Transcript 3rd SPOs Periodical Round Table Meeting
SENIOR PROGRAMME OFFICERS 3
rd
PERIODICAL ROUND TABLE MEETING
JUNE- 2010
CONTENT
Regulatory framework
Introduction of the “Programme Management Guidelines” (particularly PIM, Turkish version, SPO webpage etc.)
Better understanding of the “Sensitive Post” concept in DIS institutions
Information on the Irregularity and Irregularity Reports
Workflow on how to follow the procedure for the preparation of Progress & Monitoring Reports
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WHAT HAVE BEEN DONE CONCERNING TO SPO SUPERVISION UNTIL NOW? (1)
1 st
Round Table Meeting held on
28 th and 30 th April 2009
“The Self Assessment Sheet Briefing” held on 21 st May 2009.
“The SPOs Self Assessment Analysis Report” for 2007 NP was prepared in
June 2009
This report was approved by the PAO and published at the CFCU website as a summary, on
10 th July 2009
Accordingly, the NAO and NIPAC were informed on the report by the PAO.
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WHAT HAVE BEEN DONE CONCERNING TO SPO SUPERVISION UNTIL NOW? (2)
At the same time, the relevant SPOs were informed by the PAO on the results/scores of assessment, they obtained, via official letter dated
11 th August 2009.
“The spot check visits” to the SPO offices were realized between June and December 2009 by the CFCU.
Among the 33 offices, 26 offices have been visited personally by the CFCU
“Aide Memoire” was prepared by the CFCU.
Revised/updated versions of the
Workload Analysis Self Assessment Sheets
and were received from the 2007 SPOs on May 2010.
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WHY WE ARE DOING THESE?
WHAT IS THE LEGISLATIVE BACKGROUND?
A. The requirements [selected indicative] of the IPA Regulation – 1085/2006 and its Implementing Regulation – 718/2007 for management and control B. IPA IR Article 11.3, Operational Agreement between PAO and SPOs.
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 and the bodies participating in that activity.
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WHY WE ARE DOING THESE?
WHAT IS THE LEGISLATIVE BACKGROUND?
C. Template for Self-Assessment Sheets D. PAO Analytical Report of SPO Self Assessment on-the-spot Assessment by PAO services under Article 11.3. and as input to Article 27 and Follow-Up Statement of Assurance by NAO.
In accordance with Article 25(5), the national authorising officer shall make an annual management declaration, which shall take the form of a statement of assurance to be presented to the Commission by 28 February each year. He shall forward a copy of the statement of assurance to the competent accrediting officer.
The statement of assurance shall be based on the national authorising officer's actual supervision of the management and control systems throughout the financial year.
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WHY WE ARE DOING THESE?
WHAT IS THE LEGISLATIVE BACKGROUND?
E. Senior Programme Officer (SPO)
– Clarity of function
Pursuant to article 75(3) of the IPA IR , PAO shall designate officials within the national administration as SPOs.
Under the overall responsibility of the PAO concerned, SPOs shall carry out the following tasks:
be responsible for the technical aspect of the operations within line ministries,
assist the PAO 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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PROGRAMME MANAGEMENT GUIDELINES
SPO Webpage
Unofficial Turkish translations of PIM&POG
PIM - Programme Implementation Manual
POG - Programme Operational Guide
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Programme Management Guidelines Part 1 - Programme Implementation Manual (PIM)
“Program Uygulama El Kitabı”
Part 2 - Project Operational Guide (POG)
“Program Yürütme Rehberi”
PIM & POG were translated into Turkish.
Unofficial Turkish translations have been sent to the 2007 and 2008 SPOs on 19.04.2010.
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Programme Implementation Manual (PIM) – Key Issues (1)
Strategic level overview and key skills.
WHO and WHAT
To reflect the current
Instrument for Pre-Accession Assistance
(IPA) framework To describe clearly and accessibly the
complete DIS structure
and the role/contribution of all stakeholders To
incorporate the Operational Agreement
into the PMG To stress the importance of
avoiding Last minute Contracting
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Programme Implementation Manual (PIM) - Key Issues (2)
Programming Phase
-
Commission Services - NIPAC - Line Ministries and Agencies
Annual Enlargement Strategy
Regular Report and Negotiations Accession Partnership (AP)
9 th Development Plan
Negotiation Framework
Implementation Phase
-
Commission Services
-
CFCU
-
Line Ministries and Agencies
Working Document (Programme Document 1)
Quarter 4 in Year N-1
Ex-post Evaluation of Financing Agreement
N+3 and beyond
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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Evaluation
Programme Implementation Manual (PIM) - Key Issues (3)
Programming Identification Implementation Financing
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Formulation 14
Programme Implementation Manual (PIM) –Key Issues (4)
Programming
The purpose of the programming phase is to identify and agree the main objectives and priorities for financial cooperation.
