Transcript A project funded by the European Union

Project funded by
The European Union
Government of the Republic of Serbia
European Integration Office
INDUCTION TRAINING SEIO
SECTOR APPROACH (SA) IN IPA
PROGRAMMING FOR SERBIA
Training Objectives
Overall the training will provide SEIO staff with an
understanding of the history /background of the Sector Approach
(SA) and the EC’s motivation for adopting SA in pre-accession
assistance. The overall objective is for SEIO staff to understand
how EC requirements for SA can be met in Serbia.
Specifically, the training will explain:
 how criteria for sector selection should be used in Serbia;
 how to use the 7 EC assessment criteria for SA;
 how to carry out assessments of ‘sector maturity’ in the
Serbian context;
 how to incorporate the results of sector assessments in
future IPA programming.
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
Paris Declaration: Aid Effectiveness
Paris Declaration (02/03/2005) principles are: 1) Ownership; 2)
Alignment; 3) Harmonization; 4) Managing for results; 5) Mutual
accountability
Indicators
Countries put in place national development strategies with clear strategic
priorities (OWNERSHIP).
Donors align their aid with national priorities and provide the information
needed for it to be included in national budgets (ALIGNMENT)
Co-ordinated programmes aligned with national development strategies
provide support for capacity development (ALINGNMENT)
As their first option, donors use fiduciary systems that already exist in
recipient countries (ALINGNMENT).
As their first option, donors use procurement systems that already exist in
recipient countries (ALINGNMENT).
 Aid is released according to agreed schedules (ALINGNMENT).
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
Sector Definition
Policy Areas
Sectors Defined for Country
Strategy Papers1
Transition Process &
Capacity Building
1.
2.
Democracy and Governance
Rule of Law and Fundamental
Rights
Regional Development
3.
4.
5.
6.
Environment
Transport
Energy
Competitiveness and Innovation
Employment, Social Policies
& Human Resource
Development
7.
Education, Employment and Social
Policies
Agriculture & Rural
Development
8.
Agriculture & Rural Development
1Taken
Project funded by
The European Union
from ‘A Quick Guide to IPA Programming’. DG ELARG December 2013.
Government of the Republic
of Serbia
European Integration Office
Criteria for Sector Definition
1. Sector should be have relevance for EU accession
and/or national socio-economic development.
2. Sector should be wide enough to be significant for
national accession /development objectives, but
narrow enough for institutional coherence
3. Sector should have a clearly established institutional
framework, institutional leadership & responsibilities,
ideally there should be one lead institution;
4. Sector should have a clear linkage to the national
budgetary process
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
EC Assessment Criteria for Sector Approach
Key Criteria
1. National sector policies/ strategies
2. Institutional setting, leadership & capacity
3. Sector & donor coordination
4. Mid-term budgetary perspective
5. Monitoring & performance assessment
Sector Reform Contracts
6. Public finance management
7. Macro-economic framework
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
National Sector Policy/ Strategy
There are 3 groups of criteria for assessing the
quality of national sector policies /strategies:
1. Nature of policy process & ownership
2. Quality of policy objectives
3. Implementation arrangements
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
National Sector Strategic Frameworks :
Example
Adopted 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 2013 2024 2025
National Programme for Environmental Protection
2010
National Waste Management Strategy
2010
Environmental Approximation Strategy
2011
Biodiversity Strategy
2011
National Strategy for Sustainable Use of Natural
Resources and Goods
2012
Strategy for the Implementation of the Aarhus
Convention
2011
National Cleaner Production Strategy
2009
Initial National Communication under the United
Nations Framework Convention on Climate Change
2010
Strategy for Serbia's Inclusion in Kyoto Protocol's CDM for
Waste Management, Agriculture & Forestry Segments
2010
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
Sector Policy /Strategy:
Key Questions
Is the sector policy authored by domestic actors?
Is there enough political support & stakeholder
involvement to ensure ownership & future
sustainability?
Are policy objectives coherent with national
development objectives?
Are the objectives sufficiently SMART?
Is there an ‘Action Plan’ showing the timing &
sequencing of planned operations & showing
institutional responsibilities for these?
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
Institutional Setting
There should be a Lead Ministry which:
Plays a leading role on donor coordination within the
sector & works closely with the NIPAC
Is responsible for coordinating the planning /drafting
of Sector Support Programmes
Coordinates with other relevant stakeholders
Coordinates the implementation of IPA funded sector
support.
Coordinates the collection and analysis of monitoring
data (indicators) for IPA sector support.
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
Institutional Mapping: e.g. Justice
Sector Lead Ministry
Ministry of Justice (MoJ)
Body Responsible for
Priority
P1: MoJ
P2: Office of Human and
Minority Rights (OHMR)
Body Responsible for
Measure
M1.1, M1.2, M1.3: MoJ
M2.1, M2.2: OHMR
Potential end
beneficiaries
 High Judicial Council
 State Prosecutorial
Council
 Supreme Court of
Cassation
 The Public
Prosecutor’s Office
 The Prosecutor’s
Office for Organised
Crime
 Judicial Academy
 The Anti-Corruption
Agency
 Ombudsman’s Office
 Office of the
Commissioner for
Equality
 Directorate for Gender
Equality (in Ministry of
Labour and Social
Policy)
 Commissariat for
Refugees and
Migration
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
Institution 1  
Institution N
Coordination
Monitoring
Government of the Republic of Serbia
European Integration Office

