judicial training centre — h av i n g d i f fe r i n g v i e ws o n t h e ro l e o f t h e j tc. 41. a s t h e p ro j e c t s l a u n c h e d u n d e r t h e p r o gramme were the first cards regional p ro j e c t s i n t h e a re a o f j h a , e x p e r t s f ro m t h e eu m emb er st ates p er fo r med jha assessment missions in the region in mayjune 2002 and identified several important common needs that the projects l a u n c hed t hereaf ter aimed to cover. 43. concise summaries of progress towards a c h i e v i n g t h e s p e c i f i c o b j e c t i ve s w i l l b e prepared for future projects. the commission wishes to underline that all the o u t p u t s a s s e t i n t h e p ro j e c t d e s c r i p t i o n we re d el ivered. 44. the commission has learned from these p a s t exper iences and now ac ts according t o a fo r m a l i s e d a p p ro a c h w h i c h s e e s t h e beneficiary in the driving seat of the assistance process, tak ing full responsibility for the anticipated objectives, methodolo gi e s a n d resul t s. fu r t h e r e n h a n ce m e nt o f t h e p ro j e c t s ' own e rship by t he b eneficiar ies is a pr iori t y u n der ipa .

in terms of staff hand- over, the war crimes p ro j e c t e n t a i l e d a f i ve - ye a r i m p l e m e n t a tion period, i.e. from 2005 to 2009 inclusive. since the audit, the prospect of e n d i n g t h e m a n d ate s o f a l l i nte r n at i o n a l judges and prosecutors has been reconsidered, espec ially in light of th e remain ing backlog and 15% budgetar y reductions for the cour t for 2009. hence, for political, technical and budgetar y reasons t h e co u r t ( a n d t h e p ro s e c u to r ' s o f f i ce ) i s in favour of their continuation beyond the or igin al d ecember 2 0 0 9 c ut- off point. 46. th e commission n ow tak es th e degree to which values of freedom, security and just i c e, s u c h a s t h e r u l e o f l a w a n d r e s p e c t fo r f u n d a m e n t a l r i g h t s , a r e r e s p e c t e d i n key third countries (including the countr ies that have been subjec t to this audit) a s a n i m p o r t a nt i m p a c t i n d i c ato r re l ate d to one of the general objectives of the j ustice, freedom an d sec ur it y area. 47. th e h i s to r y o f i m p l e m e nt at i o n o f s e ve ra l institution-building projects shows that the commission has repeatedly and steadily attempted to exer t a positive influence in order to foster the sustainabilit y of the proj ec ts.

Box 12 — Examples of ‘learningby-doing’ projects in Bosnia and Herzegovina Case 2: Incomplete hand-over of responsibilities to the beneficiary — War Crimes Chamber

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48. in order to enhance ownership by beneficiaries, regional coordination meetings are organised regularly with ec headquarters, ec delegations and beneficiaries. m ore over, fro m an ear l y st ag e b en eficiaries are consulted on the multiannual planning document and the outline project f i c h e s. as regards jha regional programming under ipa 2009, discussions are held with the beneficiaries in order to deliver better p ro grammes responding to beneficiar ies' needs, from a regional eu integration perspec tive and linked to the strategy paper, co u nt r y repor ts, and accession/european pa r t n ership s. 49. the regional cooperation council took over in the first half of 2008 the role of t h e fo r m e r s t a b i l i t y pa c t a s f a c i l i t a to r o f regional donor cooperation in the jha area and is organising conferences to this e n d. within that context, donor cooperation m e e t i n g s a re a l s o o rg a n i s e d by t h e i n d i vidual initiatives such as the migration, asylum, refugees regional initiative (marri) and the regional anti- corruption i n i t i at ive (r a i). 52. th e eu ro p e a n ag e n c y fo r r e co n s t r u c t i o n has successfully fulfilled its mandate of post-crisis reconstruction and stabilisat i o n . t h e co m m i s s i o n c o n s i d e r s t h a t t h e a g e n c y h a s b e e n a n e f f i c i e nt to o l fo r t h e a r e a i t w a s d e s i g n e d f o r, t h a n k s t o i t s s p e e d i n d e l i ve r y w h i c h w a s e s s e n t i a l i n t h e re co nst ruc t io n p hase. 53. d onor coordination is already considered a priority within cards as a donor coordination meeting was held in brussels at the e n d o f 2 0 0 5 w h e re b e s t p ra c t i ce s c a r r i e d out in alban ia were presented an d different coordin ation aspec ts disc ussed. under ipa, the will to ensure efficient do nor coordination on the ground has developed into a top priority : fur ther conferences on aid effec tiveness in the wester n b a l k a n s a n d tu r k e y w e r e o r g a n i s e d i n brussels in october 2008 and in tirana in april 2009. a follow-up conference is sc h eduled for o c tober 2 0 0 9 . 54. the commission strives continuously to i m p rove d o n o r co o rd i n a t i o n . a n i n te r n a l n e t wo r k w a s re e s t a b l i s h e d i n e a r l y 2 0 0 8 for improving polic y and programming coordination in the jha area. r egular meetings involving also the ec delegations are held within this net wor k . thematic notes have been developed in this contex t with policy and programming recommendations on judiciar y reform and the fight again st cor r uption an d organ ised c r ime.

