Activity Report Period: 1 January - 31 December 2011
DIRECTORATE-GENERAL: EXTERNAL POLICIES AUTHORISING OFFICER BY L. MARCO AGUIRIANO NALDA DELEGATION:
TABLE OF CONTENTS
0. BUDGETARY TABLE...... 2 1. Objectives 2011...... 3 1.1 OBJECTIVES OF THE DIRECTORATE-GENERAL FOR EXTERNAL POLICIES ...... 3 1.2. EVALUATION OF THE FEASIBILITY AND THE ASSOCIATED RISKS ...... 3 2. Evaluation of Results and Resources Used...... 4 2.1. ENVIRONMENT OF DG EXTERNAL POLICIES...... 4 2.2 HUMAN RESOURCES IN THE DG...... 4 2.3. IMPLEMENTATION OF THE BUDGET IN 2011 ...... 4 2.3.1 FINAL APPROPRIATIONS ON 31 DECEMBER 2011 AND INITIAL APPROPRIATIONS ...... 5 2.3.2 FINAL APPROPRIATIONS ON 31 DECEMBER 2011 AND COMMITTED APPROPRIATIONS...... 5 2.3.3 COMMITTED APPROPRIATIONS AND EXECUTED PAYMENTS ...... 7 2.3.4 USE OF THE APPROPRIATIONS CARRIED OVER FROM 2010 TO 2011...... 7 2.3.5 USE OF THE APPROPRIATIONS CORRESPONDING TO ASSIGNED REVENUE ...... 7 2.4. RESULT INDICATORS ON 31 DECEMBER 2011...... 7 2.4.1 NUMBER OF DELEGATION ACTIVITIES FINANCED BY DG EXPO AND CARRIED OUT:...... 7 2.4.2 EXPERTISE SUPPLIED TO COMMITTEES AND OTHER PARLIAMENTARY BODIES:...... 11 STUDIES: ...... 11 HEARINGS: ...... 12 2.4.3. DEMOCRACY PROMOTION:...... 13 2.4.4. RESULTS ACHIEVED...... 14 3. Evaluation and Efficiency of Internal Control ...... 23 4. Conclusions ...... 25 4.1. GENERAL EVALUATION OF THE REPORTING PERIOD...... 25 4.2. EVALUATION OF THE AVAILABLE RESOURCES ...... 25 4.3. CONCLUSION ON STRENGTHS AND WEAKNESSES AND FORESEEABLE MEASURES WITH A VIEW TO BETTER ADAPTATION OF THE AVAILABLE PERSONNEL AND BUDGETARY RESOURCES ...... 26 5. Declaration of the Authorising Officer by Delegation ...... 27 6. Annexes...... 28
Rapport 31.12.2011
0. BUDGETARY TABLE DG EXTERNAL POLICIES
Code Appropriation type EUR or % Formula
Appropriations of 2011 A Initial appropriations 3 283 319 B Final appropriations 3 598 319 C Commitments 2 099 550 D Commitments in % of final appropriations 58.3% D=C/B E Payments 961 406 F Payments in % of commitments 45.8% F=E/C G Cancellations of 2011 final appropriations H Cancellations in % of final appropriations H=G/B Appropriations carried over (automatic and non- automatic carryovers) from 2011 to 2012 I Automatic carryovers from 2011 to 2012 1 138 144 Automatic carryovers from 2011 to 2012 in % of J commitments 54.2% J=I/C K Non-automatic carryovers from 2011 to 2012 Non-automatic carryovers from 2011 to 2012 in % of L final appropriations M=K/B Appropriations carried over (automatic and non- automatic carryovers) from 2010 to 2011 M Automatic carryovers from 2010 to 2011 929 367 Payments against automatic carryovers from 2010 to N 2011 686 506 Payments against automatic carryovers from 2010 to O 2011 in % of automatic carryovers from 2010 to 2011 73.9% O=N/M Cancellations of automatic carryovers from 2010 to P 2011 242 861 Cancellations of automatic carryovers from 2010 to Q 2011 in % of automatic carryovers from 2010 to 2011 26.1% Q=P/M R Non-automatic carryovers from 2010 to 2011 Payments of non-automatic carryovers from 2010 to S 2011 Payments against non-automatic carryovers from 2010 to 2011 in % of non-automatic carryovers from T 2010 to 2011 T=S/R Cancellations of non-automatic carryovers from 2010 to 2011 in % of non-automatic carryovers from 2010 U to 2011 Cancellations of non-automatic carryovers from 2010 to 2011 in % of non-automatic carryovers from 2010 V to 2011 V=U/R Assigned revenue in 2011 W Appropriations from assigned revenue in 2011 Payments against appropriations from assigned X revenue in 2011 Payments against assigned revenue in % of Y assigned revenue Y=X/W Z Assigned revenue carried over to 2011 AA Appropriations for mopping up transfer
Rapport 31.12.2011 2 1. OBJECTIVES 2011
1.1 Objectives of the Directorate-General for External Policies
1. To contribute to Parliament’s growing involvement – since the Lisbon Treaty entered into force – in the external action of the European Union by providing assistance, based on enhanced expertise, to the competent parliamentary bodies in their legislative, budgetary, supervisory and parliamentary diplomacy roles: - so as to enable them to exercise fully Parliament’s new powers in respect of codecision and assent, access to documents, budget and comitology procedures, and the ability to make recommendations; - through growing support for initiatives and parliamentary control of external policies, both the CFSP/ESDP and the implementation of political and trade agreements, and of the effective use of European funds vis-à-vis our strategic and/or sensitive partners; - through quality support to increase the effectiveness and visibility of Parliament’s role in the areas of human rights, election observation and promotion of parliamentary capacity in the newly emerging democracies; - by adopting harmonised working methods enabling the secretariats of the bodies and policy department to work in a way that is horizontal – on a regional or thematic basis – and complementary and exploits synergies, including between DGs, with the aim of helping Members plan ahead and increase their impact.
2. To allocate the DG’s human, budgetary and IT resources effectively and optimise the management thereof in the service of the parliamentary bodies, in cooperation with the other DGs, by developing: tools and methods for planning and monitoring the DG’s activities and decisions, better provision of information for officials on their costs and changes in appropriations and, hence, better quality financial management, through enhanced accountability and appropriate training; personnel management which is based on multiannual needs planning, updated recruitment methods, flexibility in the allocation of staff to cope with temporary excess workloads and/or unforeseeable specific needs and ongoing training adapted to various requirements, and which promotes teamwork; the security of delegations on official missions by continuing to contribute to the consolidation of the Secretariat’s rules for emergency situations, while maintaining its specific mechanism, pending the implementation of the desired generalised procedure.
1.2. Evaluation of the feasibility and the associated risks
The entry into force of the Lisbon Treaty undoubtedly enhanced the powers of the European Parliament in the domain of external policies by putting more emphasis on its parliamentary scrutiny in general terms. At the same time, it broadened the co-decision procedure to new areas in particular within international trade. All this represents a great challenge to the Directorate-General. To cope with the increase of parliamentary activity and procedures, new colleagues have been recruited in 2010 and in 2011. It still remains to
Rapport 31.12.2011 3 be seen whether these posts are enough to meet the increased responsibilities of parliamentary scrutiny of external policies of the European Union.
As DG EXPO is responsible for external policies with global working field, it faces many risks even concretely when the delegations are completing their duties in high risk areas. Therefore, a significant appropriation of funds (250.000 Euros) was reserved in the 2011 budget for possible security needs of the delegations. In addition, a security support system has been created in order to ensure proper evaluation of the security situation in the visited countries and in order to ensure that staff and members on mission have a contact point in Parliament in case of emergency. As part of the improved risk management, all staff going on missions outside the three working places must participate in security training before the missions.
2. EVALUATION OF RESULTS AND RESOURCES USED
2.1. Environment of DG External Policies
The decision by the Bureau to organise a High Level Human Rights Conference - Sakharov Network-event mainly under DG EXPO’s responsibility gave the DG a new challenge as the event was not planned nor budgeted.
In order to support the emerging democracies and to promote democratisation, particularly in the Arab world, a new Directorate for Democracy Support will be created in DG EXPO (Bureau approval on 12 December 2011). The Directorate will be established in a budget- neutral manner through redeployment and will include the Office for Democracy Promotion (currently in DG EXPO) and three units: Election Observation (currently in Directorate A in DG EXPO), Western Balkans (currently in DG Presidency) and Human Rights Actions (to be created with 5 posts). The creation of the new Directorate will take place in the first half of 2012.
As a response to Bureau decision of 14 November 2011, urging Parliament to take a lead in providing practical assistance to help democratisation of Libya and Tunisia, DG EXPO published a post in December 2011 for this purpose for the OPPD.
2.2 Human resources in the DG
Posts in Posts in establishment establishment plan plan Situation at: 31/12/2011
Temporary Contract External 01/01/2010 01/01/2011 Officials staff agents staff Total AD 89 104 104 5 5 11 125 AST 98 102 108 3 6 0 117 Other 0 0 0 0 0 0 0 Total 187 206 212 8 11 11 242
2.3. Implementation of the budget in 2011
The delegation activities concentrated mainly in five external activities weeks, in February, March, May, October and November. However, DG EXPO activities accelerated significantly towards the end of the year: 36% of the committees and
Rapport 31.12.2011 4 delegations activities and almost half of procurements of external studies to support the work of committees took place in the last quarter of 2011.
2.3.1 Final appropriations on 31 December 2011 and initial appropriations
DG EXPO received a budget transfer of € 260.000 in September to budget sub-item 3245- 02, Organisation of seminars, cultural activities, Sakharov Prize & Ceremony. The transfer was needed to cover the expenses of the High Level Human Rights Conference - Sakharov Network Event which was not planned or budgeted by DG EXPO but decided by the Bureau. In addition, DG EXPO received two budget transfers of totally € 48.000 to budget sub-item 3042-02, Meetings and conferences of committee delegations and of € 7.000 to budget sub-item 3042-05, International membership fees. The first-mentioned sub-item needed additional budget funds due to more delegations than budgeted (decided by the political authorities) and due to the fact that the average cost per delegation was higher than budgeted (see comments below under sub-item 3042-02). For International membership fees the budgeted funds were not sufficient because a fee for 2010 had to be financed from 2011 budget.
2.3.2 Final appropriations on 31 December 2011 and committed appropriations
DG EXPO’s total final appropriations were 3.598.319 Euros in 2011 which is 26,7%% more than in 2010. The total committed amount of 2.099.550 Euros in 2011 is 16.3% higher than that of 2010. It is worth mentioning that the real cost of external policies activities is very significantly higher than DG EXPO’s budget implies because the budget does not include normal mission expenses, only miscellaneous travel, meeting and parliamentary cooperation expenses as well as studies to support the work of the committees.