Identification
In this phase, the line ministries and agencies are required to formulate project ideas through Project Identification Sheets.
Formulation
In this phase, the line ministries and agencies are required to formulate PFs related to the approved project proposals.
Financing
This phase ends with the signature of the FA.
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Programme Implementation Manual (PIM) – Key Issues (5)
Implementation
Preparation of project documents which describe define inputs and describe actions to be financed: o
ToR for technical assistance (TA)
o o o o
Technical Specification (TS) for supply of goods Guidelines for applicants for grant scheme (GS) Contracts for twinning programmes Detailed design for works
Tendering and contracting to select the service provider applying open and fair competition methods Project implementation and contract administration which is the phase where project activities are implemented and disbursements accordingly executed Monitoring to assess implementation performances and achievements in order to take corrective actions
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Programme Implementation Manual (PIM) – Key Issues (6)
Evaluation
The aim of evaluation is to assess the impact of the project, if the objectives have been achieved, and to learn lessons by identifying shortcomings and mistakes that occurred during the implementation, in order to improve the execution of future projects.
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Programme Implementation Manual (PIM) - Key Issues (7)
Decentralised Implementation System
The purpose of the DIS is to provide the appropriate legal and administrative framework for the transfer of responsibilities for the implementation of the EU funded programmes from the EC to the partner countries.
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Programme Implementation Manual (PIM) - Key Issues (8)
DIS Actors/Institutions
Competent Acrediting Officer (CAO) 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) CFCU-3rd SPOs Round Table Meeting-June 2010
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Programme Implementation Manual (PIM) –
Key Issues (9)
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.
Human Resources Requirements Ethics Policy
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Conflict of Interest
The SPO and SPO Team should be careful about conflict of interest As CONFLICT OF INTEREST; During preparation of TS/Market Survey, Evaluation Committee members.
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ETHICS
PIM Section 9.3 Ethics Policy
The SPO and SPO Team should be careful about ethic clauses As ETHICS; Appointment policy towards potential tenderers in the market Same ethic rules applicable with the CFCU
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Project Operational Guide (POG) – Key Issues
POG
supports the PIM. It is comprised of a detailed set of guidelines on how to carry out all of the activities; including instructions, checklists, standard formats, etc.
Basic Principles
Common Advertising Rules Common Tendering Rules Common Technical Evaluation Rules Common Contract Participation, Evaluation and Award Rules
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Project Operational Guide (POG) Procurement Procedures (1)
Basic Procedures Contract Types Contract Values Checklist for a procurement procedure Timescale for a procurement procedure
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Project Operational Guide (POG) Procurement Procedures (2) SERVICES Table-1: Which Procedure to Use according to PRAG ≥ €200,000
International restricted tender procedure
1.< €200,000 but > € 10,000
FWCs 2.
Competitive negotiated procedure
≤ €10,000
Single tender
SUPPLIES WORKS ≥ €150,000
International open tender procedure
1.≥€5,000,000
International open tender procedure
2.
International restricted tender procedure
< €150,000 but ≥60,000
Local open tender procedure
< €60,000 but > €10,000
Competitive negotiated procedure
< € 5,000,000 but ≥ €300,000
Local open tender procedure
< € 300,000 but > € 10,000
Competitive negotiated procedure
≤ €10,000
Single tender
≤ €10,000
Single tender
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SENSITIVE POSTS (1)
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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SENSITIVE POSTS (2)
A sensitive function is; any post within the SPO office whose occupant could cause adverse effect to the integrity and functioning of the institution by virtue of the nature of his/her responsibility .
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SENSITIVE POSTS (3)
Sensitive functions forms an important part of internal control system.
Identification of a function as sensitive does not question the integrity of the jobholder.
Concentrate on the functions where the risk of fraud or misuse of funds or highly sensitive information for personal gain is significant.
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SENSITIVE POSTS (4)
It aims,
o
to develop a sound management system and internal control system to establish a list of functions where there is a risk that a failure to perform them correctly for each post could seriously harm the interests of the SPOs’ functions.
o
protect EU/TR financial interests against fraud and misuse and raises the awareness among the staff when performing their mission.
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SENSITIVE POSTS (5)
A post can be characterised as being sensitive:
a) by the nature of the activity itself.
This could be the case for all activities where a high degree of personal judgement is involved when taking decisions, e.g. experts taking decisions in the area of procurement or contracts, with regard to policy-making and negotiation or in areas where there is a relatively high degree of freedom to act and/or where supervision levels might be low; or sometimes the private assumptions on the personal capacity of the experts in the system.
b) by the context in which the activity is carried out.
might harm the interests of the ministry. This could apply to functions dealing with policy-making where officials might be subject to pressure to disclose sensitive information and where disclosure
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MANAGING SENSITIVE POSTS (1)
In the Ministry, the responsibility for identifying and managing sensitive functions rests with
Senior Programme Officer
who is responsible for ensuring that adequate internal control systems are in place.
