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1 st SENIOR PROGRAM ME OFFICERS PERIODICAL ROUND TABLE MEETING

1 st SENIOR PROGRAM ME OFFICERS PERIODICAL ROUND TABLE MEETING. Apr il - 2009. TOPICS. Brief i nformation 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

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1 st SENIOR PROGRAM ME OFFICERS PERIODICAL ROUND TABLE MEETING

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  1. 1st SENIOR PROGRAMME OFFICERSPERIODICAL ROUND TABLE MEETING April - 2009

  2. TOPICS • 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 CFCU-1st SPOs Round Table Meeting-2009

  3. STRUCTURE OF THE CFCU CFCU-1st SPOs Round Table Meeting-2009

  4. 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 CFCU-1st SPOs Round Table Meeting-2009

  5. 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 CFCU-1st SPOs Round Table Meeting-2009

  6. 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. CFCU-1st SPOs Round Table Meeting-2009

  7. DIS STRUCTURE IN TURKEY • National IPA Coordinator (NIPAC) • Financial Co-operation Committee (FCC) • National Fund (NF) • National Authorising Officer (NAO) • Central Finance and Contracts Unit (CFCU) • Programme Authorising Officer (PAO) • Senior Programme Officers (SPO) • Transition Assistance and Institution Building Committee (TAIB Committee) CFCU-1st SPOs Round Table Meeting-2009

  8. GENERAL OVERVIEW OF THE STRUCTURE CFCU-1st SPOs Round Table Meeting-2009

  9. IPA FUNDS ALLOCATED (2007) CFCU-1st SPOs Round Table Meeting-2009

  10. 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. CFCU-1st SPOs Round Table Meeting-2009

  11. 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. CFCU-1st SPOs Round Table Meeting-2009

  12. 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. CFCU-1st SPOs Round Table Meeting-2009

  13. 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. CFCU-1st SPOs Round Table Meeting-2009

  14. 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. CFCU-1st SPOs Round Table Meeting-2009

  15. These fundamental principles lead CFCU/PAO to; • the control of the SPOs/LMs’ sub-systems • whether the SPOs and SPO Offices are ready to assume the responsibilities assigned to them in the Operational Agreements (OAs). • whether this initial readiness continues during the implementation of the project. CFCU-1st SPOs Round Table Meeting-2009

  16. 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 CFCU-1st SPOs Round Table Meeting-2009

  17. 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… CFCU-1st SPOs Round Table Meeting-2009

  18. THE 1st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING IPA Programming and Project Implementation Cycle CFCU-1st SPOs Round Table Meeting-2009

  19. THE 1st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING IPA Programming and Project Implementation Cycle-1 PROGRAMMING • The Project Fiche (PF) is prepared and agreed between the involving institutions • The PF is submitted through the NIPAC to the EC. The EC prepares the Financing Proposal and submits it to the Management Committee for approval • The Management Committee approves the financial proposal with projects attached thereto. The FA is prepared by the EC • FA is signed by both EC and NIPAC and implementation starts IMPLEMENTATION Funds are FA specific and available for disbursement if held and within an n+3 disbursement schedule from the signature of the underlying FA. Contracting must take place within 2 years of the signature of the FA; disbursement within n+2+2+1 These rules apply for all projects. CFCU-1st SPOs Round Table Meeting-2009

  20. Programming Phase • Commission Services- NIPAC- Line Ministries and Agencies • Implementation Phase • 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 FinancingAgreement N+3 and beyond Commission Decision Marking the budgetary commitment Quarter 3 in Year N Accession Partnership (AP) Expiry and closing Audit of Financing Agreement After N+3 generally 9th Development Plan Negotiation Framework Financing Agreement Country’s agreement with the Commission Qr. 3-4 in Year N 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 Financing Agreement National Fund delegation agreement with Implementing Agency Quarter 1 in Year N+1 THE 1st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING IPA Programming and Project Implementation Cycle-2 CFCU-1st SPOs Round Table Meeting-2009

  21. THE 1st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING IPA Programming and Project Implementation Cycle-3 Programming New Project & Programme Ideas Identification Evaluation Project Implementation Cycle Formulation Implementation Management Actions Monitoring interaction with founders /adjustment Financing CFCU-1st SPOs Round Table Meeting-2009

