Transcript preparation of ipa ii action document(ad)
Project funded by The European Union Government of the Republic of Serbia European Integration Office
All presentations are available on the PPF5 website: www.ppf5.rs
Project funded by The European Union
to explain the core content of IPA II Action Document
to participate in and contribute to the process of preparation of IPA II Action Documents
Government of the Republic of Serbia European Integration Office
Candidate countries and potential candidate
countries are “Beneficiary countries” which have access to assistance in all five “policy areas” (formerly “components”); Sector approach: almost complete shift from project based assistance to co-financing of agreed country sector strategies; Flexibility to re-allocate funds between policy areas and/or countries; Opportunity for broader usage of innovative financial instruments. e.g. sector budget support; And*... Project funded by The European Union Government of the Republic of Serbia European Integration Office
Enlargement Package
(EU Enlargement Strategy, EC Progress Report /SAA/ European Partnership) IPA II Regulation / Rules of Application Project funded by The European Union Country /Multi-Country Strategy Paper National Sector Programme or (IPA-specific) Sector Planning Document -SPD)
Action Documents (ADs)
(Draft) Action Programme (AP) Financing Proposal
Annexed: ADs
Commission Implementing Decision Financing Agreement
Annexed: AP
Government of the Republic of Serbia European Integration Office
Country Strategy Paper/Multi – Country Strategy Paper:
the overreaching strategic planning documents - describe in broad terms how Beneficiaries will use financial assistance to address the political priorities of the Enlargement Strategy and the reform efforts under different Sectors Action Programme: A group of actions defined by clearly identified objectives and expected results, as well as implementation arrangements and other related conditions for execution, adopted through a Commission implementing Decision. Action: A coherent set of coordinated activities carried out to meet a defined objective, which have an estimated total cost plus implementation schedule and performance parameters. Activity: A component of an Action which can be clearly identified by its costs and type of financing (procurement, grant etc.) Project funded by The European Union Government of the Republic of Serbia European Integration Office
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Scope Type Underlying document – implementation oriented - to be used for the preparation of the Financing Proposal.
Document of a working/operational nature to be shared mainly between the Republic of Serbia, the EU Delegation and the Commission Responsibili ties Preparation by the Republic of Serbia.
Supervision and quality control by the EU Delegation and EC services Project funded by The European Union Government of the Republic of Serbia European Integration Office
Project funded by The European Union
UNDERSTAND, IDENTIFY EXPLAIN, ASSESS, DEFINE, STRUCTURE ACTION
Government of the Republic of Serbia European Integration Office
Then provide Action Rationale…
Project funded by The European Union
briefly describe the context key problems/needs which are currently faced by the Beneficiary Country and how the Action will help resolve these
identify the stakeholders most affected by the problem and
what institutional and organisational issues should be addressed
Government of the Republic of Serbia European Integration Office
Rationale…
Relevance with
Project funded by The European Union
the CSP priority(ies)the Action addresses
priority(ies) of the Enlargement Strategy(if relevant) ;
priorities of the Annual Progress Report the Action will address;
the EU policies and any regional strategy in line with the Action;
Multi-Country Strategy Paper (if relevant);
other relevant actions or strategies supported by the national authorities and/or the donor community.
Government of the Republic of Serbia European Integration Office
Rationale…
Lessons learned
•
short description of problems/issues encountered in previous actions in the same field and how they can be avoided.
key recommendations and follow-up of the relevant evaluation(s)
Q for you: What key lessons can be drawn for future financial assistance?
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Rationale…
Sector Approach Assessment
An overview of Sector Maturity based on main EC assessment criteria
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Project funded by The European Union Work together with all relevant stakeholders Shift from stand-alone projects to programmes National policy process & ownership Increase the coherence between policy, spending and results, and reduce transaction costs Government of the Republic of Serbia European Integration Office
1. National sector policies/ strategies 2. Institutional setting, leadership & capacity 3. Sector & donor coordination 4. Mid-term budgetary perspective 5. Monitoring & performance assessment framework
6. Public finance management 7. Macro-economic framework Project funded by The European Union Government of the Republic of Serbia European Integration Office
A summary of the sector approach assessment based on EC criteria
• policy/context, even in the case of a Stand-alone Action (if relevant), including any plan of the Beneficiary Country to improve its capacity and move towards a sector approach.
