1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING April - 2009.

1st SENIOR PROGRAMME OFFICERSPERIODICAL ROUND TABLE MEETING

April - 2009

CFCU-1st SPOs Round Table Meeting-2009 2

TOPICS

I. Brief information of the structure of the CFCUII. General Overview to IPAIII. SPOs in IPA programmesIV. Brief info on the 2007 FAV. IPA Programming and Project Implementation

CycleVI. Role of the Senior Programme Officer and the

Project TeamVII. Written Source and References


STRUCTURE OF THE CFCU

PAO – CFCU DIRECTOR

SENIOR CONTRACT MANAGER

SENIOR FINANCEMANAGER

ADMINISTRATIVEASSISTANT

ADVISOR TO PAO

QUALITY ASSURANCE ANDCONTROL DEPARTMENT

INTERNAL AUDIT

HUMAN RESOURCE ANDADMIN. AFFAIRS DEPT.

TENDERING / CONTRACTING SECTION

CONTRACT / PROJECT MANAGEMENT SECTION

GRANT SECTION TWINNING SECTIONREGISTRATION AND OWNPREV. FINANCIAL CONT.

FINANCIAL REPORTING & iPERSEUS

ACCOUNTING PAYMENT AUTHORIZATION

PAYMENT EXECUTION PAYMENT CONTROL


General Overview to IPA

Component I - Transition Assistance and Institution Building

Component II - Cross-Border Cooperation

Component III - Regional Development Component IV - Human Resources

DevelopmentComponent V - Rural Development


General Overview to IPA

CAO : State Minister in Charge of the Treasury NIPAC : Secretary General of EU Affairs NAO : Undersecretary of the Treasury Strategic Co-ordinator : State Planning Organisation Operating Structures

Comp III : MoEF, MoT, MoIT Comp IV : MoLSS

Implementing Agency Comp I-II : CFCU Comp III : CFCU (2007-2010) Comp IV : CFCU (2007-2010)

Audit Authority : Board of Treasury Controllers


POSITION OF THE CFCU

The management of financial assistance to Turkey in Component-I is conferred by the EC on a decentralized basis to the CFCU on 29.10.2008.


DIS STRUCTURE IN TURKEY

National IPA Coordinator (NIPAC) Financial Co-operation Committee (FCC) National Fund (NF) National Authorising Officer (NAO) Central Finance and Contracts Unit (CFCU) Programme Authorising Officer (PAO) Senior Programme Officers (SPO) Transition Assistance and Institution Building

Committee (TAIB Committee)


GENERAL OVERVIEW OF THE STRUCTURE


IPA FUNDS ALLOCATED (2007)

BUDGET(MEUR)

CONTRACTING AUTHORITY

OPERATING STRUCTURE

Component I - TAIB 252,2 CFCUCollection of Bodies (CFCU, SPOs etc.)

Component II - CBC 6,6

CFCU/MANAGING AUTHORITY-BULGARIA

Collection of Bodies (CFCU, SPOs etc.)

Component III - REGIO 167,5CFCU

(in the transition period)

Ministry of Environment and Forestry

Ministry of TransportMinistry of Industry and

Trade

Component IV - HR 50,2CFCU

(in the transition period)

Ministry of Labour and Social Security

Component V - AGRI 20,7 Ministry of Agriculture and Rural Affairs


SPOs in IPA Component I (Article 75/3 of the IPA Regulation No.718/2007)

The SPOs are “designated” by the PAO

“Overall supervision” of the PAO was replaced with the “Overall Responsibility”

A “functional hierarchy” between the PAO and SPOs is foreseen.


Chain of Accountability

The PAO is accountable to the NAO not only for the direct work of the CFCU but also for all the work of the Line Ministries/Agencies in respect of contracts and payments for which EU funding is sought.

This accountability gives the PAO both the right and duty to provide guidance on systems and control requirements to the SPOs – and to exercise close supervisory monitoring over how the Line Ministries/Agencies operate.


Chain of Accountability

This accountability also gives the obligation on the Line Ministries/Agencies to fully cooperate with any supervisory actions the PAO may wish to undertake.

If the PAO is in any doubt as to the appropriateness or effectiveness of the work of the Line Ministries/ Agencies – either in respect of an individual transaction or more broadly with the way the systems and controls function he has the full right and duty to withhold his signature on any related contracts or payments which the Line Ministry/Agency is proposing for EU funding.


Senior Programme Officers shall;

Be responsible for the technical aspect of the operations within the ministries.

Assist the programme authorising officers project in the good and timely preparation and implementation of operations at technical level.

Be in charge of the coordination within each priority axis set down in the beneficiary country’s project proposal.


Overall Responsibility?

According to the European Commission,

It is not something limited to just a “supervision” on the top but also implies a “functional hierarchy” and therefore requires some quality/capacity related interventions including “mini-accreditation” over the SPOs.

PAO is accountable to the NAO for the actions of the SPOs

PAO must actively monitor the effectiveness of SPO controls

PAO must reject files submitted by an SPO not implementing effective controls.