Institution 2 
Institution 3
Policy
Implementation
Resource Allocation
Resource Planning
Functional
Analysis
Policy Making
Project funded by
The European Union
 


Operating Structure
EC-HQ /
EUD
IPA Monitoring Committee
NIPAC/
NIPAC-TS
Sector Monitoring Committee
Sector Working Group
National
Authorising
Officer /National
Fund
A
u
d
i
t
SECTOR OPERATING STRUCTURE
Sector Lead Institution
Body Responsible
for Measure 1
Body Responsible
for Measure 2
Body Responsible
for Measure N
Contracting Authority
End Beneficiaries
Contractors /Service Providers
A
u
t
h
o
r
i
t
y
Institutional Capacity
The Lead Ministry and other institutions within
the Operating Structure must have the capacity
to absorb existing and planned IPA financial
support
Recent workload analyses of the Serbian
administration (carried out in support of DIS
/DMS accreditation) have show that, at present
staffing levels, certain Lead Ministries will
experience difficulties in absorbing IPA funds
over the 2014-16 period.
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
Absorption Capacity (I): Ministry of Justice
1. Inherited Workload

IPA 2012 (2 service+1 supply+1 works+1 direct grant)

IPA 2013 (3 service+1 supply+ 3 twinnings+1 works)
2. The Procurement Plan
Year of Contracting
2013
2014
2015
Total
Number of Contracts
1
9
3
13
Year
IPA 2012-13
Disbursement:
IPA 2014-16
Disbursement:
Project funded by
The European Union
2013
2014
2015
2016
2017
9.72
7.43
4.42
201
8
Total
(M€)
Contracting
1.60
7.12
30.29
Contracting
30.80 M€ (for 3 yr SPD)
Government of the Republic
of Serbia
European Integration Office
Absorption Capacity (II): Ministry of Justice
3. Workload Analysis (WLA) for staffing needs to implement IPA 201213 shows the following minimum staffing levels needed to meet the
Procurement Plan, these are as follows:
Year 2013
WLA staff needed for IPA
2012-13
4
2014
2015
2016
2017
2018
7
7
5
4
3
4. Existing and Planned Staffing Levels are as follows:
 Available staff (incl. Heads of Division)=6;
 Systematised staff (i.e. Planned)=9
5. Conclusion. Unless missing staff are recruited, the MoJ will not be able
to implement IPA 2012-13 according to the Procurement Plan. The peak
demand will be in 2014-15 which coincides with additional demands for
contracting IPA2 Sector Programmes. The capacity of the MoJ to absorb
IPA II funding will be low.
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
Institutional Setting & Capacity: Key
Questions
Has the sector been defined with institutional coherence
in mind?
Is there a lead Ministry in the Sector?
Are there inter-institutional agreements showing
responsibilities for achieving sector targets?
Have workload analyses of the institutions in the
Implementing Structure been carried out?
Is capacity building envisaged?
How & when will a needs assessment be carried out?
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
Sector Coordination
Covers 2 components: (1) Coordination of government institutions &
key non-government stakeholders; (2) Coordination of donors.
Lead Ministry /Institution responsible for establishing & coordinating
an ‘Operating Structure’ composed of the main government
institutions involved in sector policy /strategy making and
implementation.
Functional, government-led Sector Working Groups.
Government manages database(s) of external assistance per
sector.
Government publishes regular monitoring/ progress reports for
each sector.
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
Sector Coordination: Key Questions
Do appropriate coordination mechanisms exist within,
and between, the responsible government institutions?
Are there coordination mechanisms between the
government and non-state actors?
Are there functional donor coordination arrangements in
place?
Is there an up to date database of donor assistance?
Is the coordination effective and inclusive?
Is there sector leadership and willingness of
government to take the lead in donor coordination or
does the government show potential to develop
leadership role effectively in the short term?
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
Sector Budget
There needs to be a clear link between sector policy & budgeting.
Sector plans should be properly priced & prioritized within a
realistic estimate of the resources available from the national budget
& external donors.
IPA II Sector Support Programmes are planned to be multi-annual
& should be co-financed by predictable, multi-annual national
funding.
It is necessary to provide a brief description of the sector budget
on an annual, & if possible, on a medium-term perspective (3-5
years). Ideally there should be a Medium Term Expenditure