Project funded by The European Union Government of the Republic of Serbia European Integration Office
For a Sector Support Action an overview of the following aspects: description of any existing Country Sector Policy/Strategy and how this translates into an IPA Action any specific IPA SPD & the way how it was prepared; institutional arrangements ,including lead ministry; sector and donor coordination (i.e. very brief description of the mechanisms for ensuring coordination between the government institutions and between the government and donors/other stakeholders); Sector budget and medium term perspective (very concise)
Other aspects, i.e. performance management framework; Public finance management system, may be added but should remain very concise.
further details can be added as an annex.
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Analysis phase:
Preparatory analysis – situation analysis
Stakeholder analysis
Problem analysis Objective analysis
Strategy analysis Planning phase:
Logical Framework Matrix
Activity scheduling
Resource scheduling
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Project funded by The European Union Government of the Republic of Serbia European Integration Office
This comprises a more detailed analysis:
•
Of the people, groups or organizations that may influence or be influenced by the problem or a potential solution to the problem.
•
The objectives of this step are to identify and discuss the interest and expectations of persons and groups that are important to the success of the intervention.
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Technicians (Solutions)
Project funded by The European Union
Politicians (Values) Recipients (Problems)
Government of the Republic of Serbia European Integration Office
POLITICI ANS TEC H NICI ANS RECIPIENTS PUBLIC SPHERE Government Public Administration Local Communities PRIVAT E SPHERE Chambers Consultants and researchers SMEs SOCIAL SPHERE Trade Unions Universities CSOs
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Interests Questions of authority Previous experience Different stakehoders perceive same changes in different ways Occupations and relations Pressure at work Personal characteristics Priorities
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Stakeholder and basic characteristics Interests and how affected by the problem(s) Capacity and motivation to bring about change Possible actions to adsress stakeholder interests
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Project funded by The European Union Government of the Republic of Serbia European Integration Office
SWOT is a method for conducting situation analysis
Participatory approach
Subjective stands of the group
Facilitates problems and objectives identification
Project funded by The European Union Government of the Republic of Serbia European Integration Office
SWOT analysis Internal Strengths factors Weaknesses External factors Opportunities Threats
Project funded by The European Union
Identify S. W. O. T. , then analyze through SWOT Matrix strategic choices
Government of the Republic of Serbia European Integration Office
INTERNAL TRANSLATE INTO ACTION PLAN EXTERNAL STRENGTHS WEAKNESSES OPPORTUNITIES How do we use our strengths to exploit the opportunities?
How do we overcome the weaknesses that prevent us exploit the opportunities?
THREATS
Project funded by The European Union
How do we use our strengths to reduce the likelihood and impact of the threats?
How do we overcome the weaknesses that will make these threats a reality?
Government of the Republic of Serbia European Integration Office
INTERNAL STRENGTH WEAKNESSES
•
High % of young people with higher education
•
High unemployment rate of young population EXTERNAL OPPORTUNITIES
•
Increase of young labour force THREATS
•
Emigration of skillful labour force
Project funded by The European Union
S-O /Maxi- Maxi strategy
Build on strengths to exploit opportunities
Invest on high education to qualify young labour force S-T /Maxi –mini strategy
Build on strengths in order to fight off threats
W-O /mini- Maxi strategy
Minimise weaknesses to exploit opportunities
Minimise unemployment to exploit young labour force W-T/mini- mini strategy
Minimise weaknesses in order to fight off threats
Invest on high education to avoid brain-draining Minimise unemployment to avoid brain-draining
of Serbia European Integration Office
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Establishing the
roots of causes
in order to focus the intervention design on them and not solely to the symptoms of problems!
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Project funded by The European Union
Process
of identification of
negative aspects
of some existing situation and establishment of
cause and effect relations
between identified aspects / problems.
Government of the Republic of Serbia European Integration Office
Once identified, the stakeholder group should meet and conduct a facilitated discussion to further identify and clearly state the problems that need to be resolved.