These fundamental principles lead CFCU/PAO to;

the control of the SPOs/LMs’ sub-systems

whether the SPOs and SPO Offices are ready to assume the responsibilities assigned to them in the Operational Agreements (OAs).

whether this initial readiness continues during the implementation of the project.


some standards on the following areas need to be established

Minimum requirements for the staffing of the SPO offices

Minimum criteria for the internal organization of the SPO offices


IPA- IR Article 11(3)

Where specific persons have been given responsibility for an activity in relation to the management, implementation and control of programmes,

the beneficiary country shall enable such persons to exercise the duties associated with that responsibility

including in cases where there is no hierarchical link between them…


THE 1st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING

IPA Programming and

Project Implementation Cycle



PROGRAMMING The Project Fiche (PF) is prepared and agreed between the involving institutions

The PF is submitted through the NIPAC to the EC. The EC prepares the Financing Proposal and submits it to the Management Committee for approval

The Management Committee approves the financial proposal with projects attached thereto. The FA is prepared by the EC

FA is signed by both EC and NIPAC and implementation starts

IPA Programming and Project Implementation Cycle-1

IMPLEMENTATIONFunds are FA specific and available for disbursement if

held and within an n+3 disbursement schedule from the signature of the underlying FA.

Contracting must take place

within 2 years of the signature of the FA; disbursement within

n+2+2+1These rules apply for all projects.




Accession Partnership (AP)

9th Development PlanNegotiation Framework

Annual Enlargement StrategyRegular Report and Negotiations

Programming Phase-Commission Services- NIPAC- Line Ministries and Agencies

Working Document(Programme Document 1)

Quarter 4 in Year N-1

Commission DecisionMarking the budgetary

commitment

Quarter 3 in Year N

Financing AgreementCountry’s agreement with the

Commission

Qr. 3-4 in Year N

Financing AgreementNational Fund delegation

agreement with Implementing Agency

Quarter 1 in Year N+1

Implementation – Tenders, Contracts and Management

Derived directly from Project fiches Years N+1 and N+2

Monitoring and Assessment ReportsOn clusters of Financing Agreement in

years N+2 and N+3

Expiry and closing Audit of Financing Agreement

After N+3 generally

Ex-post Evaluation of Financing Agreement

N+3 and beyond

Implementation Phase

-Commission Services

-CFCU

-Line Ministries and Agencies




Evaluation

Identification

Implementation

Management Actions

Monitoring Financing

Formulation

Programming

New Project &

Programme Ideas

interaction with

founders /adjustment

Project Implementatio

n Cycle




PROGRAMMING

IMPLEMENTATION



Characteristics of “Good Projects”

Objectives:The project objectives match, or fall within, those of the funder and the appropriate national /regional development /sector strategies.

Internal Logic:The project should have a strong coherent internal logic as evidenced by a Logical Framework. In particular the declared monitoring indicators should be appropriate and realistic. Additional features of good projects are: quantified objectives, achievable targets (e.g. in terms of time or budget) and measurable impacts.

Technically Well-Prepared: In addition to the Log Frame, the project documentation should include the following: implementation schedule; task analysis; stakeholder involvement; required feasibility studies; tender dossier (as required); cost benefit analysis and a realistic budget with clearly marked sources of co-funding.




PCM Principles Project cycle phases - structured & informed

decision-making, and feedback from evaluation

Partner / stakeholder ownership - involvement of stakeholders in decision-making, including emphasis on teamwork and communication

Logframe planning - comprehensive & consistent analysis

Integrated documentation - standardised documentation and assessment criteria

Can be applied to both projects and programmes




PCM Objectives Sectoral/programme linkage

Demand driven approach

Improved analysis

Objective orientated planning

Verifiable results

Focus on sustainability

Learning from evaluation

Standardised formats




Role of the Senior Programme Officer and

the Project Team



The role of the SPO (Article 5 in OA)

Efficient and effective use of EU and Turkish Government co-financing funds Achieving the project objectives Well-timed

The SPO is responsible for the: (Article 6 in OA)

Technical aspect of the operations within line ministry

Assist the PAO in the good and timely preparation and implementation of operations at technical level

Coordination within each priority axis set down in Turkey’s project proposal

Role of the SPO and the Project Team-1



Types of Institution Building Projects

Technical Assistance (TA)

Standard Twining




Management

Monitoring

Assistance to Evaluation

Supervise to Record Keeping




Risk assessment by the SPO


Probability

Impact



The interpretation of risk assessment results by the SPO

Priority 1: Critical risks

Priority 2: Contingent risks

Priority 3: “Housekeeping risks”

Priority 4: Minor risks




Risk management process of the SPO

The risk manager responsibilities will include: Convening the initial risk assessment Convening the quarterly risk assessment meetings Identifying the key risk factors Receiving risk assessment statements Preparing risk assessment statements for the CFCU Maintaining the risk register Proposing risk minimization measures Follow up Contractors and Final Beneficiaries to ensure that

risk minimization measures have been implemented To organize a take part in on the spot-checks




Sensitive Post

At the level of SPO office, inventory of sensitive post and the corresponding policy to mitigate the risk involved in the positions identifying as sensitive must be in line with

“Sensitive Post Policy Paper”




The SPO, as the Irregularity Officer:


IrregularityIrregularity means any infringement of a provision of Community or Turkish law (including, FAs, Operational Agreements) resulting from an act or omission by an economic operator (employee, natural or legal persons or other bodies recognised by national law), which has, or would have, the effect of prejudicing the general budget of the Communities or the state budget of Turkey by charging an unjustified item of expenditure to the budget.

