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Freetown 4-6 August 2010

Freetown 4-6 August 2010. Francis Wellens. This workshop. We will review the principles of The ACP-Agreement (EDF) The Country Strategy Paper (CSP) The National Indicative Paper (NIP) We will analyse The Project Identification fiche (PIF) The Action Fiche (AF)

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Freetown 4-6 August 2010

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  1. Freetown 4-6 August 2010 Francis Wellens

  2. This workshop We will review the principles of • The ACP-Agreement (EDF) • The Country Strategy Paper (CSP) • The National Indicative Paper (NIP) We will analyse • The Project Identification fiche (PIF) • The Action Fiche (AF) • The Financing Agreement (FA) And we will discuss about • The principles of Implementing Modalities

  3. Flow of events

  4. EDF a know-how based on history and experience • Treaty of Rome 1957 EDF 1 • Yaoundé I Convention 1963 EDF 2 • Yaoundé II Convention 1969 EDF 3 • Lomé I Convention 1975 EDF 4 • Lomé II Convention 1980 EDF 5 • Lomé III Convention 1985 EDF 6 • Lomé IV Convention 1990 EDF 7 • Lomé IV-bis Convention 1995 EDF 8 • Cotonou Agreement 2000 EDF 9 • Cotonou Revision 1 2005 EDF 10 • Cotonou Revision 2 2010

  5. Cotonou Agreement

  6. Cotonou Agreement duration of 20 years, revision every 5 years • signed in Cotonou, Bénin • signatories: ACP 77 - EU 15 First revision carried out and decided upon 25/06/05 • EDF 9: 2 April 2003-31/12/2007, 15,2 bn€ • EDF 10: 2008-2013, 22.7 bn€ Second revision carried out and decided 19/03/2010 (introducing of climate change, stressing of decentralisation in actors, importance of trade relationship and economical partnership agreements etc.) • signatories: ACP 78 - EU 27

  7. Fundamental principles Cotonou Agreement • equality of the partners • participation by ACP State and non-state actors • central role of dialogue • differentiation and regionalisation

  8. Cotonou Agreement General Objectives • with a view to contribute to peace and security of the ACP States, • promote and expedite the economic, cultural and social development, • promote a stable and democratic political environment.

  9. Cotonou Agreement • Reducing and eventually eradicating poverty • Goal: approaching Millennium Development Goals (from the Millenium Declaration adopted by the UN General Assembly (2000)) • 9 Main Scope

  10. Cotonou Agreement 5 pillars of the Agreement • reinforcement of the political dimension • promotion of a participatory approach • concentration on poverty reduction • new framework for economic and trade cooperation • reform of financial cooperation

  11. Cycle of operations

  12. CSP/NIP EDF Ageement CSP/NIP RSP/RIP Indicative Allocation Project Identification Fiche Action Fiche Global Commitment Financing Agreement with Technical and Administrative Provisions Implementation modalities - Specific Commitments - Programme Estimates Works Supplies Services Grants Individual Financial Commitments Third Parties Audit Payment Advance Interim Final Payment recovery

  13. The Country Strategy Paper (CSP) Programming • Country Support Strategy prepared by ACP State and EU-del after consultations • National Indicative Programme based on the ACP State’s needs and performance defined in the CSP

  14. The Country Strategy Paper (CSP) Programming Country Support Strategy prepared by ACP State and EU-del after consultations analysis of: • the country’s political, economic and social context • medium-term development strategy of the country • plans and actions of other donors • EU specific contribution (member states)

  15. The Country Strategy Paper (CSP) Programming Country Support Strategy Prepared by ACP State and EU-del after consultations Instrument for guiding, managing and reviewing EC assistance programmes Intend s to provide a framework for EU assistance programmes based on • EU/EC objectives • the Partner Country government policy agenda, an analysis • of the partner country’s situation, and • the activities of other major partners

  16. The Country Strategy Paper (CSP) Programming Country Support Strategy will thus contribute to the better • planning of co-operation activities, • improved donor co-ordination/complementarity, and to • the overall coherence of external assistance policy with other EU policies

  17. The Country Strategy Paper (CSP) Programming National Indicative Programme based on the ACP State’s needs and performance defined in the CSP Drawn up by the ACP State, the NIP details the next European Development Funding. • Envelope A: macro-economic support, sectorial policies, programmes and project • Envelope B: unforeseen EC reviews indicative amounts based on the ACP State’s performance