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Precise defining of framework and object of analyses Identification and formulation of the problems Selection of primary or focal problem(s) Problem tree development
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Only existing problems should be identified, not potential ones, future ones nor imagined ones Problem is not absence of solution, but existence of some negative state of affairs On each paper you should write only one problem
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Project funded by The European Union
Public transportation in Tac City
Government of the Republic of Serbia European Integration Office
Bus Company is losing money Frequent traffic accidents Bad quality of roads Busses are in bad technical conditions Bus Company losing trust of the passengers Insufficient maintenance of busses Passengers use alternative traffic means Busses are very old Busses do not arrive and leave on time Passengers arrive late Passengers suffer injuries or die Reckless driving of bus drivers Increased traffic jams in the city
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Technique for establishing visualization cause-effect relations between problems and its
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Picture of existing negative state of affairs
Effects Central problem Causes
Project funded by The European Union Government of the Republic of Serbia European Integration Office
1. Identification of primary or focal problem(s) 2. Identification of essential direct causes of primary problem – first order causes 3. Identification of essential and direct effects of primary problem – first order effects 4. Identification of second order causes and effects, third order, etc .
5. Problem tree construction – effect relations, bottom up 6. Problem tree review drawing cause Project funded by The European Union Government of the Republic of Serbia European Integration Office
Effect Effect Effect Effect Cause
Project funded by The European Union
Cause Focal problem Cause Cause Cause
Government of the Republic of Serbia European Integration Office
Bus Company is loosing money Increased traffic jams in the city Passengers use alternative traffic means EFFECTS Bus Company losing trust of the passengers Passengers arrive late Busses do not arrive and leave on time Passengers suffer injuries or die Frequent traffic accidents CENTRAL PROBLEM/S
Project funded by The European Union
Busses are in bad technical conditions Insufficient maintenance of busses Reckless driving of bus drivers Busses are very old CAUSES Bad quality of roads
Government of the Republic of Serbia European Integration Office
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Process in which Problem tree into Objective/solution tree that product is converted and analysis of PROBLEM TREE OBJECTIVE TREE
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Reformulate each problem in a “problem tree” into a positive statement (objective) Verify hierarchy of objectives Visualization of relationships in a diagram
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Problem Tree
Effects
Objective Tree
Overall objectives Focal problem Project Purpose
Project funded by The European Union
Causes Results
Government of the Republic of Serbia European Integration Office
Rural exodus High unemployment Low productivity Outdated technologies Low skilled labour .. Is caused by..
Poor education facilities Rural immigration Lower unemployment Higher productivity Updated technologies Higher skilled labour .. Will lead to...
Better education facilities Project funded by The European Union Government of the Republic of Serbia European Integration Office
1. Starting from the top reformulate all elements of Problem tree into a positive, desirable conditions 2. Instead of cause-effect relations in Problem tree, established relations are means-solution or means-objective 3. Starting from the bottom check whether established means-objective relations are logic and valid
Project funded by The European Union Government of the Republic of Serbia European Integration Office
4. If needed: a) revise objective statements b) erase c) add solutions/objective which are unrealistic or unnecessary new solutions/objectives where necessary 5. connect with lines solutions or means-objective relationships to show means-
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Buss Company makes profit Improved traffic situation in the city centre Increased number of people use public transport Overall objective Trust of the passengers regained Passengers arrive on time Busses arrive and leave in line with schedule Increased safety of the passengers Number of accidents has decreased Specific objective(s) Busses are in good technical condition Drivers drive more carefully Busses are well maintained Old busses are being replaced as needed
Project funded by The European Union
Results Good quality of roads
Government of the Republic of Serbia European Integration Office
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Final step in ANALYSIS PHASE Selection of strategy which will be used for achieving desired objectives Process of decision making on which solutions (objectives) will be included in project and which will stay outside of project, as well as what is objectives and what is purpose/specific overall objective
Project funded by The European Union Government of the Republic of Serbia European Integration Office
The objective tree usually depicts several possible strategies solution to each sub-problem and to the focal problem.
that can comprise a Since there is usually a select the best one. limit to the resources that can be applied to the project, it is necessary to examine these alternatives and To do this, decision-makers will first need to select criteria upon which they can base the analysis.
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Which combinations will most probably lead to desired results and sustainable benefits ?
Which is the best way to support the ownership over the project, including institutions/organizations capacity development?
Which option is the most efficient one?
