Transcript 1st SPOs Periodical Round Table Meeting

1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
April - 2009
TOPICS
I.
II.
III.
IV.
V.
VI.
VII.
Brief information of the structure of the CFCU
General Overview to IPA
SPOs in IPA programmes
Brief info on the 2007 FA
IPA Programming and Project Implementation
Cycle
Role of the Senior Programme Officer and the
Project Team
Written Source and References
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STRUCTURE OF THE CFCU
PAO – CFCU DIRECTOR
ADMINISTRATIVE
ASSISTANT
ADVISOR TO PAO
QUALITY ASSURANCE AND
CONTROL DEPARTMENT
INTERNAL AUDIT
HUMAN RESOURCE AND
ADMIN. AFFAIRS DEPT.
SENIOR CONTRACT
MANAGER
GRANT SECTION
TENDERING / CONTRACTING
SECTION
TWINNING SECTION
CONTRACT / PROJECT
MANAGEMENT SECTION
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SENIOR FINANCE
MANAGER
REGISTRATION AND OWN
PREV. FINANCIAL CONT.
FINANCIAL REPORTING &
iPERSEUS
ACCOUNTING
PAYMENT AUTHORIZATION
PAYMENT EXECUTION
PAYMENT CONTROL
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General Overview to IPA
Component I - Transition Assistance and
Institution Building
Component II - Cross-Border
Cooperation
Component III - Regional Development
Component IV - Human Resources
Development
Component V - Rural Development
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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
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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.
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DIS STRUCTURE IN TURKEY

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
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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)
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GENERAL OVERVIEW OF THE
STRUCTURE
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IPA FUNDS ALLOCATED (2007)
BUDGET
(MEUR)
CONTRACTING
AUTHORITY
OPERATING STRUCTURE
252,2
CFCU
Collection of Bodies (CFCU,
SPOs etc.)
6,6
CFCU/MANAGING
AUTHORITYBULGARIA
Collection of Bodies (CFCU,
SPOs etc.)
167,5
CFCU
(in the transition
period)
Ministry of Environment and
Forestry
Ministry of Transport
Ministry of Industry and Trade
Component IV - HR
50,2
CFCU
(in the transition
period)
Ministry of Labour and Social
Security
Component V - AGRI
20,7
Component I - TAIB
Component II - CBC
Component III - REGIO
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Ministry of Agriculture and Rural Affairs
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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.
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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.
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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.
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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.
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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.
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These fundamental principles
lead CFCU/PAO to;
the control of the SPOs/LMs’ subsystems
 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.

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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
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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…
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
IPA Programming
and
Project Implementation Cycle
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
IPA Programming and Project Implementation Cycle-1
PROGRAMMING
IMPLEMENTATION
The Project Fiche (PF) is prepared and agreed
between the involving institutions
Funds are FA specific and
available for disbursement if
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
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n+3
held and within an
disbursement schedule from
the signature of the
underlying FA.
Contracting must take place
2
within
years of the
signature of the FA;
disbursement within
n+2+2+1
These rules apply for all
projects.
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
IPA Programming and Project Implementation Cycle-2
Programming Phase
Implementation Phase
-Commission Services
- NIPAC
- Line Ministries and Agencies
-Commission Services
-CFCU
-Line Ministries and Agencies
Working Document
(Programme Document 1)
Quarter 4 in Year N-1
Annual Enlargement Strategy
Regular Report and Negotiations
Ex-post Evaluation of Financing
Agreement
N+3 and beyond
Accession Partnership (AP)
9th Development Plan
Negotiation Framework
Expiry and closing Audit of Financing
Agreement
After N+3 generally
Monitoring and Assessment Reports
On clusters of Financing Agreement in
years N+2 and N+3
Implementation – Tenders,
Contracts and Management
Derived directly from Project fiches
Years N+1 and N+2
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Commission Decision
Marking the budgetary
commitment
Quarter 3 in Year N
Financing Agreement
Country’s agreement with the
Commission
Qr. 3-4 in Year N
Financing Agreement
National Fund delegation
agreement with Implementing
Agency
Quarter 1 in Year N+1
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
IPA Programming and Project Implementation Cycle-3
Programming
New Project &
Programme
Ideas
Evaluation
Identification
Project
Implementatio
n Cycle
Formulation
Implementation
Management
Actions
Monitoring
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interaction
with founders
/adjustment
Financing
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
IPA Programming and Project Implementation Cycle-4
PROGRAMMING
IMPLEMENTATION
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
IPA Programming and Project Implementation Cycle-5
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.
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
IPA Programming and Project Implementation Cycle-6

