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  2. MAIN TOPICS PROCUREMENT • Legal Framework • Critical issues for a smooth tendering of a project • Calendar for 2009&2010 National Programme FINANCE • Why do we supervise? • Upcoming Revisions in PMG and Check Lists: • Approval of the Invoices including properly filled Checklist • Incidental Expenditure Check • Certificate of Origins MONITORING • Progress and Monitoring Reports (PMR) and its relation with the flow of funds • Provisional and Final Acceptances • Timesheets • Irregularity/Zero Irregularity Reporting CFCU - 22nd November 2011

  3. WHY WE ARE DOING THESE?WHAT IS THE LEGAL FRAMEWORK? 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. CFCU - 22nd November 2011

  4. WHY WE ARE DOING THESE?WHAT IS THE LEGAL FRAMEWORK? C. Template for Self-Assessment Sheets D. PAO Analytical Report of SPO Self Assessment and Follow-Up on-the-spot Assessment by PAO services under Article 11.3. and as input to Article 27 Statement of Assurance by NAO. • In accordance with Article 25(5), the national authorising officer shall make anannual management declaration, which shall take the form of a statement ofassurance to be presented to the Commission by 28 February each year. He shallforward 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 actualsupervision of the management and control systems throughout the financial year. CFCU - 22nd November 2011

  5. WHY WE ARE DOING THESE?WHAT IS THE LEGAL FRAMEWORK? 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 withinline 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 inthe beneficiary country’s project proposal. CFCU - 22nd November 2011

  6. Why do we supervise? Operational Agreement PAO – SPO (OA), Article 4: The PAO is accountable to the NAO not only for the direct work of the CFCU but also for all the work of the SPO 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 Ministry operate. CFCU - 22nd November 2011

  7. PIM - Programme Implementation Manual “Program Uygulama El Kitabı” POG - Programme Operational Guide “Program Yürütme Rehberi” SPO Webpage Previous Presentations: PROGRAMME MANAGEMENT GUIDELINES CFCU - 22nd November 2011

  8. DIS/IPAActors • 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 - 22nd November 2011

  9. DIS/IPAActorsPRIME MINISTRY’S IPA CIRCULAR NO. 2011/15 Yetkili Akreditasyon Görevlisi (CAO): Yetkili Akreditasyon Görevlisi, Hazine Müsteşarlığından sorumlu Bakandır. Yetkili Akreditasyon Görevlisinin sekretarya hizmetleri Hazine Müsteşarlığı tarafından yürütülür. Ulusal Katılım Öncesi Yardım Koordinatörü (NIPAC): Katılım Öncesi Yardımın genel koordinasyonunu sağlamak üzere Ulusal Katılım Öncesi Yardım Koordinatörü olarak Avrupa Birliği Bakanlığı Müsteşarı görevlendirilmiştir. Ulusal Katılım Öncesi Yardım Koordinatörünün sekretarya hizmetleri Avrupa Birliği Bakanlığı tarafından yürütülür. CFCU - 22nd November 2011

  10. DIS/IPAActorsPRIME MINISTRY’S IPA CIRCULAR NO. 2011/15 Ulusal Yetkilendirme Görevlisi (NAO): Ulusal Yetkilendirme Görevlisi olarak Hazine Müsteşarı görevlendirilmiştir. Avrupa Birliğinden sağlanacak fonların mali yönetimi, işlemlerin mevzuata uygunluğu ile yönetim ve kontrol sistemlerinin etkin işlemesinden sorumludur. Ulusal Fon: Hazine Müsteşarlığı bünyesinde bulunan Ulusal Fon, Ulusal Yetkilendirme Görevlisinin sorumluluğu altında, Katılım Öncesi Yardım Aracı çerçevesinde sağlanacak yardımların mali yönetimi ile görevlidir. CFCU - 22nd November 2011

  11. DIS/IPAActorsPRIME MINISTRY’S IPA CIRCULAR NO. 2011/15 Ulusal Yetkilendirme Görevlisi Destek Dairesi: Hazine Müsteşarlığı bünyesinde bulunan UYG Destek Dairesi, Ulusal Yetkilendirme Görevlisinin sorumluluğu altında Katılım Öncesi Yardım Aracı çerçevesinde oluşturulan sistemin izlenmesi ile görevlidir. CFCU - 22nd November 2011

  12. DIS/IPAActorsPRIME MINISTRY’S IPA CIRCULAR NO. 2011/15 Kıdemli Program Görevlisi (SPO): Katılım Öncesi Yardım Aracının 1. Bileşeniyle ilgili olarak Program Yetkilendirme Görevlisinin genel sorumluluğu altında, projelerin teknik uygulamasından sorumlu olan yararlanıcı kuruluşlarda görevli personeldir. SPO, proje hakkında yeterli bilgiye ve icra yetkisine sahip, uygun düzeyde yöneticiler arasından belirlenir. CFCU - 22nd November 2011