The use of the budgeted funds in 2011 was the following:
• sub-item 3042-02: Committee Delegations With the increasing number of approved delegations, two budgetary transfers were needed during the year (in August and in late November) in order to ensure available funds for the remaining committee delegations. However, in the end of the year, two of the approved delegations were cancelled and the transferred funds were not needed. The numerous delegations in the end of year (November, beginning of December) cause a problem for budget availability as the commitments usually include a safety margin which cannot be released before the mission expenses have been settled. The delegations include usually an imprest account and the settlement of the mission expenses takes place around 10 days after the mission. This year, settlements of seven imprest accounts were pending until the last working days before Christmas, and therefore, the unused funds were only released in the end of year.
A problem related to budgeting funds for committee delegations is that the programme for the budget year is not known at the time of budgeting, therefore, it is based on the previous year’s programme which is not always an accurate basis for the budget year calculation. Even if there are quotas for the committee delegations, they limit only the maximum number of MEPs, not the number of delegations or their destination.
Rapport 31.12.2011 5 • item 3042-05: Subscriptions to international organisations The entire final appropriation, including a budget transfer of € 7.000, was committed in 2011.
• item 3044: Interparliamentary Delegations and WTO The utilisation rate of this appropriation was 43.4 % at the end of the year. The low rate is due to the fact that less delegations than in the budget calculation took place and in addition the average cost was lower than budgeted due to cancellations and savings. Transatlantic Relations had the lowest utilisation rate of the delegations in 2011; the reasons are valid for many other delegations as well: one of the planned delegations was cancelled (Washington March 2011), a significantly smaller delegation than planned went to the EP-US IPM&TLD, in addition, in the EU-US IPM in Budapest the hosts financed the venue, meals and local transport which were included in the budget calculation.
Out of the total appropriation of 858.000 Euros, 250.000 Euros was budgeted for security measures for delegations travelling to high risk countries. Of these funds for security, € 143.687 were used in 2011. Had the planned delegation to Afghanistan taken place, the security cost would have been significantly higher (the delegation was cancelled).
Generally, the budget was based on the assumption that all planned delegations will take place.
• item 3046: ACP Joint Parliamentary Assembly Out of the total appropriation of 451.000 Euros, 31,9% has been committed. The meeting venues and most local transports were financed by host countries providing savings compared with the budget calculation.
• item 3047: EuroLat Parliamentary Assembly The utilisation rate of this appropriation at the end of the reporting period was 63.9 %. Savings compared with the budget calculation derive from EuroLat meetings in the EU.
• item 3048: PA UfM (EuroMed) In the end of the period, only 13.2% of the total appropriation of 216.319 Euros has been committed. The low utilisation rate derives from the fact that the EP contribution of 177.000 Euros to the PA Union for Mediterranean has not been executed due to delays with the Belgian authorities in registration of the PA as a legal entity with its own budget.
• sub-item 3200-02: Studies, experts and other persons (external policies of the EU) The utilisation rate of the total appropriation of 1.000.000 Euros is 79,3 % in the end of the year. The procurements of external studies to support the work of committees increased by a quarter compared with 2010. As regards invited and paid committee guests, 88% of the quotas have been used in 2011.
• sub-item 3220-12: Subscriptions The total appropriation is 8.000 Euros, of which 75 % has been used.
• item 3230 : Office for Promoting of Parliamentary Democracy Out of the total appropriation of 520.000 Euros, 89.9% was committed in 2011.
Rapport 31.12.2011 6 • sub-item 3245-02: Sakharov Prize The original appropriation of 100.000 Euros was to cover the 23rd Sakharov Prize and the award ceremony in December 2011. In September 2011, a decision was taken by the Bureau to organise a High Level Human Rights-Sakharov Network Event in November 2011. A budgetary transfer of 260.000 Euros was authorized. The actual cost of the event was lower because not all invited persons came to the event.
It can be mentioned that several of the earlier winners of the traditional Sakharov Prize have not yet received their prizes, for political reasons, (2010 winner, Fariñas; 2005 winners, White Ladies; the 2008 winner, Hu Jia and the 1990 winner, Aung San Suu Kyi).
2.3.3 Committed appropriations and executed payments
Payments made in 2011 correspond to 45.8% of the total committed amounts. The low rate of payments is mainly due to external studies; almost half of the 2011 studies were procured in the last quarter of the year and the long delivery time for studies causes a significant time lag between the commitment and payment. In addition, most delegations use imprest accounts in their missions; commitments for these are made well before the mission, while settlements are provided ten days after the mission.
2.3.4 Use of the appropriations carried over from 2010 to 2011
Out of the carry-over appropriations of 929.367,01 Euros, 73.9% were paid in the reporting period. The commitments carried over from 2010 but not paid in 2011 are mainly related to Sakharov Prizes in 2010 and 2005; the winners were not able to collect their prizes. In addition, part of the commitments related to election observation missions were not needed, as well as a OPPD publication and a brochure could not be produced as planned during the year.
2.3.5 Use of the appropriations corresponding to assigned revenue
DG EXPO has no appropriations corresponding to assigned revenue.
2.4. Result indicators on 31 December 2011
Number of delegation activities carried out, including committee delegations, election observation and ad hoc delegations; Number of studies carried out in support of the work of the committees AFET, INTA, DEVE and sub-committees SEDE et DROI Number of hearings organised;
2.4.1 Number of delegation activities financed by DG EXPO and carried out:
The committees and delegations completed 144 activities during 2011 which is 14 activities (10,8%) more than in 2010. Committee delegations stand for a significant part of the increase, as AFET and DEVE almost doubled their delegations activities in 2011 compared with 2010. The destination of major part of these additional delegations was Asia or Africa (South-Sudan and twice Japan).
As regards interparliamentary delegations, their total number increased by nine (7,9%) in 2011 on the previous year, mainly due to increased number of Euronest activities (Euronest Parliamentary Assembly had its constituent meeting in May 2011).
Rapport 31.12.2011 7
Committee delegations 3042-02 1 DEVE delegation to Brazil 22-24/02/2011 OUT 2 AFET delegation to Croatia 14-15/03/2011 OUT 3 DROI delegation to Geneva (16th Session UN Human Rights Council, 16-18/03/2011) OUT 4 SEDE delegation to Uganda (26-28/04/2011) OUT 5 AFET delegation to Uzbekistan and Turkmenistan 26-29/04/2011 OUT 6 DEVE delegation to Pakistan 27-29/04/2011 OUT 7 DEVE delegation to Istanbul (UN Conference on Least Developed Countries, 8-13/05/2011) OUT 8 DROI delegation to Honduras and Mexico (16-20/05/2011) OUT 9 CARIFORUM-EU Parliamentary Committee, Brussels 15-16/06/2011 IN 10 INTA delegation to Poland (Warsaw) 27-28/06/2011 OUT 11 DEVE delegation to South Sudan 19-21/07/2011 OUT 12 AFET delegation to African Union 01-02/09/2011 OUT 13 AFET Delegation to Iceland 07-09/09/2011 OUT 14 INTA delegation to Japan 30.09-08/10/2011 OUT 15 INTA delegation to Canada 29/10-07/11/2011 OUT 16 DEVE delegation to Kenya 31/10-02/11/2011 OUT 17 AFET delegation to Japan 31/10-03/11/2011 OUT 18 AFET delegation to Turkey 10-11/11/2011 OUT 19 AFET/DROI delegation to 66th Session UN General Assembly in New York, 28-29/11/2011 OUT 20 INTA delegation to Denmark 28-29/11/2011 OUT 21 DEVE delegation to European Development Days, Warsaw 15-16/12/2011 OUT
Delegation EUROPE/Enlargement/EEA 3044-01 1 BSPC Enlarged Standing Committee meeting in Brussels 01/02/2011 IN 2 66th EU-Turkey JPC in Antakya 21-22/02/2011 OUT 3 2nd Northern Dimension Parliamentary Forum, Tromsø, 22-23/02/2011 OUT 4 36th EEA JPC Svalbard Norway 11-15/04/2011 OUT 5 2nd EU-Iceland JPC 26-28/04/2011 Reykjavik OUT 6 5th EP-Serbia IPM Brussels 18/04/2011 IN 7 29th EU-Switzerland IPM 15-17/05/2011 in Switzerland OUT 8 13th EU-Croatia JPC, Dubrovnik, 16-17/05/2011 OUT 9 2nd EU-Montenegro SAPC 17-18/05/2011 in Montenegro OUT 10 3rd West Nordic Council meeting in Nuuk, Greenland, 18-21/05/2011 OUT 11 4th EP-Kosovo IPM 19-20/05/2011 in Kosovo OUT 12 3rd EU-Albania SAPC in Brussels 14-15/06/2011 IN 13 27th EP-Norway IPM in Brussels 20/06/2011 IN 14 20th Baltic Sea Parliamentary Conference in Helsinki 28-30/08/2011 OUT 15 3rd EU-Iceland JPC in Brussels 05/10/2011 IN 16 3rd EU-Montenegro SAPC in Brussels 3-4/10/2011 IN 17 37th EEA JPC in Strasbourg 26-27/10/2011 IN 18 9th EU-FYROM JPC in Skopje, Macedonia 2-4/11/2011 OUT 19 67th EU-Turkey JPC in Brussels 28-29/11/2011 IN 20 30th EU-Switzerland IPM in Brussels 29/11/2011 IN 21 4th EP-Albania SAPC in Tirana 8-9/12/2011 OUT 22 13th EP-B&H IPM in Brussels 19-20/12/2011 IN