  22. THE 1st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING IPA Programming and Project Implementation Cycle-4 PROGRAMMING IMPLEMENTATION CFCU-1st SPOs Round Table Meeting-2009

  23. 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. CFCU-1st SPOs Round Table Meeting-2009

  24. 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 • Logframe planning - comprehensive & consistent analysis • Integrated documentation - standardised documentation and assessment criteria • Can be applied to both projects and programmes CFCU-1st SPOs Round Table Meeting-2009

  25. THE 1st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING IPA Programming and Project Implementation Cycle-7 PCM Objectives • Sectoral/programme linkage • Demand driven approach • Improved analysis • Objective orientated planning • Verifiable results • Focus on sustainability • Learning from evaluation • Standardised formats CFCU-1st SPOs Round Table Meeting-2009

  26. THE 1st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING Role of the Senior Programme Officerand the Project Team CFCU-1st SPOs Round Table Meeting-2009

  27. 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) • Efficient and effective use of EU and Turkish Government co-financing funds • Achieving the project objectives • Well-timed The SPO is responsible for the: (Article 6 in OA) • Technical aspect of the operations within line ministry • Assist the PAO in the good and timely preparation and implementation of operations at technical level • Coordination within each priority axis set down in Turkey’s project proposal CFCU-1st SPOs Round Table Meeting-2009

  28. 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 CFCU-1st SPOs Round Table Meeting-2009

  29. 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 CFCU-1st SPOs Round Table Meeting-2009

  30. THE 1st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING Role of the SPO and the Project Team-5 Risk assessment by the SPO Probability Impact CFCU-1st SPOs Round Table Meeting-2009

  31. THE 1st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING Role of the SPO and the Project Team-6 The interpretation of risk assessment resultsby the SPO Priority 1: Critical risks Priority 2: Contingent risks Priority 3: “Housekeeping risks” Priority 4: Minor risks CFCU-1st SPOs Round Table Meeting-2009

  32. 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: • Convening the initial risk assessment • Convening the quarterly risk assessment meetings • Identifying the key risk factors • Receiving risk assessment statements • Preparing risk assessment statements for the CFCU • Maintaining the risk register • Proposing risk minimization measures • Follow up Contractors and Final Beneficiaries to ensure that risk minimization measures have been implemented • To organize a take part in on the spot-checks CFCU-1st SPOs Round Table Meeting-2009

  33. 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” CFCU-1st SPOs Round Table Meeting-2009

  34. 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. • 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 CFCU-1st SPOs Round Table Meeting-2009

  35. 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 EU-funded projects in a timely, effective and efficient manner. Human Resources Requirements Ethics Policy CFCU-1st SPOs Round Table Meeting-2009

  36. THE 1st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING Written Source and References CFCU-1st SPOs Round Table Meeting-2009

  37. 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) CFCU-1st SPOs Round Table Meeting-2009

  38. CFCU-1st SPOs Round Table Meeting-2009

  39. 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.dochttp://www.cfcu.gov.tr/files/addendum_no1_tr.doc 3. Framework Agreement http://www.cfcu.gov.tr/files/cerceve_anlasma.doc CFCU-1st SPOs Round Table Meeting-2009

  40. 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 CFCU-1st SPOs Round Table Meeting-2009

  41. 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 CFCU-1st SPOs Round Table Meeting-2009

  42. THE 1st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETINGNEXT 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 planby the CFCU 3. Reporting to the NAO (NAO to inform the EC accordingly). CFCU-1st SPOs Round Table Meeting-2009

  43. Financing Agreement2007 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 CFCU-1st SPOs Round Table Meeting-2009

  44. Financing Agreement2007 of IPA-I Signed between the Turkish Government and the EC • 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 CFCU-1st SPOs Round Table Meeting-2009

  45. 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 CFCU-1st SPOs Round Table Meeting-2009

  46. Max. Community amount (€) Budget line: 22.02.01 CFCU-1st SPOs Round Table Meeting-2009

  47. THE DEADLINES CFCU-1st SPOs Round Table Meeting-2009

  48. Deadlines in detail CFCU-1st SPOs Round Table Meeting-2009

  49. THE 1st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING Thanks for your attention CFCU-1st SPOs Round Table Meeting-2009

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