Framework (MTEF) for the sector.
However, development of MTEFs will be gradual, at first
assessments should focus on the existence of credible annual sector
budgets. At minimum, it is crucial to verify whether the sector
budget can be identified in the state budget.
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
Sector Budget: Key Questions
Can the sector budget be easily identified in the state
budget?
What is the overall level of sector financing?
Is the share the sector within total government
expenditures increasing?
If a Sector MTEF is not in place, are sector allocations
secured & visible in the general budget?
Is there an on-going process leading to the setting up
of Sector MTEF?
If a sector MTEF is foreseen by the government how
can its elaboration be supported by the Sector Support
Programme?
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
Monitoring Performance
 Stand-alone project-based assistance emphasises the monitoring
of resource usage (inputs) & immediate deliverables (outputs)
and relatively little on achieving objectives.
 By contrast the sector approach will introduce much stronger
results orientation to monitoring assistance & will focus national
monitoring systems on measuring the achievement of policy
objectives. There should be agreement on a Performance
Assessment Framework (PAF).
Indicator
Level
Function of Indicators
Impacts
Measure the wider
benefits beyond direct
beneficiaries
% decrease in the backlog of
civil cases
% increase in satisfaction rates
Results
Measure the benefits
produced for direct
beneficiaries
% reduction in number of
appeals lodged due to
inconsistent court rulings
% increase in number of court
Government of the Republic
rulings enforced
of Serbia
Project funded by
The European Union
Examples (judicial reform)
European Integration Office
PAFs: Key Questions
Does a national monitoring system based on
performance criteria (PAF) exist and/or is its
development foreseen during implementation?
How does the PAF link to the IPA monitoring
system?
What are the options foreseen to support PAF
development/consolidation?
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
Public Finance Management (PFM): Key Questions
Is there a PFM reform programme in place?
What are the PFM mechanisms in place for the sector?
Based on information available what are the possible
areas where support could be considered?
How do the remaining weaknesses affect the sector
policy & what recommendations can be made to improve
the situation?
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
Macro-Economic Framework
The purpose of the macro-economic assessment is to
assess the stability of the macroeconomic situation &
consequent potential for future public funding
It is not expected that a separate macroeconomic
analysis be carried out, but that a judgement on
stability-oriented macroeconomic policies be made on
the basis of existing documentation.
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
Macro-Economic Framework : Key Questions
What measures can be supported to improve the
beneficiary's macroeconomic policy?
How do these measures influence the beneficiaries'
sector policy?
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
Overall Assessment
The purpose of assessments is to establish sector-level policy dialogues
with beneficiary country authorities. Negative assessments of the key
criteria do not necessarily prevent the adoption of a sector approach.
Few beneficiary countries will have functioning MTEFs & PAFs in place in
2014 but this is not a barrier to the introduction of sector approaches.
Sector assessment provides a basis for targeting necessary TA & capacity
building activities.
 However, 3 criteria are considered essential & must be in place before
adopting a sector approach:
1) The existence of a national sector policy /strategy & a sector budget or
a government commitment to develop these.
2)
A lead institution/ ministry responsible for the sector/subsector
3) The existence of a functional sector coordination framework or a
government commitment to develop one.
Project funded by
The European Union
Government of the Republic
of Serbia
European Integration Office
Overall Assessment: Key Questions
Are the priority sectors for IPA II assessed as
being satisfactory on the 3 key criteria for a
sector approach?
Can the problems revealed by negative
assessments be addressed with domestic /IPA
/other donor resources as part of programme
preparation for 2014?
Can the problems revealed by negative
assessments be mitigated by the time of the
mid-term review?
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