Delegation EUROPE/EURONEST/Russia 3044-02 1 16th EU-Ukraine PCC, 15-16/03/2011 Brussels IN 2 13th EU-Georgia PCC in Brussels 15/03/2011 IN 3 EU-Russia PCC in Brussels 21-22/03/2011 IN 4 2nd PCC Russia in Astrakhan 26-28/04/2011 OUT 5 EURONEST Constituent Meeting in Brussels 2-3/05/2011 IN 6 Working Group EU-Russia PCC delegation to Sochi 17-18/05/2011 OUT 7 EU-Moldova PCC Meeting in Brussels 15/06/2011 IN 8 11th EU-Azerbaijan PCC, Baku 20-21/06/2011 OUT
Rapport 31.12.2011 8 9 EURONEST Bureau meeting in Brussels 21/06/2011 IN 10 EURONEST Bureau meeting and session in Strasbourg 14-15/09/2011 IN 11 14th EU-Russia PCC Meeting, Warsaw 19-20/09/2011 OUT 12 EURONEST Working Group meeting in Brussels 17/10/2011 IN 13 EU-Russia PCC in Moscow 31/10-02/11/2011 OUT 14 12th meeting of the EU-Armenia parliamentary committee in Yerevan 2-4/11/2011 OUT 15 EURONEST working group meeting on Belarus in Brussels 29/11/2011 IN 16 14th EU-Moldova PCC Meeting, Chisinau 24-26/11/2011 OUT 17 17th EU-Ukraine PCC Meeting, Kiev 24-25/11/2011 OUT
Delegation Middle East 3044-03 1 6th EP-Oman IPM in Oman 18-23/02/2011 OUT 2 Delegation to the Palestinian Legislative Council 26-29/4/2011 OUT 3 6th Jordan IPM in Amman 27-30/04/2011 OUT 4 3rd Iraq IPM 25-29/04/2011 OUT 5 36th IPM EP-Israel in Israel 23-26/05/2011 OUT 6 10th IPM EP-Lebanon in Brussels 12/10/2011 IN Delegation for Relations with Palestinian Legislative Council - visit to Gaza 30/10- 7 03/11/2011 OUT 8 37th EP-Israel IPM in Brussels 23/11/2011 IN 9 10th IPM EP-Saudi Arabia in Riyadh 25-29/11/2011 OUT
Delegation Transatlantic Relations 3044-05 IN & 1 70th EU-US IPM in Brussels 29/06/2011; in Budapest 29/06-01/07/2011 OUT 2 Delegation Bureau visit to Canada 17-22/07/2011 OUT 3 34th EU-Canada IPM in Strasbourg 12-13/09/2011 IN 4 Bureau visit to Washington 2-3/11/2011 OUT 5 71st EP-US IPM & TLD Jacksonville 2-4/12/2011 OUT
Delegation Asia/Australia 3044-07 1 5th Sri Lanka and 3rd Maldives IPM 20-26/02/2011 OUT 2 8th Indonesia IPM 21-25/02/2011 OUT 3 34th Australia IPM 21-25/02/2011 OUT 4 1st Tajikistan PCC 15-16/03/2011 IN 5 Bureau visit to India 13-15/03/2011 OUT 6 14th India IPM Delhi & Regions 11-15/04/2011 OUT 7 2nd Turkmenistan IPM Ashgabat 28-30/04/2011 OUT 8 4th Bhutan IPM 23-29/04/2011 OUT 9 32nd Japan IPM 18-20/05/2011 OUT 10 8th Mongolia IPM 16-18/05/2011 OUT 11 Bureau visit to China 16-18/05/2011 OUT 12 10th Kazakhstan PCC in Brussels 15-16/06/2011 IN 13 31st China IPM in Brussels 13-15/06/2011 IN 14 32nd China IPM in China 01-05/09/2011 OUT 15 32nd Cambodia in Cambodia IPM 18-24/09/2011 OUT 16 33rd Japan IPM in Strasbourg 25-26/10/2011 IN 3rd EP-Democratic Peoples Republic of Korea and 15th EP-Republic of Korea IPM in 17 Pyongyang and Seoul 27/10-05/11/2011 OUT 18 Bureau visit to Nepal 24-28/11/2011 OUT
WTO 3044-08 1 23rd session of the Steering Committee WTO in Geneva 21/03/2011 OUT 2 Delegation to WTO Parliamentary Conference in Geneva 21-22/03/2011 OUT 3 24th Session of the Steering Committee WTO in Geneva 21/09/2011 OUT
Rapport 31.12.2011 9
Election observation missions 3044-09 1 Presidential election observation mission Chad 13/02/2011 OUT 2 Presidential-parliamentary election observation mission Uganda 18/02/2011 OUT 3 Election observation mission Nigeria 4-20/04/2011 OUT 4 Election Observation Mission to Peru 02-07/06/2011 OUT 5 Election Observation Mission to Zambia 17-23/09/2011 OUT 6 Election Observation Mission to Tunisia 20-25/10/2011 OUT 7 Election Observation Mission to Kyrgyzstan 25/10-03/11/2011 OUT 8 Election Observation Mission to Nicaragua 2-9/11/2011 OUT 9 Election Observation Mission to the Democratic Republic of Congo 25-30/11/2011 OUT
AD hoc delegations 3044-10 1 Ad hoc delegation to Tunisia 03-06/02/2011 OUT 2 Ad hoc delegation to Sarajevo, Bosnia-Herzegovina 22-25/02/2011 OUT 3 Ad hoc delegation to Egypt 19-21/03/2011 OUT 4 Ad hoc delegation to Albania 06-09/05/2011 OUT 5 Ad-Hoc delegation to Turkey 21-22/11/2011 OUT 6 Ad-hoc Delegation to the 8th WTO Ministerial Conference, Geneva 15-17/12/11 OUT
Delegation Africa/Caribbean/Pacific 3044-04 1 17th EP-South Africa IMP in Cape Town 20-25/02/2011 OUT 2 2nd EU-Morocco JPM in Morocco 16-20/05/2011 OUT 3 7th EP-Mauritania IPM in Brussels 22-23/06/2011 IN 4 3rd EU-Morocco CPM in Brussels 12-13/07/2011 IN 5 18th EP-South Africa IPM in Strasbourg 27-29/09/2011 IN 6 Opening session of the Pan African Parliament, Midrand, SA 14-15/10/2011 OUT 7 11th EP-Algeria IPM IN Algeria 2-5/11/2011 OUT 8 Pan-African Parliament IPM in Brussels 05-06/12/2011 IN
ACP 3046 1 6th regional meeting in Yaoundé, Cameroon 28-29/04/2011 OUT 2 21st ACP-EU JPA 14-18/05/2011 Budapest OUT 3 ACP-EU JPA fact-finding mission to East Timor 16-21/06/2011 OUT 4 ACP-EU JPA Standing Committees meeting in Brussels 05/10/2011 IN 5 22nd ACP-EU JPA 16-23/11/2011 in Togo OUT 6 ACP-EU JPA 4th high level forum on Aid Effectiveness, Busan, Korea, 29/11-01/12/ OUT
Delegation Latin America 3044-06 1 14th CPM EU-Chile in Brussels 24-25/01/2011 IN 2 Working Group: visit to Nicaragua and Costa Rica 19-26/2/2011 OUT 3 Working Group: Andean Community Delegation, visit to Colombia 25-28/4/2011 OUT 4 Delegation for relations of countries of Mercosur to Brazil 25-29/04/2011 OUT 5 12th EU-Mexico JPC in Luxembourg 19-22/6/2011 IN 6 EP-Brazilian Congress IPM in Strasbourg 06/07/2011 IN 7 Working Group MERCOSUR Delegation to Uruguay & Paraguay 31/10-04/11/2011 OUT 8 CPM UE-CHILE in Santiago de Chile 2-5/11/2011 OUT 9 Latin America Working Group visit to Honduras 31/10-4/11/2011 OUT 10 13th EU-Mexico Joint Parliamentary Committee meeting OUT
Rapport 31.12.2011 10
EUROLAT 3047 1 EUROLAT Executive Bureau - Working Group visit to Cartagena 28-29/04/2011 OUT 2 EUROLAT 5th ordinary plenary session 17-19/05/2011, Montevideo, Uruguay OUT 3 EUROLAT Meetings in Brussels 21-23/11/2011 IN
EUROMED 3048 1 EMUNI Working Group meeting in Brussels on 25/01/2011 IN 2 PA UfM, Committee on Political Affairs meeting in Brussels 27/01/2011 IN 3 PA UfM Committee on Political Affairs meeting in Barcelona 01/07/2011 OUT 4 EMUNI Working Group lunch in Brussels on 05/10/2011 IN 5 EMPA-Culture Committee Meeting in Brussels 11/10/2011 IN 6 EUROMED Women Rights Committee Meeting 23/11/2011, Brussels IN 7 PA UfM - Political Committee 06/10/2011, Brussels IN
The number of ad hoc delegations was six in 2011 which is one more than in 2010. Two of the ad hoc delegations were implemented as response to the Arab-Spring events (Tunisia and Egypt).
2.4.2 Expertise supplied to Committees and other parliamentary bodies:
Studies:
Totally 501 studies, briefings, background notes and Country Security Assessments were completed in 2011. Out of these 82% were produced internally. The number of external studies increased significantly, by 24,7%, in 2011 compared with 2010. All committees, except SEDE, increased their procurements of external studies, AFET standing for more than half of the rise.
It can be mentioned that the timing of initiation of external studies was more balanced in 2011 than the year earlier, even if, almost half of the studies were still initiated in the last quarter of the year (70% in 2010).
Sixteen workshops were organised in 2011, which is significantly (11) more than in 2010. The increase in the number of workshops reflects the appreciation of the Members/parliamentary bodies as they allow better interaction with the experts. On the other hand, the thirty hearings organised by the committees/sub-committees in 2011 is seven hearings less than in 2010.
As regards internal papers, the focus has been on forward looking analysis. The majority of the own initiative Policy briefings are related to the Arab Spring or trade issues. There is also an increase of the ‘Quick Policy Insights’ which are produced at the initiative of the Policy Department to react rapidly to a crisis or a sudden event. On the other hand, the Private Office of the President has asked less support from the Policy Department in 2011 than before.
In 2011, 101 Country Security Assessments were produced, which is 22% more than in the previous year. The increase is partly due to more missions to high risk destinations, partly due to more active use of CSAs, in line with the revised security protocol for the delegations.
The table below shows different type of expertise produced in 2011:
Rapport 31.12.2011 11 External studies & briefing papers (completed) 91 -of which under framework contracts 49 -of which workshops 16 Quick Policy Insights 22 Internal papers: - background notes and studies 229 - speaking points 52 - Fact Sheets 20
Country Security Assessments 101 Total 501
Hearings:
The total number of committee/sub-committee hearings was 30 in 2011, which is 7 less than in 2010. The number of invited guests was equally lower in 2011 than in the previous year. The fact that the committees organised 11 workshops more in 2011 than in 2010, can explain the reduced need for hearings.
Rapport 31.12.2011 12 2.4.3. Democracy Promotion:
In the field of the promotion of democracy, following activities were undertaken in 2011 by OPPD.