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Box 14 — Example of uncoordinated multi-donor investment activity
since 2002 all donors have both provided local authorities with vehicles and left them as a donation at the end of their p ro j e c t s. th e u n co o rd i n ate d a p p ro a c h i n t e r m s o f l o c a l a u t h o r i t i e s ' l a c k o f s t r a te gi c p l a n n i n g fo r b u d g e t a n d i nte r n at i o n al organisations' response to the lack of vehicles created, in a couple of years, a non-homogeneous fleet with rising maint e n a n c e c o s t s. t h e p r o b l e m w a s s p o t t e d b y t h e m i n i s t r y o f t h e i n t e r i o r. l a s t y e a r the m inistr y of the i nterior star ted a coord i n ate d re v i s i o n o f i t s f l e e t by te n d e r i n g fo r a n d then buying some 50 vehicles. all the vehicles come from a single leading eu carmaker and it is expected that this will impac t positively on the maintenance ex p e n dit u re. 55. the problem of conflicting advice, confined to cer tain issues and restricted to a s p e c i f i c p e r i o d , w a s m e a nw h i l e s o l v e d a s t h e o t her p l ayers l ef t t he fiel d, an d n o longer persists as the commission has p rom o ted t he p ro gressive har mon isation of a d v ice.

CONCLUSIONS AND RECOMMENDATIONS
56. the jha area has continued to be a prio r i t y a re a i n t h e p ro g r a m m i n g o f t h e i n struments for pre -accession assistance and measures have meanwhile been introduced to ensure the sustainability of proj ec t results. 57. in endeavouring to coordinate donors, the commission maintains regular contacts for polic y and financial assistance co o rd i n at i o n w i t h t h e co u n c i l o f eu ro p e, the venice commission, un h igh commiss i o n e r fo r r e f u g e e s, i n t e r n a t i o n a l o f f i c e of m igration, international criminal tribunal for the former Yugoslavia and bilateral donors. meetings are held regularly be tween the ec delegations and the member states' embassies for coordinating their bilateral fin an cial assistan ce with th at of t h e c o m m u n i t y. t h e c o m m i s s i o n o r g a n ised conferences in autumn 2008 and in april 2009 with the main donors, aimed at improving donor coordination methodo l o g i e s. t h e n e x t c o n fe r e n c e, w h i c h w i l l m a i n l y fo c u s o n t h e p r a c t i c a l a s p e c t s o f coordination on the ground, is scheduled for o c tober 2009. the regional cooperation council took over dur in g th e fir st h alf of 2 0 0 8 th e role o f t h e fo r m e r s t a b i l i t y pa c t a s f a c i l i t a to r of regional donor cooperation in the jha area and is organising conferences to this end. donor cooperation meetings are also organ ised th rough region al in itiatives.

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Recommendation 1
(a ) the commission now sets impac t indic a t o r s w h i c h a re p a r t o f t h e a c t i v i t y based management cycle. they include t h e degree to w hich val u es re lated to f reedom, secur it y and justice are now respected in key third countries, including the countries in which the a u dit has been conduc ted; the values include the rule of law and respec t for f u ndament al r ig ht s. ( b) t h e c o m m i s s i o n g e n e r a l l y c o m b i n e s e q u i p m e n t a n d i n f r a s t r u c t u re i nve s tment with institution- and capacityb u i l d i n g. th e p rov i s i o n o f e q u i p m e nt and infrastructure is combined with suppor t for training and organisationa l refo r ms. ( c ) practical aspects of donor coordination a re n o w b e i n g e x a m i n e d ; c o n c e r n i n g t h i s p a r t i c u l a r p o s s i b i l i t y, i n i t i a t i v e s have been taken by the commission i n t h e c o n t e x t o f a ‘p r o j e c t s f a i r ’ o r g a nised in t he sp r ing o f 2009. ( d) as the financial regulation allows the commission to implement ex ternal act i o n s to g e t h e r w i t h o t h e r a c to r s, t h i s type of action will be considered when d e emed ap p l icab l e.