FraudFraud means any intentional act or omission relating to:

The use or presentation of false, incorrect or incomplete statements or documents, which has as effect the misappropriation or wrongful retention of funds from the general budget of the European Communities or from the state budget of Turkey,Non-disclosure of information in violation of a specific obligation, with the same effect,

The misapplication of funds for purposes other than those for which they are originally granted

Reaction Reporting

Reaction Reporting




Human Resources

Requirements

EthicsPolicy

The SPO shall be responsible for ensuring that an adequate organisation, with sound internal procedures, is established within his/her line Ministry or Agency staffed by an appropriate number of qualified personnel to enable him/her to carry out the implementation of EU-funded projects in a timely, effective and efficient manner.



Written Source and References



Programme Management Guidelines

Part 1-Programme Implementation Manual (PIM)

Part 2-Project Operational Guide (POG)

Written Source and References- 1




Annexes

1. Operational Agreement CFCU/SPO<Ministry/Agency>

2. Memorandum of Understanding (MoU) on the Establishment of the CFCU http://www.cfcu.gov.tr/files/mutabakat_zapti.doc http://www.cfcu.gov.tr/files/addendum_no1_tr.doc

3. Framework Agreementhttp://www.cfcu.gov.tr/files/cerceve_anlasma.doc

Written Source and References-5




Annexes4. Self Assessment Sheet

5. Project Fiche (PF) Template

6. Technical Specification (TS) GuidelineThese guidelines are designed to assist beneficiaries and technical specialists in preparing technical specifications that will afford equal access for tenderers and not have the effect of creating unjustified obstacles to competitive tendering. Another objective is that the specifications will allow tender evaluators to determine easily whether or not each offered feature or piece of equipment meets the specifications. Please keep these guidelines with you for reference throughout the preparation. Please also visit the following links:

http://ec.europa.eu/europeaid/work/procedures/implementation/practical_guide/documents/a11_b_it_guidelines_en.dochttp://ec.europa.eu/europeaid/work/procedures/implementation/practical_guide/documents/a11_c_guidelines_furniture_en.dochttp://ec.europa.eu/europeaid/work/procedures/implementation/practical_guide/documents/a11_d_guidelines_vehicles_en.doc





Annexes

Guide to Framework Contracts (FWC)http://ec.europa.eu/europeaid/work/framework-contract/beneficiaries/index_en.htm

Publicity and Visibilityhttp://europa.eu.int/comm/europeaid/visibility/index_en.htm.

Sensitive Post Policy Paper




NEXT STEPS

1. Self assessment sheet

All SPO to carry out their self-assessment on a regular basis and to report to the PAO accordingly.

2. Implement a site visits / spot-checks plan by the CFCU

3. Reporting to the NAO (NAO to inform the EC accordingly).


Financing Agreement 2007 of IPA-I

PFs proposed Commented by the CFCU Concluded by the FCC Sent to the EC by the NIPAC Adopted by the EC on 20.12.2007


Financing Agreement 2007 of IPA-I

Signed between the Turkish Government and the EC

o Head of the ECD (03.12.2008)o NIPAC (24.12.2008)

Entry into force on the date of signature by the second of the two parties: 24.12.2008


Framework Agreement for IPA

Signed between the Turkish Government and the EC

Ratified by the TBMM on 03.12.2008

Sets out the general rules for cooperation and implementation of the Community assistance under the IPA


Max. Community amount (€)

Budget line: 22.02.01

EU TR TOTAL

GENERAL 256.202.720,00 97.233.163 353.435.883

COMMUNITYPROGRAMMES (-) 58.512.770 67.224.080 125.736.850

CFCU 197.689.950 30.009.083 227.699.033


THE DEADLINES

Contracting 2 years from the date of conclusion of this Agreement

Execution a maximum of 2 years from the end date of contracting.

Disbursement 1 year after the final date for the execution of contracts.


Deadlines in detail

Documents Deadlines Explanations

Contracting Deadline

17.12.2010, Friday

-

Evaluation Reports01.10.2010,

Friday2.5 months before

contracting deadline

Contract files12.11.2010,

Friday1 month before

contracting deadline

Grant Technical Ev.Rep. (Step-III)

06.08.2010, Friday

4.5 months beforecontracting deadline

Grant Ver. of Eligibility

Rep. (Step-IV)

15.10.2010, Friday

2 months beforecontracting deadline



Thanks for your attention

1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING April - 2009.

Documents

Transcript of 1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING April - 2009.