Study visit of delegation from CEMAC (Communauté économique 25-28/01 In et monétaire de l’Afrique centrale) Transatlantic Dialogue, organised by the National Democratic 14-15/03 In Institute, hosted by the EP Study visit of delegation of Rajya Sabha (the Indian Upper House) 21-25/03 In Study visit of delegation of the National Assembly of Mauritania 11-14/04 In Community of Democracies Parliamentary Forum 11/04 In Study visit of Delegation of Control Audit Office in Afghanistan 23-26/05 In Study visit of delegation of Seychelles National assembly 20-23/06 In Study visit, staff member, Wolesi Jirga, Afghanistan 21/06-08/07 In Study visit, Deputy Clerk Legislative Business, Pan African Parliament (5-7 July at Parliamentary Assembly of the Council of 27/06-08/07 In Europe, Strasbourg) Study visit of a group of Egyptian political activists (representatives 11-15/07 In of political parties and campaigns) Study visit of a delegation from the Burundi National Assembly 29/08-1/09 In Contribution to the programme of visiting delegation of the Iraqi 5-6/10 In Council of Representatives (parliament) Study visit of a delegation from the National Assembly of Armenia 10-13/10 In Seminar on parliamentary scrutiny of international agreements, for 17-20/10 In African transnational parliaments Study visit of a delegation from the staff of Parliament of Moldova 18-19/10 In Study visit of a delegation from the staff of Parliament of Kyrgyzstan 28/11-1/12 In Participation in programme of visiting staff members, Azeri 29/11 In parliament Democracy fellowship programme - MERCOSUR (1 Fellow), Chile, Chamber of deputies (1 Fellow), Armenian National February.- Assembly (1 Fellow), Ghana, Parliament (1 Fellow), Mauritania, In December 2011 National Assembly (1 fellow), PARLACEN-EUROLAT (1 fellow), Togo, National Assembly (1 fellow) Global Centre for ICT in Parliament, Panama 14-15/04 Out ACP Joint Parliamentary Assembly plenary, Budapest 14-18/05 Out Global Centre for ITC in Parliament, Forum Meeting, Geneva 18-19/05 Out Community of Democracies Parliamentary Forum, Tbilisi 18-20/05 Out EP working group on ICT visit to the Italian Chamber of deputies, 15-16/06 Out Rome Anna Lindh Exchange forum, Tunis 26/06 Out Community of Democracies-Parliamentary Forum, Vilnius 29/06-01/07 Out EP delegation to South Sudan 18-22/07 Out Community of Democracies-Parliamentary Forum and bilateral 15-16/09 Out meetings, Washington DC Pan African Parliament Session and EP delegation, Midrand, South 13-14/10 Out Africa European Development Days, Warsaw, Poland 15-16/12 Out
Rapport 31.12.2011 13 It can be also mentioned in this context that DG EXPO organised, in addition to the traditional Sakharov Prize Ceremony, a High Level Human Rights - Sakharov Network Event in Brussels.
Sakharov Prize ceremony and network event 3245 1 High Level Human Rights Conference in Brussels 23/11/2011 IN 2 Sakharov Prize Award Ceremony in Strasbourg 14/12/2011 IN
2.4.4. Results achieved
Thematic activities: Committees
In accordance with one of DG EXPO’s main objectives (increasing and proactive support to parliamentary bodies in the area of external policies) the rapid joint actions of EXPO committees and delegations in response to the crisis in North Africa and in the Middle East demonstrated the capabilities to react quickly to important political events in the EU’s immediate neighbourhood. In January a joint ad hoc delegation of AFET/DROI and members of the Maghreb delegation visited Tunisia, and in March an ad hoc delegation (together with members of the Mashreq delegation) went to Egypt. The developments in the region (incl. Syria, Bahrain, Libya) have been followed closely by AFET and its DROI and SEDE Subcommittees via different initiatives: detailed briefings after the Foreign Affairs Councils, confidential meetings with the Commissioner responsible, joint initiatives with the relevant delegations, and finally, the establishment of a Monitoring Group on the Southern Mediterranean gathering the main actors in the House. The monitoring group (which benefits from the support of the EuroMed & Middle East Unit) interacts regularly with the EEAS and the Commission, other relevant international stakeholders and, actors on the ground (such as civil society representatives and Human Rights activists). It also provides political guidance to the EU executive, ensures the visibility of the EP and suggests and coordinates initiatives relating to developments in the region. Since its establishment in March 2011, the group has held 17 meetings. The two co-chairs of the Monitoring Group, together with a representative of ALDE, were invited to attend as observers the first meeting of the Tunisia Task force, presided by the HRVP, which took place in Tunis on 28/29 September. Similar initiatives are expected with other countries. At the same time work on the review of the European Neighbourhood Policy has been completed (final adoption of the report in plenary on Wednesday 14 December) and work on the revision of the relevant external financial instrument (2014-2020) is going to start. For the first time AFET has held more than 5 Joint Consultation Meetings on CFSP in a year (with an ad- hoc meeting on Libya being held on 21 September) and organised two confidential briefings on a number of classified dossiers between the High Representative and Members of the special CSDP committee, as well as the chair of SEDE (5 July and 14 December). In compliance with the ‘need-to-know’ principle, participation in such briefings (normally restricted to the 5+1 members of the special committee) has been extended to the chair of the subcommittee on security and defence.
In line with DG’s objectives, DROI continued its efforts to mainstream and raise the profile of EU human rights policy in its contacts with the EEAS and via revised human rights guidelines for interparliamentary delegations. A number of UN officials and special rapporteurs were received and in March a DROI delegation visited the annual session of the UN Human Rights Council. In May a DROI delegation visited Honduras and Mexico looking in particular at issues of impunity, torture and violence against women. This issue was followed up in DROI where a joint hearing was held with FEMM on the feminicide issue. Events in the Arab world continued to appear regularly on DROI agendas. DROI
Rapport 31.12.2011 14 work was delayed by the failure of the HR/VP to produce the Annual Report 2010 until October or to initiate the announced strategic review of EU Human Rights policy in mid- 2011 as earlier announced. The Unit continued its efforts to mainstream human rights issues by organising regular Task Force meetings from relevant Units in various DGs (as instructed by the Secretary General). It also contributed to raising the institution’s profile in this field by regular publication of a newsletter and cooperation in preparing events related to the Sakharov Prize and Network.
Under the Chairmanship of a newly elected DROI Chair (since September) DROI continued to highlight the importance of Human Rights at its regular meetings and an improvement of average attendance was noted as there was better coordination with interparliamentary delegations. Increased use of video and skype inputs was achieved. NGOs and human rights activists continued to ask to attend meetings reducing pressure on the limited opportunities for paid experts to its hearings and exchange of views. DROI members visited the UNGA with AFET and DEVE members in November.
A successful High Level Sakharov Network Conference has been co-organised by the DROI secretariat in the framework of the Sakharov Task Force. 2011 Sakharov laureates have been nominated and an event and moving ceremony has taken place in the December Strasbourg Session.
DROI possibilities of work (initiative reports, experts, hearings) have been increased by the Conference of Presidents in December 2011.
SEDE continued to exercise its scrutiny over CSDP, via regular briefings by high level EEAS officials (included from EDA, CMPD, CPCC) and experts on current missions (EULEX Kosovo, EUPM in Bosnia-Herzegovina, EUPOL and EUSEC DR Congo) and other issues like non-proliferation, counter-terrorism, cyber security and capability building. In April, a four-Member delegation visited the CDSP training mission (EUTM Somalia) in Uganda as part of parliamentary oversight over CSDP missions. A hearing on the impact on the financial crisis on the defence sector in the EU was held in June, followed by an INI report (adopted after the debate on CSDP with the HR/VP during the December plenary) on the same subject which put the emphasis on ‘pooling and sharing’: in this context, a debate was organised with EDA, NATO ACT and EATC. Libya was of course a major concern in view of the decided (but finally never launched) military operation EUFOR Libya. Finally SEDE received the Ministers of Defence of Belgium and France, the PSC Ambassadors from the Weimar Plus triangle, the Commissioner for peace and stability of the African Union, and the former Head of DPKO. In December, the CoP has decided on the upgrade of DROI and SEDE Subcommittees.
SEDE possibilities of work (initiative reports, experts, hearings) have been increased by the Conference of Presidents in December 2011.
For DEVE, the primary focus of the reference period has been the preparation for the future of EU development policy and its new financing instrument for 2014-20, based on an evaluation of the committee’s findings (through extensive scrutiny) on the functioning of the Development Cooperation Instrument (DCI), for which the new proposal was published on 7 December. On the specifics of future development policy, DEVE prepared reports on budget support (in response to a Commission green paper) and food security, while also participating in the Commission’s ‘structured dialogue with non- state actors and local authorities’ to ensure wide stakeholder involvement in the new programmes. The committee sent two delegations to Brazil and Pakistan respectively.
Rapport 31.12.2011 15 DEVE continues the preparations for the future of development policy under the next MFF, including with an INI report in preparation on the Commission’s ‘Agenda for Change’ Communication. This has been complemented by work towards the High Level Forum on aid effectiveness held in Busan in Nov/Dec 2011 (INI report leading to an EP ad hoc delegation) and a meeting with the experts from the OECD Development Assistance Committee responsible for the peer review of the European Commission’s implementation of aid. The reference period saw a concentration on the subject of food security, listed as a priority concern for 2014-2020, with an INI report and major hearing as well as discussions on the food crisis in the Horn of Africa in preparation for a DEVE delegation in Oct/Nov 2011. A delegation travelled to the newly-independent country of South Sudan in July 2011.
DEVE MEPs were also well represented at the European Development Days held in Warsaw in December, organising a High Level Event on behalf of the Committee as well as a press conference and other high-visibility activities.
INTA co-organised in March the joint EP/IPU 2011 Parliamentary Conference on the WTO. A delegation of 15 MEPs took part in the event, bringing together around 200 parliamentarians from 67 national legislative bodies and 4 parliamentary assemblies, and held for the first time at the WTO headquarters.
Following the entry into force of the Lisbon treaty, INTA rapidly became one of Parliament’s leading legislative Committees. INTA is currently reviewing the legislative framework in the field of the Union’s trade policy to reflect the treaty provisions by working on two key legislative procedures, the Omnibus I and Omnibus II. INTA continued further its policy work on Parliament’s new prerogatives, such as the EU2020 trade policy and the Union’s investment policy. Key issues included, among others, the proposal on the new GSP regime, Investment, the ICI instrument, Macro-financial assistance and the Anti-Counterfeiting Trade Agreement (ACTA). After achieving a deal on the safeguard regulation to protect the EU’s industry, INTA recommended consent to the Free Trade Agreement with South Korea. Trilogues were conducted on ten files under ordinary legislative procedure and four first reading agreements were voted in plenary. Several recommendations were made. INTA improved its working methods by developing regular contacts with the Council Presidencies and the Commissioner as well as with the Council secretariat and DG Trade. INTA Chair participates in the Trade Policy Committee lunches (former 133-Committee of the Council). INTA decided on appointing standing rapporteurs and monitoring groups in order to closely follow up the on-going trade negotiations. INTA circulates a monthly newsletter to a broad audience, and started to publish a weekly summary of all comitology-related information referred to the committee.
INTA, DEVE and AFET were actively involved in the conciliation procedure on the external financing instruments. An agreement with the Council was reached in this long procedure.
Parliament’s activities in election observation resulted in delegations to observe the referendum in Sudan, and elections in Chad, Uganda, Nigeria, Peru, Zambia, Kyrgyzstan, Tunisia, Nicaragua and DRC. A major focus of the Election Coordination Group (co- chaired by AFET/DEVE) is the ongoing setting up of the consultation procedure with the EEAS relating to the identification and planning of EU Election Observation Missions (EU EOMs), as well as the appointment of a Member of Parliament as EU Chief Observer during EU EOMs. In October, the EP hosted, jointly with EEAS and FPIS the 6th annual follow-up meeting on the Declaration of Principles (DOP) for International
Rapport 31.12.2011 16 Election Observation to which representatives of international organizations having signed the DOP took part.