  18. The Country Strategy Paper (CSP) National Indicative Programme • Envelope A: macro-economic support , sectorial policies, programmes and project • Budget support • Support of up to 2 focal sectors • Non focal sector support • Envelope B: unforeseen emergency assistance, debt relief, support in case of unstable export earnings

  19. Programming Last NIP of Sierra Leone (EDF10)

  20. The Country Strategy Paper (CSP) Evaluation of the implementation of the CSS • Annually, by NAO and HoD in a Joint Annual Report (JAR) • mid-term (2010) and end-of-term review of Country Support Strategy (2013) • review of CSS may lead to revision of resource allocation

  21. Financing Decision • Project identification Fiche NAO, IA, EC-Del • Action Fiche IA, NAO, EC-Del • The financial decision EU-com • The Financing Agreement EU-com, NAO

  22. Financing Decision Identification Project identification Fiche IA, NAO, EC-Del based, if possible, on a pre-feasibility study Roles • ACP State identifies projects and programmes • Submission by ACP State (NAO) (or by other eligible beneficiary) • HoD draws up an identification fiche • Agreement to formulate the project (the Action Fiche)

  23. Financing Decision Identification Project identification Fiche IA, NAO, EC-Del based, if possible, on a pre-feasibility study • Contains the objectives of the proposed programme and • Examines the coherence between the project / programme proposed and the objectives defined in the CSP/NIP, • Gives an indicative amount and time table • Indicates relevant experience to be taken into account, (lessons learnt)… • Determines the subsequent step • Is the first document analysed and commented by the Quality Support Group use of STANDARD MODEL is compulsory

  24. Financing Decision Appraisal Action FicheIA, NAO, EC-Del Roles • NAO prepares all information for appraisal in cooperation with the HoD • Joint appraisal of dossiers (ACP/EC) • Conclusions of the appraisal are summarised by the HoD in Action Fiche • Action Fiche transmitted to Decision Taking Body in Brussels

  25. Financing Decision Appraisal Action Fiche IA, NAO, EC-Del Based on a detailed feasibility study • Is the basis for the financing decision • Should contain the essential elements for the decision taking Annexes: • Logical framework • Summary of technical, operational and financial aspects use of STANDARD MODEL is compulsory

  26. Financing Decision Appraisal Action Fiche Outline • Identification 2.Rationale 2.1.Sector context 2.2.Lessons learnt 2.3.Complementary actions 2.4.Donor coordination 3.Description 3.1.Objectives 3.2.Expected results and main activities 3.3.Risks and assumptions 3.4.Crosscutting Issues 3.5.Stakeholders • 4.Implementation issues • 4.1.Method of implementation • 4.2.Procurement and grant award procedures [/programme estimates] • 4.3.Budget and calendar • 4.4.Performance monitoring • 4.5.Evaluation and audit • 4.6.Communicationand visibility

  27. Financing Decision Appraisal Action Fiche Outline • Identification 2.Rationale 2.1.Sector context 2.2.Lessons learnt 2.3.Complementary actions 2.4.Donor coordination 3.Description 3.1.Objectives 3.2.Expected results and main activities 3.3.Risks and assumptions 3.4.Crosscutting Issues 3.5.Stakeholders • 2 Rationale • 2.1 Sector context • Characteristics and policies of concerned sector or thematic area (at regional level, where appropriate) and main problemsthe project is intended to address. • 2.2 Lessons learnt • Reference to reviews, assessments, monitoring results (ROM) evaluations of previous action and, where possible, other assessments from other donors, relevant to this specific action. • 2.3 Complementary actions • Overview of ongoing EU actions, actions of other donors (Member States, International organisations and third countries) including funds from EU General Budget and /or European Development Fund (EDF)/ and/or of the beneficiary country complementary to the present one. (where possible, indicate amounts of present and past cooperation as known at the time of preparing the fiche). Assess complementarity and synergy of EU actions with others • 2.4 Donor coordination • Description of the coordination process with the beneficiary country and/or other donors, notably Member States, taking into account the Paris Declaration, the European Consensus on Development and EU Code of Conduct. (where possible, indicate amounts from other donors, in particular Member States). • 4.Implementation issues • 4.1.Method of implementation • 4.2.Procurement and grant award procedures [/programme estimates] • 4.3.Budget and calendar • 4.4.Performance monitoring • 4.5.Evaluation and audit • 4.6.Communicationand visibility