Recommendation 2
(a) b e n e f i c i a r i e s a re n ow i nvo l ve d i n t h e procurement process from project p re p a ra t i o n to t h e e v a l u a t i o n o f b i d s (where a representative of the bene f i c i a r y i s a l w a y s p re s e n t a s a vo t i n g m e m b e r ) . m o re g e n e ra l l y, to e n h a n ce ownership by beneficiaries, regional c o o rd i n a t i o n m e e t i n g s a re o rg a n i s e d regularly with ec headquarters, ec delegations and beneficiaries, and from an early stage beneficiaries are consulted on the multiannual planning document and the outline project fic h es. (b) fo r s u s t a i n a b i l i t y a n d o w n e r s h i p o f projec ts under ipa 2007 and 2008 pro g r a m m e s, p ro j e c t f i c h e s i n c l u d e s p e cific conditionality on infrastructure mainten an ce. (c) t h e co m m i s s i o n i s a w a re o f t h e s i t u ation and in m arch 2009 embar ked on a regional financial assistance projec t to improve monitoring in the jha area o f p e r fo r m a n c e o f a u t h o r i t i e s a n d f i n an c ial assistan ce. ( d ) the commission now sets impac t indic a t o r s w h i c h a re p a r t o f t h e a c t i v i t y based management cycle. they include th e degree to wh ic h values related to freedom, secur it y and justice are now respected in key third countries, including the countries in which the audit has been conduc ted; the values include the rule of law and respec t for fun damental r ights.

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( e ) financial assistance is complementar y to the political process of stabilisation a n d association. progress repor ts and the european par tnerships include specific recommendations as to the re q u i re d i n s t i t u t i o n a l c h a n g e s. s o m e projec ts also direc tly suppor t refor ms in the area of jha. for example, in the programming of ipa 2009, discussions a re b e i n g h e l d w i t h t h e b e n e f i c i a r i e s in order to deliver better programmes re s p o n d i n g to b e n e f i c i a r i e s ' n e e d s i n the area of jha, from a regional eu integration perspective and linked to the s t r a t e g y p a p e r, c o u n t r y r e p o r t s , a n d accessio n/euro p ean par t ners h ips.

Recommendation 3
the commission agrees that a joint bord e r c ro s s i n g p o i nt c a n ce r t a i n l y e n h a n ce cooperation between the two countries concer ned, but there are also other ways of bilateral cooperation at th e border. prac tical issues linked to the applicabilit y o f t h e s c h e n g e n a c q u i s o n j o i n t b c ps i n case of asylum requests are to be taken i nto a cco u nt w h e n m a k i n g p o l i c y re co m mendations in relation to those countr ies.

special report no 12/2009 — the effectiveness of the commission's projects in the area of justice and home affairs for the western balkans

european court of auditors Special Report No 12/2009 The effectiveness of the Commission's projects in the area of Justice and Home Affairs for the western Balkans luxembourg: publications office of the european union 2009 — 57 pp. — 21 × 29.7 cm isbn 978-92-9207-454-8 doi:10.2865/80334

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QJ AB 09 012 EN C

IN THIS REPORT, THE EUROPEAN COURT OF AUDITORS ANALYSES THE EFFECTIVENESS OF THE EUROPEAN COMMISSION’S PROJECTS IN THE AREA OF JUSTICE AND HOME AFFAIRS FOR THE WESTERN BALKANS. THE REPORT COVERS BOTH INVESTMENT AND INSTITUTION BUILDING PROJEC TS IN THE FOUR JUSTICE AND HOME AFFAIRS SUB AREAS: ASYLUM AND MIGRATION, INTEGRATED BORDER MANAGEMENT, JUDICIARY AND POLICE. AG A I N S T T H E B AC KG R O U N D O F A D I F F I C U LT P O L I T I C A L A N D ORGANISATIONAL ENVIRONMENT, THE COMMISSION’S MANAGEMENT OF JUSTICE AND HOME AFFAIRS PR OJEC TS HAS BEEN LAR GELY EFFEC TIVE. HOWE VER, THE COUR T IDENTIFIED SHOR TCOMINGS, PARTICULARLY IN TERMS OF OWNERSHIP AND SUSTAINABILIT Y OF RESULTS. THE REPORT CONTAINS RECOMMENDATIONS WHICH COULD HELP THE COMMISSION TO PROVIDE MORE EFFICIENT AND EFFECTIVE ASSISTANCE.

EUROPEAN COURT OF AUDITORS

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