Geographical activities: Interparliamentary Delegations, Multilateral Assemblies and Policy Department
As far as the work of the four Parliamentary Assemblies is concerned, the following should be underlined:
The Euronest Parliamentary Assembly (PA) was established in May 2011 after protracted and difficult negotiations which started in September 2009. In the last stage of the negotiations it was decided that for the moment no representative of Belarus would be invited due to the poor democratic record of that country. Four standing parliamentary committees were created and two working groups were established for an initial period of one year and subject to an extension.
The first Ordinary Session of the Euronest PA was held on 14-15 September, just two weeks before the Eastern Partnership Summit of Warsaw. The Assembly could not adopt a Declaration on Belarus, nor the resolution on the priorities for the Eastern Neighbourhood Policy, due to difficult wording on regional conflicts. However, it decided on the preparation of eight reports to be initiated by the four standing committees and on an ambitious calendar for 2012. Furthermore, the two Co-Presidents were invited to attend the Eastern Partnership Summit mentioned above (29-30 September in Warsaw). The two Euronest Working Groups started their activities in October and in November.
The Euro-Latin Parliamentary Assembly (EuroLat PA) held its fifth Ordinary Plenary session on 17-19 May 2011 in Montevideo, Uruguay, which was considered the most successful since the Assembly was set-up in November 2006. Three resolutions were adopted and two declarations of the Co-Presidents issued. The second round of EP activities on LAC issues took place on 21-23 November 2011 in Brussels and concentrated 3 EuroLat Standing Committee meetings, 1 Ordinary Executive Bureau, 2 Extraordinary Executive Bureau (open to all Members), 1 WG, 3 EP Interparliamentary Standing Delegation meetings, as well as EuroLat–Civil Society and LAC component preparatory meeting. Given the high attendance at this event (including some 18 Members) it is evident that strengthening of the Assembly’s activities with civil society needs to be revamped. The EuroLat Executive Bureau decided Modification of Rule 12 of the EuroLat Rules of Procedure to include German as a working language of the Assembly.
The Parliamentary Assembly of Union for Mediterranean (PA UfM) took place in Rome on 3 and 4 March and the Moroccan Parliament took over the PA UfM-Presidency. The Assembly’s Bureau meeting in Rabat on July, 11 approved the topics for the 2011/12 exercise and meanwhile all five Committees and one Working Group have had their first meetings, starting with the preparation of the respective reports and recommendations and have appointed all rapporteurs with the EP’s demand fully respected.
The negotiations with the Belgian authorities continues for obtaining recognition of the future PA UfM Secretariat, which should be located in Brussels. The preliminary talks were concluded at administrative level by October 2011, however the signature of the agreement should take place in the near future
As regards the ACP-EU Joint Parliamentary Assembly (JPA), in addition to their ordinary meetings in Brussels and Strasbourg the ACP EU co-secretariat organised the 21st Session in Budapest (Hungary) from 16 to 18 May and the 22nd Session in Lomé
Rapport 31.12.2011 17 (Togo) from 21 to 23 November 2011. Both sessions were preceded by meetings of the Bureau, the standing Committees and workshops. One of the concrete results of the Assembly in Budapest was the adoption of amendments to its Rules of Procedure which both modernise the Assembly and enable it to exert its role of parliamentary control in a more efficient way. The JPA also adopted three reports, two urgency resolutions and two declarations in Budapest and three reports and two urgency resolutions in Lomé. The Unit also prepared and assisted the Regional Meeting in Yaoundé (Cameroon) on 28 and 29 April where the Members discussed regional integration as well as infrastructure, environmental, and human rights issues, etc. JPA fact-finding missions were organised to Timor-Leste and to the 4th High Level Forum on Aid Effectiveness in Busan (Korea) and the Chair attended two Informal meetings of Development Ministers. The Unit further prepared and assisted four Interparliamentary meetings (Delegation for relations with South Africa and Delegation for relations with the Pan-African Parliament) and numerous Delegation meetings in Brussels.
The Interparliamentary Delegations concentrated on their bilateral contacts, organising their planned meetings either in the European Parliament’s premises or in the Parliaments of their partner countries.
EuroMed and Middle East Unit has since February 2011concentrated its activities especially on the ‘Arab Spring’ countries. The Unit contributed to the ad hoc delegations to Tunisia and Egypt and actively supported the Members in formulating the European Parliament’s response to the ‘Arab spring’. This activity continued in the autumn 2011 with the active involvement of the Unit in the Tunisia Election observation mission in October and in the preparatory work for an ad hoc delegation to Libya, which should be carried out in January 2012.
Furthermore, two special events in the framework of intercultural dialogue and of the Parliaments special attention paid to the Middle East Peace Process were organized by the EuroMed & Middle East Unit, namely the second edition of EuroMedScola in November 2011 in Strasbourg and the Seminar for Young political Leaders from Israel, Palestine and Europe in December 2011 in Brussels.
The Enlargement and EEA Unit assisted the work of the EU-Croatia JPC in the final phase of the country’s accession negotiations (concluded in June) and organised a number of meetings of the SINEEA delegation with EEA/EFTA counterparts, including Iceland (in view of the opening of negotiations in June 2011). In 2011, the Enlargement/EEA Unit organised successfully one or two inter-parliamentary meetings, in the framework of JPCs, SAPCs (Stabilisation and Association Parliamentary Committee) and IPMs, with the parliaments of all the partner countries in the remit of its responsibilities. The last meetings took place with Albania (Tirana, 8-9 December) and Bosnia&Herzegovina (Brussels, 19-20 December). Inter-parliamentary meetings with FYROM (JPC; Skopje, 3- 4 November), Montenegro (SAPC; Podgorica, 17-18 May; Brussels, 3-4 October) and Serbia (IPM; Brussels 18-19 April). The role of the EU-Albania SAPC to overcome the internal political stalemate in Albania and to reopen the inter-parliamentary dialogue with the country was vital.
The reactivation of the inter-parliamentary dialogue with the Turkish Parliament after the June elections in Turkey materialised in the successful outcome of the 67th EU-Turkey JPC (Brussels, 28 - 29 November).
Relations with the Swiss Parliament have been intensified against the background of the enhanced legislative role of the EP since the coming into force of the Lisbon Treaty: Two
Rapport 31.12.2011 18 meetings were held (Lugano, 16-17 May; Brussels, 29 November). Furthermore, the recently established EU-Iceland JPC (working group of the SINEEA delegation) started to monitor the accession negotiations (Reykjavik, 26-27 April; Brussels, 5 October). Finally, two EEA JPC meetings (Svalbard, 14-15 April; Strasbourg, 26 November) resulted in the adoption of a number of recommendations on internal market issues.
During the reporting period, the Transatlantic relations (TAR) and G8 Unit (re- nominated on 17 October 2011) was mainly occupied with the re-launch of the Transatlantic Legislators’ Dialogue (TLD) following the mid-term elections in the USA on 2 November 2010 and the appointment of the new delegation of the USA Congress. . One of the visible results of the re-launch of the TLD was a meeting between the Speaker of the US House of Representatives, Mr John Boehner, and President Jerzy Buzek. The Transatlantic Economic Council was also given a boost following a meeting of the TLD Steering Committee with Commissioner De Gucht on 6 April 2011. The 71st EP-US IPM/TLD was held in Brussels and Budapest from 29 June to 1 July at which it was agreed to set up for the first time joint TLD Working Groups in three priority areas: Agriculture and Food Safety, Financial Markets and Services, and Transport Security, particularly in the aviation field. The 71st EP-US IPM/TLD took place in Jacksonville and was prepared by prior meetings of the TLD Steering Committee attended by TEC Co- chair Commissioner De Gucht and US Ambassador Kennard, as well as by resolutions of the EP addressing the EU-US summit and TEC meeting of 28 and 29 November 2011.
The enlarged Bureau of the Canada delegation visited Ontario and Manitoba in July, focussing mainly on transport, the financial crisis, CETA (Comprehensive Economic and Trade Agreement under negotiation between the EU and Canada), agriculture and immigration issues. The discussions on these issues, together with energy supply and international security, continued at the 34th incoming EP-Canada IPM in Strasbourg on 12-13 September.
Regular meetings of the TLD Administrators’ Network took place during this period in the presence of the EU Ambassador to the US, Vale de Almeida, and the US and Canadian Ambassadors to the EU.
The Asia, Australia, New Zealand Unit (AANZ) organised more than 100 regular meetings of the 10 Interparliamentary Delegations that it serves. Among others the Delegation for relations with China held the 32nd IPM (Beijing, Guangzhou, Shenzhen, Hong Kong) in early September. The Delegation for relations with South East Asia attended the annual ASEAN Inter-Parliamentary Assembly Meeting (AIPA), which took place in Cambodia on 19-23 September 2011.
Two missions where planned with considerable work, but could not be carried out for political (Iran) or practical (Thailand) reasons.
For obvious reasons, the countries concerned by nuclear proliferation (Democratic Republic of Korea, Iran, Pakistan/Afghanistan) pose to the delegations of the Unit a different set of challenges and of constant work.
The Russia/Eastern Partnership Unit organised, amongst others, three Working Group meetings of the EU-Russia PCC (two in Russia and one in Brussels) and, worthy to be noted, the annual PCC meeting, the last before the December 2011 elections to the State Duma, in Warsaw, in the country holding the rotating presidency of the Council of the EU. All the other PCCs met according to planning, twice with Ukraine (March and
Rapport 31.12.2011 19 November) and Moldova (June and November) and once for their yearly meeting in the case of Georgia (March), Azerbaijan (June) and Armenia (November).
As defined in DG’s objectives, the Policy Department continued to support the political engagements of the President and the key parliamentary organs of the institution, namely its Committees and Delegations in the field of external relations. This has been achieved by providing expertise for 281 briefings and speaking points as well as in the project management of 91 completed external studies. When internal capacities are saturated and in order to continue to provide timely expertise the department has drawn upon its wide ranging networks of external experts.
During the reporting period, the focus has been upon the uprisings in the Middle East and North Africa. The Policy Department has analysed in ‘real-time’ the rapid developments and has made policy recommendations, in the light of evolving scenarios, for possible responses by the European Parliament. On this file in particular, there has been exchanges and close cooperation with the Congressional research service in Washington.
The Policy Department has produced 101 Country Security Assessments (CSA) prior to the departure of the European Parliament’s delegations outside the European Union (EU).
In order to strengthen our relations with the community of think-tanks, the Policy Department has continued to develop a forum, known as the Policy Hub, for exchange amongst experts inside and outside the institution (11 Policy Hub were organised during the year).
In accordance with the annual objectives for 2011, a training session on prospective studies was organised for the unit. The training will allow the unit to be in a better position to contribute to reflections on the future challenges in the field of EU foreign policy and international relations.
A project-team on G20, lead by the Policy Department, has been set in December.