  28. Financing Decision Appraisal Action Fiche Outline • Identification 2.Rationale 2.1.Sector context 2.2.Lessons learnt 2.3.Complementary actions 2.4.Donor coordination 3.Description 3.1.Objectives 3.2.Expected results and main activities 3.3.Risks and assumptions 3.4.Crosscutting Issues 3.5.Stakeholders • 4.Implementation issues • 4.1.Method of implementation • 4.2.Procurement and grant award procedures [/programme estimates] • 4.3.Budget and calendar • 4.4.Performance monitoring • 4.5.Evaluation and audit • 4.6.Communicationand visibility • 3 Description • 3.1 Objectives • Overall objectives and purpose (specific objective) of the EU support. • 3.2 Expected results and main activities • Strategy selected to remedy identified problems the project is intended to address; description of expected results (note that some basic acts require that these results be based on qualitative and quantitative indicators) and indication of the way they will be achieved. • 3.3 Risks and assumptions • Identification of main risks and overview of mitigating measures, including conditions to be met prior to and during implementation; elements evidencing the sustainability of the proposed action. • 3.4 Crosscutting Issues • Climate change, environmental sustainability, gender equality, good governance and human rights. • 3.5 Stakeholders • Description of main stakeholders, including beneficiaries; consultation of civil society and other partners, where appropriate; ownership and assessment of institutional capacity.

  29. Financing Decision Appraisal Action Fiche Outline • Identification 2.Rationale 2.1.Sector context 2.2.Lessons learnt 2.3.Complementary actions 2.4.Donor coordination 3.Description 3.1.Objectives 3.2.Expected results and main activities 3.3.Risks and assumptions 3.4.Crosscutting Issues 3.5.Stakeholders • 4.Implementation issues • 4.1.Method of implementation • 4.2.Procurement and grant award procedures [/programme estimates] • 4.3.Budget and calendar • 4.4.Performance monitoring • 4.5.Evaluation and audit • 4.6.Communicationand visibility

  30. Financing Decision Financing The financial decision EU-com Decision of financing is taken on the basis of the Financing Proposal/Action fiche.

  31. Financing Decision Financing The Financing Agreement EU-com, NAO consists of three parts: • the Special Conditions; • Annex I the General Conditions; and • Annex II, the Technical and Administrative Provisions.

  32. Financing Decision The Financing Agreement The Special Conditions ARTICLE 1 - Nature and Purpose ff the Operation ARTICLE 2 - The EU's Financial Contribution ARTICLE 3 - The Beneficiary's Contribution ARTICLE 4 – Period of Execution ARTICLE 5 - Paying Agent ARTICLE 6 - Addresses ARTICLE 7 - Annexes ARTICLE 8 - Other Special Conditions Applying to the [Project/Programme] ARTICLE 9 – Entry into force of the Financing Agreement

  33. Financing Decision The Financing Agreement Annex I the General Conditions (1) Title I - Project/Programme Finanicing Article 1 – General Principle Article 2 - Cost Overruns and Covering them Title II - Implementation Article 3 – General Principle Article 4 - Period of Execution Titre III – Payments to be made by the Commission Article 5 – Deadline For Payments to be Made by the Commission Titre IV – Payments to be made by the beneficiary Through Programme Estimates Article 6 – General Principle Titre V – Award of Contracts and Grants Article 7 – General Principle Article 8 - Deadline For the Signature of the Contracts and Programme Estimates Implementing the Financing Agreement Article 9 - Eligibility Article 10 - Publication of Information Related to the beneficiaries of EU Funds

  34. Financing Decision The Financing Agreement Annex I the General Conditions (2) Title VI - Rules Applicable to the Performance of Contracts Article 11 - Establishment and Right of Residence Article 12 - Tax and Customs Provisions Article 13 - Foreign Exchange Arrangements Article 14 – Use of Data From Studies Article 15 - Allocations of Amounts Recovered Under Contracts Article 16 - Financial Claims Under Contracts Title VII - General and Final Provisions Article 17 – Visibility Article 18 – Prevention of Irregularities, Fraud and Corruption Article 19 - Verifications and Checks by the Commission, the European Anti-Fraud office (Olaf) and the European Court of Auditors Article 20 – Consultation between the Commission and the beneficiary Article 21 – Amendment of the Financing Agreement Article 22 – Suspension of the Financing Agreement Article 23 – Termination of the Financing Agreement Article 24 - Dispute-Settlement Arrangements

