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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 st senior program me officers periodical round table meeting

1st SENIOR PROGRAMME OFFICERSPERIODICAL ROUND TABLE MEETING

April - 2009


Topics

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


Structure of the cfcu

STRUCTURE OF THE CFCU

CFCU-1st SPOs Round Table Meeting-2009


General overview to ipa

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


General overview to ipa1

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


Position of the cfcu

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


Dis structure in turkey

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


General overview of the structure

GENERAL OVERVIEW OF THE STRUCTURE

CFCU-1st SPOs Round Table Meeting-2009


Ipa funds allocated 2007

IPA FUNDS ALLOCATED (2007)

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Spos in ipa component i article 75 3 of the ipa regulation no 718 2007

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


Chain of accountability

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


Chain of accountability1

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


Senior programme officers shall

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


Overall responsibility

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


These fundamental principles lead cfcu pao to

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


Some standards on the following areas need to be established

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


Ipa ir article 11 3

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


The 1 st senior program me officers periodical round table meeting

THE 1st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING

IPA Programming

and

Project Implementation Cycle

CFCU-1st SPOs Round Table Meeting-2009


The 1 st senior program me officers periodical round table meeting1

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


The 1 st senior program me officers periodical round table meeting2

  • 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

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The 1 st senior program me officers periodical round table meeting3

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

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The 1 st senior program me officers periodical round table meeting4

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 1 st senior program me officers periodical round table meeting6

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

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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

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THE 1st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING

Role of the Senior Programme Officerand

the Project Team

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The 1 st senior program me officers periodical round table meeting9

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

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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 1 st senior program me officers periodical round table meeting11

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

Impact

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The 1 st senior program me officers periodical round table meeting13

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

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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:

  • 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

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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.

  • 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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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

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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)

CFCU-1st SPOs Round Table Meeting-2009


1st senior programme officers periodical round table meeting

CFCU-1st SPOs Round Table Meeting-2009


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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.dochttp://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

CFCU-1st SPOs Round Table Meeting-2009


The 1 st senior program me officers periodical round table meeting next step s

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


Financing agreement 2007 of ipa i

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


Financing agreement 2007 of ipa i1

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


Framework agreement for ipa

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


Max community amount

Max. Community amount (€)

Budget line: 22.02.01

CFCU-1st SPOs Round Table Meeting-2009


The deadlines

THE DEADLINES

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Deadlines in detail

Deadlines in detail

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The 1 st senior program me officers periodical round table meeting23

THE 1st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING

Thanks for your attention

CFCU-1st SPOs Round Table Meeting-2009


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