Office for Democracy Promotion
During 2011, the OPPD organised 12 study visits with programmes including general presentations and overviews of the functioning of the European parliament, as well as specific issues of interest to the participants - a total of just over 80 people. The visit of a large group of Egyptian political activists, representing political parties and campaigns was of special interest, a sui-generis experience and combined training and exchange. A study visit of the PAP Finance committee was prepared and rescheduled for January 2012. The OPPD also contributed substantially to the programmes of visiting delegations from Iraqi Council of representatives and from PAP Committee chairs and senior staff. Preparations for further study visits and fellowships are underway, notably with members and staffers from Africa and EURONEST parliaments. Plans and initial contacts are underway for organising support programmes for the Tunisian Constituent Assembly and later on for the parliament in Egypt.
During this period, the OPPD supported the Community of Democracies Parliamentary Forum by playing an active advisory role in drafting the basic documents of the Forum, organising a meeting in Brussels and taking part in meetings of the Forum in Tbilisi, Vilnius and Washington, which also offered opportunities for networking and important bilateral contacts.
Rapport 31.12.2011 20 Seven new Fellows benefited from the Democracy Fellowship Programme, contributing to the OPPD assistance to the MERCOSUR and PARLACEN parliamentary assemblies and the Parliaments of Chile (Chamber of deputies), Armenia, Ghana, Mauritania and Togo.
The OPPD organised, together with the National Democratic Institute for International Affairs (NDI), a meeting of the Transatlantic dialogue on Strengthening Cooperation on Democracy Support. The event was co-chaired by president Buzek, Madeleine Albright, Javier Solana, Vin Weber and attended by high-level personalities.
The OPPD also organised a seminar on parliamentary scrutiny of international agreements for African parliaments, to build up their capacity to scrutinise international agreements with a view to future ratifications of agreements with the EU, notably EPAs.
A note on the future activities and mandate of the OPPD was prepared to the attention of the Bureau of the EP.
The Office provided support to EP rapporteurs V. De Keyser on the AFET/DROI own- initiative report on EU external policies in favour of democratisation and to A. Graf Lambsdorff on the AFET own-initiative report on the modalities for the possible establishment of a European Endowment for Democracy.
Work on an OPPD video was completed and it is now available. Earlier versions were shown at the EP Open Days. The DVD was distributed to all MEPs in Strasbourg during week 46 together with a covering note signed by VP McMillan-Scott and the OPPD Director. The video is also available on the OPPD web site. Feedback has been extensive and very positive.
Two issues of the OPPD newsletter were circulated. The OPPD also produced research publications on Rules of Procedure, ICT in parliaments, Parliamentary Ethics and Electoral Systems. The OPPD Info-kit was reprinted and translations of some OPPD publications into French and Arabic have been ordered and are being finalised. They are expected to be very useful for parliamentary assistance notably in Tunisia and in other African countries. A study on Benchmarking is close to completion and other publications are in the pipeline.
Resources allocation
Optimal resources allocation as regards financial, technical and human resources aspects became the new ‘motto’ in management of all activities of the DG.
Finance and ICT
An assessment of different functions in DG EXPO concerning their sensitivity was implemented in line with the instructions from the Secretary General. Furthermore, a project to increase the centralisation of procurement management in DG EXPO has started following the guidelines from the Secretary General. In line with its objectives, the finance team has improved the cooperation with the operational units, particularly concerning imprest accounts, in order to improve the awareness and respect of relevant rules and timely planning. So far, this has been mainly done in the context of the imprest account administrator trainings. In order to further improve understanding, visibility and co-operation between finance and operational units, financial initiators have given part of this training in 2011.
Rapport 31.12.2011 21 A risk management plan and its implementation are under process in DG EXPO. The identification and assessment of risks in DG EXPO activities has been finalised, the remedies for most significant risks will be planned and started to be implemented in the beginning of 2012. Updating of internal guidelines in DG EXPO web-pages has been started, for example guidelines on acquiring external expertise for workshops have been updated. The revisions of guidelines continue whenever a need is discovered. As regards budgetary commitments, the finance team has improved the discipline to de- commitment unused funds as soon as possible after settlement of expenses of the commitments.
In order to improve awareness and responsibility of used budget resources in the operational units and in the management, the finance unit has started distributing monthly budget follow-up information giving a general overview of used budgetary recourses with comments as well as detailed, unit wise information.
In the IT fields the main results are related to the improvements of web publishing for ACP-EU JPA website and EUROLAT website, the progress made together with IPOL, ITEC and COMM towards a better visibility of Delegations on EP website and towards a more attractive and user-friendly graphic design for the top page of Delegations. It is also worth underlining the progress made about the committee’s website (more attractive, selective, interactive, proactive pages) and the better follow up of the 2011 IT plan through the IT Steering Group and, together with IPOL, directly with ITEC for Intranet. DEVE committee has been pilot project leader for e-committees.
Human resources
Recruitment: multiannual programming has been set up. The resources Directorate tests during recruitment interviews of administrators working methods and social skills on top of knowledge. Contacts with DG PERS have been frequent in order to use lists more rationally and to formalise transfer procedures.
Procedures (publication, interviews, proposal and recruitment) are finished for all the 2011 new posts.
Staff assessment: Criteria for staff assessment have been harmonised throughout the DG. Training: A training plan has been drafted. Among the new ideas is a Hostile Environment Security Training, a protocol training for outgoing delegations and a training on the BRICS states. A mentoring programme for newcomers in the DG has been setup, all newcomers have a mentor and the network meets regularly. New trainees have been integrated into the training that the respective service of DG IPOL offers. On initiative of our DG, the training unit of DG PERS has also organised a 3 hour long induction training for all new trainees in Brussels. Personnel management: Internal communication - will be addressed during a future away day of the DG, the concrete planning has started. EMAS - several initiatives have been taken, e.g. movement detectors exchange, posters concerning lighting of meeting rooms - others are planned, e.g. waste collection. A special attention has been paid to solve individual problems in order to find good solutions for the people and the service.
Rapport 31.12.2011 22 Security: The project for the data base is progressing. DG ITEC is processing the request and meetings have been taking place with the security directorate and with the data protection officer. In the meantime, the existing system is being improved - e.g. medical forms for hospitalisation etc.
Offices Ten more office modules were obtained in June for the DG, which enables better conditions for SEDE and for Director C and his secretariat.
Events
In view to ensure a harmonised and more efficient management of the logistics in the parliamentary assemblies (EU-ACP PA, UfM PA, EUROLAT and EURONEST) a new structure was set up at the end of 2010. This new approach, based on the long-standing experience in the ACP-EU PA, has been introduced during the reporting period at for example the PAs of EUROLAT in Montevideo, EURONEST in Strasbourg, UfM in Rome, ACP-EU JPA in Togo.
Cooperation with other DGs
In the general framework of the creation of the new Directorates Resources in the ‘Policies DGs’, a close contacts and cooperation has been installed in view of a better understanding and resolving common issues in terms of recruitment, finance and ICT and also with more thematic DGs as ITEC, FINS or PERS. The cooperation with DG IPOL has particularly developed during the last months on specific topics: mobility 2011, IT Plan 2011, EMAS activities and common actions with DG ITEC on e-committees, e- meetings and e-parliament.
3. EVALUATION AND EFFICIENCY OF INTERNAL CONTROL
When assessing the internal controls in DG EXPO, it is worth keeping in mind that DG’s activities require a high number of low value transactions. Around one third of DG EXPO’s budget is used for expenses directly related to the committees and delegations activities, one third for studies to support the work of the committees and the rest of the budget mainly for Democracy Promotion activities.
DG EXPO budget used directly for committees and delegations activities is mainly related to meetings, conferences and missions, however, DG EXPO budget does not include normal mission expenses (travels, hotels etc) which stand usually for major part of the delegation cost. Therefore, the procurements implemented by DG EXPO for these events are of low value. In addition, these events require always a Bureau/Conference of Presidents decision and a financial statement with cost estimates before the request for a commitment will be authorised. Due to the above and to the fact that the checks and the segregation of duties are properly implemented, a good level of internal control can be considered to prevail for these activities. It can also be mentioned that a new planning calendar for delegation missions was taken in use in 2010 and that the efforts to improve timely planning will continue.
As regards the budget used for studies, seven framework contracts were concluded in 2009. Consequently, most of the studies in 2011 were procured using these framework contracts. The average value of an external study was around 10.000 Euros in 2011. Given
Rapport 31.12.2011 23 the current procurement procedures, checks and segregations of duties, the level of internal controls related to these activities can be considered good.
It can also be mentioned that all procurements in the DG (with all documentation) are examined by the finance unit (financial initiator, ex-ante verifier, authorising officer) at different stages of the procurement process (for example invitation to tender, evaluation, selection, ordering, acceptance letter and approval of the invoice). In addition, further centralisation of the procurement process is under work, in line with the instructions of the Secretary General.
Concerning the new Directorate for Democracy Support (approved by the Bureau on 12 December 2011), which will be created in a budget-neutral manner through redeployment of OPPD, Election Observation Unit, Western Balkans and Human Rights Actions, no opinion on the internal control aspects can be given yet as the detailed organisation and procedures have not been defined yet.
As regards training needs of staff, these are evaluated annually in DG EXPO. Certain functions and tasks require obligatory training before persons can start performing these duties (for example security training for missions, imprest account administrator training for imprest administrators, financial training for authorising officers). If additional training needs are identified, these are addressed proactively.
Concerning mobility and sensitive posts, rather than sensitive posts, short time allowed for many financial decisions can be considered a problem in DG EXPO’s financial circuit.
As regards documentation, segregation of duties and delegations of powers in DG EXPO, the procedures are documented, the duties are segregated in an adequate manner and delegations of powers are clearly defined and always communicated in writing.
During 2011, DG EXPO started developing risk management by identifying and assessing risks related to its activities (however, security procedures for the delegations travelling to high risk destinations were already started earlier). The risk management exercise in the DG has so far identified and assessed the risks as well as proposed preliminary mitigation measures to reduce the risks. Risk registers with responsibilities and time tables for mitigation measures for most significant risks will be finalised in the beginning of 2012.
As regards security of the delegations, Annex IV of the Decision of the Conference of Presidents of 10 March 2011, stipulates the protocol on emergencies arising during official travel activities outside the three places of work. The protocol covers acts of war, terrorism, criminal activities or other hostile actions, natural disasters, accidents leading to physical harm or material damage and severe health problems. The protocol specifies the following main measures in order to improve risk management of the security of delegations: -Establishment of a crises unit that becomes automatically operational when a crises arises in order to assist and, if necessary, repatriate the individuals concerned. -Drawing up a list in a centralised database of persons undertaking official travel. -Raising emergency awareness by sessions and training. -Requests for authorisation: the Director-General of DG EXPO shall draw up a country security assessment in connection with all official travel to countries outside the EU. Furthermore, official travel requests to high-risk locations must be accompanied by an indicative risk assessment.