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Step 1: Define whether a post should be considered sensitive by nature or context taking into account of the risks involved
MANAGING SENSITIVE POSTS (2)
Step 2: Assess the extent to which controls and checks are in place to mitigate the risks identified for the posts considered as sensitive Step 3: controls Take appropriate measures to strengthen Accept the risk Step 4: Assess the remaining risk levels Step 5: control Decide whether to accept this remaining level of risk or, if necessary, to enhance the mechanisms already in place.
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Step 6: Evaluate the remaining risk level again.
Go to Step 3 33
Criteria for defining SENSITIVE POSTS (1)
Factors contributing to the sensitivity of a function:
Decision-making capacity
Capacity to influence decisions
Relations with third parties outside the Ministry
(Contractors, Beneficiaries, grantees, CFCU, EU Delegation etc.)
Regular access to confidential information.
High-level of specialised expertise
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Criteria for defining SENSITIVE POSTS (2) Fields of activity which may be sensitive
: Financial management Contract management Human Resource Management IT Management Administration
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Criteria for defining SENSITIVE POSTS (3)
The SPO shall designate which of its positions are sensitive.
In designating sensitive positions, SPO shall include positions whose duties require, provide for, or encompass:
Director General
Assistant to a Director General
Head of Unit Head of Human and/or Financial Resources Unit
Authorising Officer
IT Expert(s) Security Officer
Administrative Assistant
Others
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SENSITIVE POSTS: MITIGATING CONTROLS Control chain by internal controls such as,
• • •
Segregation of duties “Four-eyes” control principle Supervisory activities
•
IT control mechanisms
•
Checklists for administrative controls (included in the PMG) Or any control or position that makes it nearly possible to committ fraud.
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Irregularity and Fraud
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 .
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 Reaction Reporting
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Irregularity Reports/Procedures
Definitions
Why do we report?
When do we report?
How do we report?
Other responsibilities
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Definitions of Irregularity
PIF Regulation
Article 1(2) of Council Regulation 2988/95 on the protection of the European Communities financial interests
IPA Implementing Regulation
Article 718/2007 2 (6) of Commission
IPA Framework Agreement
Regulation Article 28(4)(a)
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Irregularities
“ IPA Implementing Regulation- Article 7(3) (h):
the definitions of irregularity agreement
.
”
…shall be laid down in the framework
IPA Framework Agreement- Article 28(4)(a):
Irregularity shall mean any infringement of a provision of applicable rules and contracts resulting from an act or an omission by an economic operator which has, or would have, the effect of prejudicing the general budget of the European Union by charging an unjustified item of expenditure to the general budget.
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Elements of Irregularity
an economic operator
an act or an omission
infringement of applicable rules and contracts
charging an unjustified item of expenditure to the general budget
actual or possible effect of prejudicing the general budget of the European Union
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Irregularities
In practice, Irregularity is something not regular and many events, regardless of its effects on the EU/TR financial interests, may be asked to be reported!...
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Source of Irregularities
Disclosure of information that affect the principle of open and fair competition
Hidden a conflict of interest
Collusion with a tenderer
Inappropriate use of equipment/material supplied
Submission of provisional/final acceptance of goods report false or incorrect information in relation quantities and TS
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Fraud
IPA Framework Agreement- Article 28(4)(b):
Fraud
relating to: shall mean o any intentional act or omission the use or presentation of false, incorrect or incomplete statements or documents , which has as its effect the misappropriation or wrongful retention of funds from the general budget of the European Communities or budgets managed by, or on behalf of, the European Communities; o o non disclosure of information obligation with the same effect; in violation of a specific the misapplication of such funds for purposes other than those for which they are originally granted.
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Why do we report?
IPA Implementing Regulation (718/2007) Article 19, IPA Framework Agreement Article 28:
(1) The Beneficiary shall ensure investigation and effective treatment of suspected cases of fraud and irregularities and shall ensure the functioning of a mechanism control and reporting …In the case of suspected fraud or irregularity, the Commission shall be informed without delay .
(2) Furthermore, the Beneficiary (country) shall take appropriate measure to prevent and counter any active or passive corruption practices at any stage procurement procedure or grant award procedure or during the implementation of corresponding contracts.
of any the
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Why do you report?