  35. Financing Decision The Financing Agreement EU-com, NAO Annex II, the Technical and Administrative Provisions (TAP). • detailed planning of objectives, tasks, actions • detailed implementation procedures • annexes: • logical framework • detailed budget • indicative timetable

  36. Financing Decision The Financing Agreement EU-com, NAO ‘date + 3 years’ rule. The contracts are to be concludedwithin 3 years after the adoption of the global financial commitment: • Imperative for decentralised management. • derogation possible for exceptional cases if duly justified by the HoD before finalisation of the implementation period of the financial agreement Exceptions: • audit and evaluation contracts • contracts within other contracts and • contracts from the direct labour component of programme estimates • contingencies (only for addenda to existing contracts)

  37. Financing Decision The Financing Agreement EU-com, NAO Period of execution. • starting date: the date of the last signature. • finaldate: stated in special conditions • operational implementation phase from starting date until latest 24 month before final date for execution. • closure phase after operational implementation, max 24 months. • Only costs related to audits, evaluations and technical and financial closure activities eligible

  38. Financing Decision The Financing Agreement EU-com, NAO Modification of a Financing Agreement. • Internal readjustment of budgets up to 10% Prior information of HoD • Use of 10% of contingencies If no internal budget adjustments are possibleandprior approval of HoD • Modifications of FA through rider (addendum) onlypossible by decision of the EC

  39. End of Operational implementation End of Commitment period Signature by ECom Signature by NAO End of period of execution Financing Agreement Max 24 months Max 3 years Max 12 months Date N N + 3 years Financing Decision

  40. Financing Decision The Financing Agreement

  41. Implementation modalities Implementation Kind of Management is an essential element of the financing decision reflected in the corresponding financing decision . • Centralised • Indirect decentralised • Pulbic Indirect decentralised • Ptivate Indirect decentralised • Decentralised Ex-Ante • Decentralised Ex-post • Joint management • Shared management

  42. Implementation modalities Implementation Kind of Management Centralised The European Commission is the Contracting Authority and takes decisions for the beneficiary country. Examples: • audit & evaluation contracts • budget support (Budget EC Brussels) • humanitarian aid and emergency assistance managed by ECHO • some projects with non-state actors

  43. Implementation modalities Kind of Management Centralised With EDF fund, only 3 cases • If foreseen in Financing agreement signed with ACP State; • On request of ACP may the Commission States conclude and implement service contracts directly on their behalf (COT-IV-23.6); • audit, evaluation and framework contracts are always concluded by the Commission (GR’02-9)

  44. Implementation modalities Kind of Management Indirect decentralised The Contracting Authority will be the entity to which the Commission will delegate its prerogatives Public indirect decentralised management To bodies governed by public bodies governed by private law with a public-service mission the State. Private indirect decentralised operations To bodies governed by private law, that are legally distinct from the ACP State or States concerned.

  45. Implementation modalities Kind of Management Decentralised Ex-post Decisions foreseen in the Financing Agreement are taken by the Contracting Authority without prior reference to the European Commission (apart from exceptions to the standard procedures given in the Practical Guide). Decentralised Ex-Ante Decisions concerning the procurement and award of contracts are taken by the Contracting Authority and referred for approval to the European Commission.

  46. Implementation modalities Kind of Management Joint management Certain implementation tasks are delegated to international organisations. Shared management Implementation tasks are delegated to Member States

  47. Implementation modalities Kind of Management Joint management Certain implementation tasks are delegated to international organisations. Shared management Implementation tasks are delegated to Member States

  48. Implementation modalities Kind of Management Decentralised Ex-Ante Actors and risponsabilities HoD,(Authorising Officer by subdelegation NAO Prepares tender dossiers and calls for proposal Approves tender dossiers and calls for proposals Launches tender dossiers and calls for proposal Receives tenders and proposals Observes in evaluation committees Presides opening sessions and evaluation committees Approves proposal for awarding Awards and signs contracts and Programme Estimates Endorses contracts and PEs Clears and authorises expenditure Validates and authorises payments

  49. Implementation modalitiesKind of Management Decentralised Ex-Ante Delegation level for decisions • Specific commitment • Imprest commitment

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