Rapport 31.12.2011 24 -Constitution of risk assessment file including: overall risk analysis of the country, specific analysis of the situation and place/s to be visited, using also local information, specialist analysis when necessary, health recommendations by the medical service. -Constitution of operational/contingency file including all relevant information about the arrangements for the mission and the participants.
4. CONCLUSIONS
4.1. General evaluation of the reporting period
The objectives of the DG for 2011 were further broken down in working programmes (AWP) for the implementing units. Sometimes priority setting of parliamentary bodies makes it very difficult to plan activities even in the short term. Approved programmes concerning delegations, committee delegations and hearings establish a good basis for anticipation but even these are often affected by last-minute changes in their agenda or composition. Moreover, external studies contributing to the work of various parliamentary bodies often need to be initiated respecting very restricted timetables.
Regular follow-up as regards execution of the budget and regular reporting concerning performance indicators have contributed to better planning and follow-up of activities. Regarding achieved results, it is difficult to establish indicators measuring the very results of the activities, and it should be borne in mind that indicators measuring the activities alone might be misleading as regards achieved results. Therefore, reporting combining quantitative indicators (such as number of events, studies, people attending etc.) together with brief assessment of achievements in relation to set objectives has been introduced. The assessment of performance still needs to be developed further.
4.2. Evaluation of the available resources
The total budgetary resources directly under authorisation of DG EXPO were sufficient in 2011, even if the commitments for external studies increased by almost 25%. On the other hand, the interparliamentary delegations and parliamentary assemblies used only around half of their budget funds in 2011 due less delegation missions than in the budget calculation and due to other savings. In addition, a significant contribution (€ 177.000) could not be paid to PA Union for Mediterranean due to delays in registration of the PA as a legal body. As regards budgeted funds for security measures for the delegations, 57% of budgeted funds were used in 2011. It is worth mentioning that some of the cancelled delegations would have needed significant security measures if the delegations had taken place (for example Afghanistan).
Even if DG EXPO is not directly responsible for normal mission expenses (they are not included in DG EXPO budget), the staff unit in DG EXPO deals with mission issues and expenses caused by DG EXPO activities. Their concern is that even if the 2011 mission budget envelope for DG EXPO was sufficient, they will probably face problems with the budget availability in the latter half of 2012 due to staff increase (transfers for the new Directorate) and mission expense cuts for 2012.
As regards personnel resources, DG EXPO have recruited a significant number of new staff in 2010 and in 2011 (around 25% increase) in order to be able to meet the new responsibilities stipulated in the Lisbon Treaty. However, it should be pointed out that several small units still suffer of lack of sufficient back up resources in cases of vacancies due to retirements or change of posts, but also due to sickness, maternity leave etc.
Rapport 31.12.2011 25 4.3. Conclusion on strengths and weaknesses and foreseeable measures with a view to better adaptation of the available personnel and budgetary resources
The resources directorate, which was created in 2010, is now fully operational despite not yet having received all the requested posts. Currently part of the work is done by contractual agents. As regards committees and delegations, with the new recruitments they are more ready to cope with the new competencies stipulated in the Lisbon Treaty. Despite the new recruitments, some services will no doubt face difficulties in meeting these new responsibilities; particularly in case of longer term absences. The DG tries to cope with these problems with more flexible use its personal resources through internal temporary deployment.
Rapport 31.12.2011 26
6. ANNEXES 6.1 Reports on the implementation of the budget 2011
6.1.1 Current Appropriations
Virements Engagements Paiements Soldes des Credits Poste Credits Initiaux Credits Actuels % Util. Budg. Suppl. contractes effectues Engag disponibles 03042-02-99 Meetings and conferences, Committee delegatio 40.000,00 48.000,00 88.000,00 42.312,70 48,1 21.590,75 20.721,95 45.687,30 03042-05-99 Membership fees 10.000,00 7.000,00 17.000,00 17.000,00 100,0 16.071,84 928,16 0 Sub-total 50.000,00 55.000,00 105.000,00 59.312,70 56,5 37.662,59 21.650,11 45.687,30 03044-00-01 Delegations Europe- Enlargement/EEA 0 73.000,00 73.000,00 32.343,45 44,3 17.172,70 15.170,75 40.656,55 03044-00-02 Delegations Europe- Euronest/Russia 0 89.600,00 89.600,00 37.077,93 41,4 30.414,64 6.663,29 52.522,07 03044-00-03 Delegations Middle East 0 142.000,00 142.000,00 45.519,40 32,1 37.514,92 8.004,48 96.480,60 03044-00-04 Delegations Africa, Caribbean, Pasific 0 23.700,00 23.700,00 13.996,85 59,1 12.680,13 1.316,72 9.703,15 03044-00-05 Delagations transatlantic relations 0 51.300,00 51.300,00 9.312,40 18,2 9.312,40 0 41.987,60 03044-00-06 Delegations Latin America 0 66.500,00 66.500,00 28.431,89 42,8 17.937,29 10.494,60 38.068,11 03044-00-07 Delegations Asia/Australia 0 120.300,00 120.300,00 54.266,03 45,1 50.592,94 3.673,09 66.033,97 03044-00-08 WTO meetings 0 60.600,00 60.600,00 22.167,43 36,6 13.720,32 8.447,11 38.432,57 03044-00-09 Election Observation Missions 0 162.500,00 162.500,00 105.911,68 65,2 52.468,86 53.442,82 56.588,32 03044-00-10 Ad Hoc delegations 0 25.100,00 25.100,00 13.362,68 53,2 11.362,68 2.000,00 11.737,32 03044-00-99 Frais divers Del, CPM-CPC, OMC, Ad hoc del 858.000,00 -814.600,00 43.400,00 10.000,00 23,0 0 10.000,00 33.400,00 Sous-Total 858.000,00 0 858.000,00 372.389,74 43,4 253.176,88 119.212,86 485.610,26 03046-00-01 Frais divers Assemblee Paritaire 371.000,00 0 371.000,00 136.237,50 36,7 31.937,50 104.300,00 234.762,50 03046-00-02 Frais missions autonomes 40.000,00 0 40.000,00 782,27 2,0 782,27 0 39.217,73 03046-00-03 Frais experts ACP 40.000,00 0 40.000,00 7.005,41 17,5 7.005,41 0 32.994,59 Sous-Total 451.000,00 0 451.000,00 144.025,18 31,9 39.725,18 104.300,00 306.974,82 03047-00-99 Assemblee Parlementaire EUROLAT 80.000,00 0 80.000,00 51.157,91 63,9 38.712,57 12.445,34 28.842,09 Sous-Total 80.000,00 0 80.000,00 51.157,91 63,9 38.712,57 12.445,34 28.842,09 03048-00-99 Asseemblee Parlementaire EUROMED 216.319,00 0 216.319,00 28.502,45 13,2 28.502,45 0 187.816,55 Sous-Total 216.319,00 0 216.319,00 28.502,45 13,2 28.502,45 0 187.816,55 03200-02-01 Experts et auditions 0 73.600,00 73.600,00 42.891,79 58,3 27.891,79 15.000,00 30.708,21 03200-02-02 Etudes AFET 0 292.732,24 292.732,24 212.588,39 72,6 160.608,42 51.979,97 80.143,85 03200-02-03 Etudes SEDE 0 112.704,92 112.704,92 44.900,00 39,8 22.000,00 22.900,00 67.804,92 03200-02-04 Etudes DROI 0 112.704,92 112.704,92 101.507,00 90,1 6.507,00 95.000,00 11.197,92 03200-02-05 Etudes DEVE 0 182.131,15 182.131,15 180.050,00 98,9 29.950,00 150.100,00 2.081,15 03200-02-06 Etudes INTA 0 179.726,77 179.726,77 172.400,00 95,9 25.750,00 146.650,00 7.326,77 03200-02-99 Etudes, experts et autres personnalites 1.000.000,00 -953.600,00 46.400,00 38.774,10 83,6 3.805,45 34.968,65 7.625,90 Sous-Total 1.000.000,00 0 1.000.000,00 793.111,28 79,3 276.512,66 516.598,62 206.888,72 03220-12-99 Documention/bibliotheque; livres/souscription 8.000,00 0 8.000,00 3.730,75 46,6 3.730,75 0 4.269,25 Sous-Total 8.000,00 0 8.000,00 3.730,75 46,6 3.730,75 0 4.269,25 03230-00-99 Rel. Parl. Pays Tiers-Soutien Democratie Parl. 520.000,00 0 520.000,00 467.352,77 89,9 245.265,02 222.087,75 52.647,23 Sous-Total 520.000,00 0 520.000,00 467.352,77 89,9 245.265,02 222.087,75 52.647,23 03245-02-99 Prix Sakharov et frias d'ornisation lies à la cerem 100.000,00 260.000,00 360.000,00 179.967,76 50,0 38.117,76 141.850,00 180.032,24 Sous-Total 100.000,00 260.000,00 360.000,00 179.967,76 50,0 38.117,76 141.850,00 180.032,24 Grand total 3.283.319,00 315.000,00 3.598.319,00 2.099.550,54 58,3 961.405,86 1.138.144,68 1.498.768,46
Rapport 31.12.2011 28 6.1.2 Appropriations carried over from 2012 to 2011
Crédit Crédits Engagements Paiements Crédits Poste Intitulé % Util. reportés actuels contractés effectués disponibles 03046-00-01 FRAIS DIVERS ASSEMBLEE PARITAIRE 73.117 73.117 73.117 71.924 98,4 1.193 03046-00-03 FRAIS EXPERTS ACP 130 130 130 125 96,2 5 3044 03044-00 03044-00-08 WTO MEETINGS 25.560 25.560 25.560 3.582 14,0 21.978 03044-00-04 DELEGATIONS AFRICA/CARIBBEAN/PACIFIC 25 25 25 25 100,0 0 03044-00-06 DELEGATIONS LATIN AMERICA 22.325 22.325 22.325 18.422 82,5 3.903 03044-00-03 DELEGATIONS MIDDLE EAST 16.711 16.711 16.711 16.711 100,0 0 03044-00-02 DELEGATIONS EUROPE - EURONEST/RUSSIA 4.900 4.900 4.900 2.876 58,7 2.024 03044-00-09 ELECTION OBSERVATION MISSIONS 119.411 119.411 119.411 57.823 48,4 61.588 03044-00-10 DELEGATIONS AD HOC 4.284 4.284 4.284 4.284 100,0 0 03044-00-99 FRAIS DIVERS DEL, CPM-CPC, OMC, AD HOC DEL 7.849 7.849 7.849 1.536 19,6 6.313 03044-00-01 DELEGATIONS EUROPE - ENLARGEMENT/EEA 2.653 2.653 2.653 2.352 88,7 301 03044-00-05 DELEGATIONS TRANSATLANTIC RELATIONS 3.855 3.855 3.855 3.557 92,3 298 03044-00-07 DELEGATIONS ASIA/AUSTRALIA 24.821 24.821 24.821 24.389 98,3 432 3042 03042-02 03042-02-99 REUNIONS, CONGRES ET CONFERENCES 14.276 14.276 14.276 12.321 86,3 1.955 3047 03047-00 03047-00-99 FRAIS DIVERS ASSEMBLEE PARLEMENTAIRE EUR 11.420 11.420 11.420 11.420 100,0 0 3200 03200-02 03200-02-05 ETUDES DEVE 101.350 101.350 101.350 97.950 96,6 3.400 03200-02-04 ETUDES DROI 55.562 55.562 55.562 50.562 91,0 5.000 03200-02-03 ETUDES SEDE 73.000 73.000 73.000 68.700 94,1 4.300 03200-02-02 ETUDES AFET 23.206 23.206 23.206 18.196 78,4 5.010 03200-02-06 ETUDES INTA 106.500 106.500 106.500 105.663 99,2 837 03200-02-01 EXPERTS ET AUDITIONS 10.000 10.000 10.000 4.868 48,7 5.132 03200-02-99 ETUDES, EXPERTS ET AUTRES PERSONNALITES 24.538 24.538 24.538 14.333 58,4 10.204 3220 03220-12 03220-12-99 DOCUMENTION/BIBLIOTHEQUE; LIVRES/SOUSCR 165 165 165 151 91,4 14 3230 03230-00 03230-00-99 REL PARL. PAYS TIERS-SOUTIEN DEMOCRATIE PA 136.467 136.467 136.467 94.032 68,9 42.435 3245 03245-02 03245-02-99 PRIX SAKHAROV ET FRAIS D'ORGANISATION LIES 67.240 67.240 67.240 701 1,0 66.539
Total 929.367 929.367 929.367 686.506 73,9 242.862
Rapport 31.12.2011 29 6.2 : Report regarding payment deadlines
1. Tableau Récapitulatif
Intérêts de retard Intérêts de retard Pas d'intérêts à payer à la Factures payées en 2011 à payer d'office de retard à Total demande (>200€) payer (<=200€) Nombre de factures Endéans le 0 0 375 375 délai Montant total des factures (EUR) 0 0 1.147.444,81 1.147.444,81 Nombre de factures 1 49 56 Montant total des Hors délai factures (EUR) 68.266,87 128.112,18 128.112,18 Montant des intérêts de retard (EUR) 403,99 612,69 1016,68 Nombre total de factures 1 49 375 425
Montant total des factures (EUR) 68.266,87 128.112,18 1.147.444,81 1.343.823,86
2. Commentaires
The invoice of 68.266,87 Euros (with the reported overdue interest of 403,99 Euros) in the table concerns freight of equipment and material to the ACP-EU JPA in Kinshasa. The original invoice was not correct and the supplier was requested to provide a credit note and a new correct invoice. The credit note was provided on 28 January 2011 and the correct invoice on 28 February 2011 (67.221 Euros) and it was paid in time. Obviously, the incorrect invoice is on the list of late payments because it was not suspended in DG EXPO finance unit while waiting for the credit note and correct invoice. Anyway, no overdue interest has been paid in 2011, the interest is only in the statistics.