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Buss Company makes profit Improved traffic situation in the city centre Increased number of people use public transport Trust of the passengers regained Passengers arrive on time Busses arrive and leave in line with schedule Increased safety of the passengers Number of accidents has decreased drivers Busses are in good technical condition Drivers drive more carefully Good quality of roads Busses are well maintained Old busses are being replaced as needed
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Project funded by The European Union Government of the Republic of Serbia European Integration Office
NAD / CSP Overall Objective / Enlargement Strategy Priority / Target Measure
Project funded by The European Union
SPD AD Overall Objective Specific Objective Results Overall Objective Specific Objective Results
Government of the Republic of Serbia European Integration Office
Sector Planning Document Results R1 R2 R3 R4 R5 R6 R7 R8
Project funded by The European Union
Action Document Specific Objective 1 Specific Objective 2 2015 R1 R2 Results 2016 R3 R4 R5 R6 2017 R7 R8
Government of the Republic of Serbia European Integration Office
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Overall objective (1) Specific objective (2) Results (3) Activities (4) Indicators (8) Indicators (10) Sources of verification (9) Sources of verification (11) Indicators (12) Sources of verification (13) Implementation Modalities Costs Assumptions (7) Assumptions (6) Assumptions (5)
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Objectively Verifiable Indicators (OVI)represent the baseline for measuring performance, monitoring operations and the overall effectiveness of programme implementation.
Performance Indicators
mainly OUTCOME indicators at the level of Specific Objective provide information on changes which occur for direct beneficiaries Project funded by The European Union Government of the Republic of Serbia European Integration Office
• Impact indicators - to be set at the level of the SPD overall and specific objective and can be identified from CSR/NAD targets • Outcome indicators measure the result performance and provide information on changes which occur for direct beneficiaries - to be set at the level of AD specific objective; • Output indicators- to be identified as the consequences of AD activities carried out and their products and set at the level of result Project funded by The European Union Government of the Republic of Serbia European Integration Office
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Indicator
CSP indicator (if applicable)
Action outcome indicator1 Action outcome indicator2
Etc.
Description Baseline (year) Target (year)
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Explain…
R OLES AND RESPONSIBILITIES
the main institutional stakeholders involved in the management and implementation process of the Action their respective roles and responsibilities (e.g. Line Ministries, National Institutions/Agencies, Regional Authorities, etc.) as well as any coordination arrangements (working group, steering committee, etc)
I MPLEMENTATION METHOD AND TYPE OF FINANCING
financing methods to deliver activities; i.e. indicative number and types of tender(s)/call for proposal(s)/grants, as well as, where available, the method of implementation and any delegated partners Co-financing arrangement Project funded by The European Union Government of the Republic of Serbia European Integration Office
IPA Action Document
r P o c u r e m e t n
SERVICES SUPPLIES WORKS GRANTS
Project funded by The European Union
Terms of Reference Technical Specifications Bills of Quantity Guidelines for Applicants
Government of the Republic of Serbia European Integration Office
SERVICES SUPPLIES >€300,000 International restricted procedure > €300,000 International open procedure WORKS GRANTS
Project funded by The European Union
>€5,000,000 1.Internation
al open procedure 2.Internation
al restricted procedure >€2,000,000 International call for proposals < €300,000 but > €20,000 1.Framework contracts 2.Competitive negotiated procedure <€300,000 but > €100,000 Local open procedure <€ 5,000,000 but > €300,000 Local open procedure <€100,000 but > €20,000 Competitive negotiated procedure < € 300,000 but > €20,000 Competitive negotiated procedure >€2,000,000 Local call for proposals < €20,000 Single tender < €20,000 Single tender < €20,000 Single tender
For any amount in cases of urgency
Direct grant
Government of the Republic of Serbia European Integration Office
Indicative Contracting Time
Contract Type
SERVICE SUPPLIES WORKS GRANTS
Procurement Procedure
International Restricted Tender Framework International Open Tender Local Open Tender International Open Tender Local Open Tender International Call for Proposals Local Call for Proposals
Average Time Taken
(9)-12 months (3)-5 months 9 months 6 months 12+ months 9-12 months 12+ months (6)-9 months Project funded by The European Union Government of the Republic of Serbia European Integration Office
SPD: Programming and Implementation Plan
SECTOR TITLE 2014 2015
Q3 Q4 Q1 Q 2 Q3 Q4
2016 2017 2018 2019 2020
Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 ACTION 1
P C C C/I I I I I I I I I I I I I I
Activity 1.1
Activity 1.2
…..