Operational Agreement
Article 6- Responsibilities of the Senior Programme Officers
The immediate reporting of any determined/suspicious irregularity to the CFCU and, where non detected, the preparation and submission of a monthly “Zero” Irregularity Report to the CFCU,
Article 16 (2) Reporting SPO shall submit to the CFCU the information, on a monthly basis by the 5 th working day of the following month, on any determined/suspicious irregularities that may have occurred or, if none then, the submission of a “Zero” Irregularity Report
Annex 1- Declaration of the Senior Programme Officer
to submit monthly irregularity reports to the CFCU in accordance with the forms forwarded by the CFCU CFCU-3rd SPOs Round Table Meeting-June 2010
When do we report? (1)
Immediate Reporting: As the Irregularity Officer, SPO should report all the irregularities detected within the SPO office or by the SPO and reported irregularities by the line ministry immediately to the PAO (CFCU) by using the standard form.
All the documents certifying that irregularity was committed should be annexed to the irregularity report.
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When Do We Report? (2)
Monthly Reports:
gathered about the irregularity after immediate report will continue to be reported by SPO to CFCU and NAO (NF) via monthly reports The information and documents until the irregularity is resolved by using the standard form together with the Progress Report.
Zero Irregularity Report:
If there is not a specific irregularity reported in a quarter, not only from the SPOs but also from own activities and LMs activities regarding the projects in the FAs, the Zero Irregularity Report, prepared by SPO should be submitted to the PAO by the tenth day of the month following the end of using the standard form.
each quarter by
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How do we report? (1)
Programme Management Guidelines-
Programme Implementation Manual (PIM)
8.6.Reporting Irregularities
Operational Agreement-
Annex 3- Template Irregularity Reports CFCU-3rd SPOs Round Table Meeting-June 2010
SPO
How do we report? (2)
FLOW AFCOS CFCU NAO/NF
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OLAF EUD 51
How do we report? (3)
TEMPLATE IRREGULARITY REPORT*
*Extracted from the Operational Agreements- Annex 3
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Other Responsibilities
PIM 8.4.1
The SPO, as the
Irregularity Officer
at the SPO Office level, will inform staff and final beneficiaries about: o Irregularities classification o o Preventive actions Reaction to irregularities and to omissions PIM 8.6.3
The Irregularity Officer should ensure that the irregularities reported by the staff is registered to irregularity register and is submitted to the PAO together with the measures taken by SPO.
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PROGRESS & MONITORING REPORTS (PMRs)
Decision of Joint Monitoring Committee Meeting (Jan. 2009)
Reports submitted quarterly basis
Q1-2010: January, February, March 2010
Q2-2010: April, May, June 2010 ….
Template of monthly “ Progress Reports ” submitted to the CFCU and the bi annual “ Monitoring Reports ” submitted to the EUSG by the Beneficiary Institutions were merged
New Progress and Monitoring Report formed
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Which Projects?
Disbursement deadline (DD) of the programme did not expire
The projects under;
2005 NP (DD: 30.11.2010 with exceptions)
2006 NP (DD: 30.11.2010 with exceptions)
IPA (DD: n+2+2+1 with exceptions)
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New PMRs via Electronic Media (1)
No more hardcopies/signatures
Preparation / circulation via electronic media
The developed system will send e-mails to parties in accordance with the workflow
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New PMRs via Electronic Media (2)
Basic Project data and other information on the PMRs automatically filled
Reference number /Title of project
Budget / contracted / disbursed amounts Expiry dates, beneficiary institution/SPO details
Beneficiaries will only fill the essay part of the report
Indicators
Activities Current Problems & Risks
Anticipated Problems & Risks Planned Activities
The PMRs for the 2 nd quarter of 2010 will be submitted electronically by the Beneficiaries which the electronic media will be operational in July.
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Workflow
INSTITUTIONS ACTIONS The Beneficiary Institutions EUSG Prepare / Revise / Approve Approve / Reject / comments CFCU National Fund EU Delegation Approve / Reject / comments Preview / Comment via e-mail Preview / Comment via e-mail
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Role of SPO
Main responsibility to prepare/revise PMRs Approve the report in the system not later than the 5 th working day of the following month of each quarter period
(i.e. the reports for 1st Quarter 2010 - January-February-March 2010 shall be filled till )
“ Irregularity Report ” and/or “ Zero Irregularity Report ” should be prepared and
signed hard
copies submitted to the CFCU
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How to use new electronic system?
User Name and Password given to
Each SPO & one contact person
EUSG, NF, EU Delegation Reports status can be seen at any time by each party
At the Beneficiary/ at the EUSG/ at the CFCU/ completed Only the party who is in the queue to revise/comment the report will have the authority to make revisions to the report
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Project under the 2005 NP
(General - III)
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SPO Screen (1)
To get into the project details, click on the reference number (as in the left column) To see the history of each project (rejections, comments, approvals) click the lens icon at right.
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SPO Screen (2)
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SPO Screen (3)
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PMR Cycle History
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Next Step?
Letters will be sent for asking the contact details of the new users
Usernames given and passwords will be
Training will be organised in June
Then the system will be functional
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THANK YOU FOR YOUR ATTENTION
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