Generally, the respect of payment deadlines has improved from the previous year: 11,5% of the invoices were paid late, while the corresponding figure was 19% in the previous year.
Rapport 31.12.2011 30
6.3 : List of exceptions
Les décisions dérogeant aux procédures établies et aux réglementations applicables
Réf. Ordonnateur Object Montant Avis vérificateurs Décision docum compétent ent conforme avec Justification Ordonnateur Justification observation / compétent non conforme
ED J. Niemenmaa payment of 2,100.00 Avis non The legal J. Niemenmaa Passer outre, the 20287 a meal in a conforme (obs. commitment invoice based on restaurant 01/2011) was made the legal before commitment had budgetary to be paid. The commitment responsible unit took the necessary measures in order to avoid similar situations. Note D(2011)58765.
6.4 : Long term contractual obligations with third parties
DG EXPO did not have any long term contracts during 2011.
(*) REGLEMENTATION FINANCIERE, STATUT ET AUTRES REGLES SECTORIELLES
6.5 : Exceptional negotiated procedure
An exceptional negotiated procedure under Art. 126 of the Implementing Rules was applied for the procurement of transportation of materials and equipment to the 22nd ACP-EU JPA because of an unpredictable change of location of the session, shortly before its start. The Public Procurement Forum gave its common consent for this exceptional negotiated procedure on 15 July 2011 (Geda reference 36636).
6.6 : Ex-post evaluations carried out
DG EXPO did not have the necessary staff to perform ex-post evaluations in 2011 in the meaning of the applicable financial rules. However, regular debriefing meetings were organised (often interservice) of the JPA ACP-EU, EMPA and Eurolat, which serve, at the same time, as preparation meetings for the next upcoming interparliamentary events.
Rapport 31.12.2011 31
6.7 : Sensitive posts
The final budgetary appropriations directly under DG EXPO management amounted to a relatively modest 3,56 million euros in 2011. The DG’s activities require a high number of low value transactions. A significant part of the spending comprises miscellaneous expenditure related to missions, meetings and conferences of delegations, committee delegations and other parliamentary cooperation, taking place in various forms and locations. Expenses related to these events require a Bureau and a Conference of Presidents Decisions with a Financial Statement prior authorisation of the budgetary commitment. Therefore, risks for influence which might damage the financial interests of Parliament are limited. It can be mentioned that the most expensive procurement in the DG in 2011 was the transport of material and equipment to the JPA ACP-EU in Lome in Togo (around € 95.000).
Another significant component in DG EXPO's budget are external studies. Seven framework contracts were concluded 2009 and as a consequence, the number of studies to be awarded based on individual negotiated procedures has decreased significantly.
The main measure taken in guaranteeing the integrity of the financial operators is the separation of duties. Currently there are 3 full time and 1 part-time initiators in the financial circuit, 2 full time and one part time ex-ante verfiers.
Rather than sensitive posts, the main bottleneck of DG EXPO's financial circuit is the short time allowed for many financial decisions.
Together with the systematic training of the financial actors, DG EXPO will also continue to keep all financial and operational actors aware of the applicable rules and their changes.
Based on the above and on the fact that the internal controls in the DG are well implemented, none of the posts is considered sensitive as defined in the note of Secratary General (Geda reference D(2011)10324). However, despite this conclusion, the Director-General of DG EXPO sent a detailed note to all staff reminding them of the requirements of etchics and integrity in the service of the European Union: they should only act in the interest of the Community, without influence or instructions from any other party (Geda reference (2011) 64496).
Rapport 31.12.2011 32
6.8 : Evaluation with regard to execution of the Minimum Internal Control Norms
1. Environnement de contrôle
1. Déontologie 2. Mission, rôle et 3. Compétence 4. Rendement du 5. Fonctions 6. et intégrité tâches du personnel personnel sensibles Déléga tion
1)Financial, internal and other rules governing staff conduct, prevention and reporting of fraud and irregularities are provided to DG EXPO staff via intranet and communications from the Director-General 2) Mission statement and objectives of the Directorate General, Directorates and units are communicated to staff in writing. Each staff member has a written job description and objectives 3) Staff competence and development is ensured through continuous assessment of their training needs. Newcomers' skills are checked through competitive recruitment procedures 5) Even if none of the DG functions was considered sensitive in the analysis implemented in 2011 as a response to Secretary-General's note of 01 April 2011 (Geda reference 10324), the issue has been further elaborated by the management team and the considerations communicated to the staff in the note of 15 December 2011 (Geda reference 64496) 6) Delegations of powers are clearly defined and always communicated in writing.
Generally, concerning control environment, DG EXPO has implemented and achieved the internal control norms.
2. Performance et gestion des risques
7. Fixation 8. Programmation 9. Programme de 10. Contrôle de la performance 11. d'objectifs pluriannuelle travail annuel sur la base d'objectifs et Analyse et d'indicateurs gestion du risque
7-10) Programming is performed through the Annual Programmes and permanently updated calendars for Committee and Delegations activities. Objectives are set yearly on the basis of the Administrative Work Programme approved by the Secretary General and achievements are assessed annually. The objectives are communicated to the staff in writing. Generally, in this area, DG EXPO has implemented and achieved the minimum internal control norms, except for risk management, which is still under development. In risk management, DG EXPO has identified and assessed the risks; however, the final measures to mitigate these risks have not yet been implemented. In order to reduce the most significant risk related to delegations' activities in high risk countries, a security support system for committees' delegations and parliamentary delegations has been developed in order to ensure proper evaluation of the security situation in the visited country and in order to ensure that staff and members have a contact point in Parliament in case of emergency. All staff participating in missions outside the three working places must participate in a security training session.
Rapport 31.12.2011 33
3. Information et communication
12. Information ad hoc en 13. Enregistrement du courrier et 14. Signalement matière de gestion systèmes d'archivage d'irrégularités
12) Heads of Units and Directors are informed in weekly meetings about important management issues. Director-General distributes regularly written information about relevant management issues to all staff. Management and part of the staff receive monthly information about the implementation of the budget with a brief analysis. 13) Incoming and outgoing mail is registrated systematically and deadlines are monitored proactively. Supporting documents to budgetary transactions are filed in accordance with the relevant rules.14) The DG follows EP's rules for reporting irregularities.
Generally, we consider that the DG has implemented and achieved the minimum standards in the area.
4. Activités de contrôle
15. Documentation des 16. Séparation des 17. Surveillance 18. Relevé 19. procédures tâches d'exceptions Continuité des opérations
15) Documentation of procedures is mainly done in the intranet. They comply with the Financial Regulation and relevant Parliament decisions. 16) Segregation of duties is duly implemented: the functions of initiation, verification and authorisation of each transaction is kept separate and carried out by different persons. Ex-ante verifiers are not subordinate to financial initiators. 17) Supervision in the DG is organised by appropriate control systems and reporting. All budgetary transactions are authorised in the finance unit. Formal Ex-Post controls are not used due to lack of resources 18) Exceptions are recorded in the computerised system and withhold endorsements of Ex-Ante Verifier are reported in writing to the Director-General and to the Ex-Ante Verifier. References to the correspondence are entered also in the computerised system. 19) Continuity of operations is guaranteed by appropriate documentation, back-up and handover procedures.
Generally, concerning control activities, DG EXPO has implemented and achieved internal control norms; ex post controls have not been implemented due to lack of resources and low risk.
5. Audit et évaluation
20. Identification et correction des 21. Rapports d'audit 22. Examen annuel du contrôle insuffisances du contrôle interne interne
20-22) Internal controls are assessed annually or whenever a need arises, for example due to changes in the organisation or procedures (however, a written procedure to report internal control weaknesses has not been implemented). Audit recommendations have been implemented, however, it can be pointed out that some in some cases, where DG EXPO is indicated as partial responsible for implementation (for example Internal Audit Reports 0803 and 0807), DG EXPO's role in these activities is minor and it cannot implement the recommendations without major contributions from other DGs.
Rapport 31.12.2011 34