ACTION 2 Activity 2.1
Activity 2.2
P P C C I P P I C C C C I I I I P P P P I I I I I I I P P P I I I I I I I I I C C C C/I I I I I I I I I I I I C C C C I I I I I I I I I I I C C I I I I I I I I I I I I P C
= programming (period when the IPA action programme is expected to be adopted = procurement and grant award procedure The European Union Government of the Republic of Serbia European Integration Office
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Service contract is used for engagement of experts for delivery of defined tasks Costs cover expert fees Budget is relatively simple – fees include other costs (transport, per-diems) Project funded by The European Union Government of the Republic of Serbia European Integration Office
Budget is calculated in relation to type and number of experts Fees - usual cost: € 800-1000 for senior experts and € 250-400 for junior experts (it depends on expertise and period of engagement, short-term or long-term) Incidental expenditures (between 2 & 5, sometimes 10% of budget) • Bank charges • • Per diems for experts when working outside normal place of work Visibility events, translation etc.
Verification (e.g. around 2% of budget) • External auditor’s fees Project funded by The European Union Government of the Republic of Serbia European Integration Office
Supply contract is used for purchase of equipment Contract covers equipment, including installation, training, spare parts etc. Experts estimation is necessary It is necessary to take into account timeframe (1,5 year to implementation) Project funded by The European Union Government of the Republic of Serbia European Integration Office
Value of the contract depends on the type and quantity of equipment Costs are totally depended on the type of equipment (e.g. computer is around € 1,000) Project funded by The European Union Government of the Republic of Serbia European Integration Office
Works contract is used for construction and reconstruction (infrastructure) Contract covers all costs related to (re) construction, including materials, workers, engines etc. Expert’s estimation is necessary Precondition for implementation is prepared technical documentation, existence of relevant licenses etc. Project funded by The European Union Government of the Republic of Serbia European Integration Office
Value of the contract depends on type and shape of (re) construction Contingency reserve (6-15%) and supervision of works Project funded by The European Union Government of the Republic of Serbia European Integration Office
Grants contract is used for the grant scheme as direct donation for local and regional authorities and civil society organizations Budget composition: total value of the grant scheme Project funded by The European Union Government of the Republic of Serbia European Integration Office
Represents transfer of knowledge and experience from MS to CC and PCC Budget composition: detailed breakdown in line with twinning manual Budget from practice: – Twinning: 1-2 million euros – Twinning light: 200.000 euro Project funded by The European Union Government of the Republic of Serbia European Integration Office
Direct Agreement between the EC and institutions which have specific and unique knowledge necessary for project implementation (UNHCR, UNICEF, IFIs, IOM, UNDP etc.) Budget composition: there is no prescribe form, but it should be presented in detail (expert fees, sub-contracting, supplies etc.) Project funded by The European Union Government of the Republic of Serbia European Integration Office
E NVIRONMENT AND CLIMATE CHANGE DISASTER RESILIENCE ) ( AND IF RELEVANT
Q: How environmental considerations have been integrated in the Action design” as well as how the 'Rio marking' of the Action for climate change 'adaptation' and 'mitigation' will be applied (if relevant)?
Q:Describe the measures related to disaster resilience and risk prevention (if relevant)
E NGAGEMENT WITH CIVIL SOCIETY OTHER NON STATE STAKEHOLDERS ) ( AND IF RELEVANT ,
Q: What measures have been taken to associate civil society and/or social partners etc. in the design and implementation of the Action?
Project funded by The European Union Government of the Republic of Serbia European Integration Office
E QUAL OPPORTUNITIES AND GENDER MAINSTREAMING
Q: How does the Action take account of gender aspects during design and implementation phases?
M INORITIES AND VULNERABLE GROUPS
Q: How does the Action take account of people belonging to minorities/vulnerable groups?
Q: How their involvement is facilitated?
Project funded by The European Union Government of the Republic of Serbia European Integration Office
the Action should be sustainable beyond its implementation period
Q: Define your commitment or describe required resources (human and financial)provided for the operation and maintenance of results once the Action is completed
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Details on any specific communication and visibility activity/plan for the Action, including information on target audiences (if relevant)
Useful tool (if required)-guidelines provided in the
Communication and Visibility Manual for EU External Actions
Project funded by The European Union Government of the Republic of Serbia European Integration Office
Project funded by The European Union Government of the Republic of Serbia European Integration Office
All presentations are available on the PPF5 website: www.ppf5.rs