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
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Logframe planning - comprehensive & consistent analysis

Integrated documentation - standardised documentation
and assessment criteria

Can be applied to both projects and programmes
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
IPA Programming and Project Implementation Cycle-7
PCM Objectives
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Sectoral/programme linkage
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Demand driven approach
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Improved analysis
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Objective orientated planning
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Verifiable results
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Focus on sustainability
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Learning from evaluation
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Standardised formats
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
Role of the Senior Programme Officer
and
the Project Team
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
Role of the SPO and the Project Team-1
The role of the SPO (Article 5 in OA)
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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)
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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
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
Role of the SPO and the Project Team-3
Types of Institution Building Projects
Technical Assistance (TA)
Standard Twining
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
Role of the SPO and the Project Team-4

Management

Monitoring

Assistance to Evaluation

Supervise to Record Keeping
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
Role of the SPO and the Project Team-5
Risk assessment by the SPO
Probability
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Impact
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THE 1st SENIOR PROGRAMME OFFICERS
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Role of the SPO and the Project Team-6
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
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
Role of the SPO and the Project Team-7
Risk management process of the SPO
The risk manager responsibilities will include:
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Convening the initial risk assessment
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Convening the quarterly risk assessment meetings
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Identifying the key risk factors
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Receiving risk assessment statements
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Preparing risk assessment statements for the CFCU
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Maintaining the risk register

Proposing risk minimization measures
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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
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
Role of the SPO and the Project Team-8
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”
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
Role of the SPO and the Project Team-9
The SPO, as the Irregularity Officer:
Irregularity
Irregularity 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.
Reaction
Reporting
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Fraud
Fraud 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
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
Role of the SPO and the Project Team-10
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 EUfunded projects in a
timely, effective and
efficient manner.
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Human
Resources
Requirements
Ethics
Policy
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
Written Source and References
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
Written Source and References- 1
Programme Management Guidelines
Part 1-Programme Implementation Manual
(PIM)
Part 2-Project Operational Guide (POG)
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
Written Source and References-5
Part 1-Programme Implementation Manual (PIM)
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 Agreement
http://www.cfcu.gov.tr/files/cerceve_anlasma.doc
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
Written Source and References-6
Part 1-Programme Implementation Manual (PIM)
Annexes
4.
Self Assessment Sheet
5.
Project Fiche (PF) Template
6.
Technical Specification (TS) Guideline
These 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.doc
http://ec.europa.eu/europeaid/work/procedures/implementation/practical_guide/documents/a11_c_guidelines_furniture_en.doc
http://ec.europa.eu/europeaid/work/procedures/implementation/practical_guide/documents/a11_d_guidelines_vehicles_en.doc
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
Written Source and References-7
Part 1-Programme Implementation Manual (PIM)
Annexes

Guide to Framework Contracts (FWC)
http://ec.europa.eu/europeaid/work/framework-contract/beneficiaries/index_en.htm

Publicity and Visibility
http://europa.eu.int/comm/europeaid/visibility/index_en.htm

.
Sensitive Post Policy Paper
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
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).
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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

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Financing Agreement
2007 of IPA-I
Signed between the Turkish
Government and the EC
o
o
Head of the ECD (03.12.2008)
NIPAC (24.12.2008)
Entry into force on the date of signature by
the second of the two parties: 24.12.2008
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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
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Max. Community amount (€)
EU
GENERAL
COMMUNITY
PROGRAMMES (-)
CFCU
TR
TOTAL
256.202.720,00
97.233.163
353.435.883
58.512.770
67.224.080
125.736.850
197.689.950
30.009.083
227.699.033
Budget line: 22.02.01
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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.
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Deadlines in detail
Documents
Deadlines
Explanations
Contracting Deadline
17.12.2010, Friday
-
Evaluation Reports
01.10.2010, Friday
2.5 months before
contracting deadline
Contract files
12.11.2010, Friday
1 month before
contracting deadline
Grant Technical Ev.
Rep. (Step-III)
06.08.2010, Friday
4.5 months before
contracting deadline
Grant Ver. of Eligibility
Rep. (Step-IV)
15.10.2010, Friday
2 months before
contracting deadline
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THE 1st SENIOR PROGRAMME OFFICERS
PERIODICAL ROUND TABLE MEETING
Thanks for your attention
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