  13. CRITICAL ISSUES FOR A SMOOTH TENDERING OF A PROJECT (1) Under the overall responsibility of the PAO, SPO shall perform the following tasks: • Timely preparation of tender documents • Submission of high quality tender documents • Be aware of the time restraint due to the scheduled procedure in PRAG • Constitution of a Project Coordination Unit composed of the technical staff in charge with the projects CFCU - 22nd November 2011

  14. CRITICAL ISSUES FOR A SMOOTH TENDERING OF A PROJECT (2) Availability of the relevant staff from Beneficiary during the «tendering» period Proposing appropriate voting members in Evaluation Committees and in Shortlist Panels (with properly filled checklist by the SPO) No hierarchical link among the Evaluation Committee members with declaration of the SPO Responsibility of the Evaluation Committee to attend the tender evaluation (no assignment at home or abroad) CFCU - 22nd November 2011

  15. CRITICAL ISSUES FOR A SMOOTH TENDERING OF A PROJECT (3) Preparation of an updated Technical Specifications and Market Survey in order to avoid any inconveniences during the tendering In need of “external expertise” in preparing the technical documents,“Project Preparation Facility-PPF” is available under the “Strengthening European Integration Process- SEI”Programme for such needs Communicate with the Ministry of EU Affairs, leading beneficiary organization of the SEI CFCU - 22nd November 2011

  16. 3 months 6 months Time Schedule for Service Tenders Procedures last about8-9months Contract Signature Contract Award TenderLaunch 50 days Receiving Initial Tender Documents Procurement Notice 30 days Tender Evaluation Forecast 30 days Short listing CFCU - 22nd November 2011

  17. 3 months 6 months Time Schedule for Supply Tenders Procedures last about5-6months Contract Signature Contract Award Tender Launch 60 days Receiving Initial Tender Documents Forecast 30 days Tender Evaluation CFCU - 22nd November 2011

  18. Informationfor «Clarification» Period of Tenders Deadline for request for any clarifications from the Contracting Authority: 21 days before deadline for tenders Last date on which clarifications are issued by the Contracting Authority: 11 days before deadline for tenders Postponement of tender in delays of the publication/receiving of Clarifications CFCU - 22nd November 2011

  19. CALENDAR FOR 2009&2010 NATIONAL PROGRAMMES Deadlines for 2009 IPA-I Projects Deadlines for 2010 IPA-I Projects CFCU - 22nd November 2011

  20. Financial Management:Why do we Supervise? (1) Operational Agreement, Article 6, Responsibilities of the SPOs: • Technical implementation of EU funded projects except the projects of Grant Beneficiaries: • Approval of the reports of contractors (“read and approved”) • Ensuring that the provisional and final acceptances are properly made (“read and approved”), • Approval of experts’ timesheets (“read and approved”), • Approval of technical documents and payments requests/invoices prior to financial check and payment by CFCU (“read and approved”). CFCU - 22nd November 2011

  21. Financial Management:Why do we Supervise? (2) Operational Agreement, Article 13, Payments: Payments shall be made by the CFCU to the contractors in accordance with the EC procedures after technical verification by the SPO • of the technical documents and, • payment requests/invoices prior to financial check and payment by CFCU according to contractual provisions. CFCU - 22nd November 2011

  22. Upcoming Revisions in PMG and Check Lists (1) Program Management Guidelines (PMG) for the SPOs will be improved in order to clarify the provisional and final acceptances in accordance with the written procedures Serial numbers of the goods will be listed and annexed to the «Muayene ve Kabul Tutanağı» «Muayene Kabul Tutanağı»will be formed in dual language (EN/TR) CFCU - 22nd November 2011

  23. Upcoming Revisions in PMG and Check Lists (2) Check points will be added to the SPO checklists regarding the “second hand equipment” For service and framework contracts, timesheets and list of incidental expenditureswill be sent to SPOs for Read and Approved For supply and works contracts, the copy of the “Certificate of Origin”documents will be sent to SPOs for Read and Approved CFCU - 22nd November 2011

  24. Focus on «Eligiblity» Matters • Check lists should be properly filled; • Partly filled SPO checklists puts the eligibility of the items into question in the eyes of auditors • The SPOs are requested to check the Certificates of Origin and cross-check the information in the certificates against the physical supplies • “Read and Approved” stamped copies of the invoices should be signed by the SPO and a second person authorised (dual signature) • If requested, extra guidance will be provided by the Finance Department of the CFCU on filling of checklists CFCU - 22nd November 2011

  25. Payment with SPO «Read and Approved» All the payments necessitate SPO «Read and Approved»: CFCU has 45-day contractual period after receiving a request for payment/invoice to realize payment to contractor. CFCU allocates 15 days of this period to the SPO while keeping one month for its own internal verifications. In exceptional situations, if read and approved received before the 45th day, payment is made under normal circumstances. If no feedback received not later than 44th day, in order to prevent interest requests of the contractors, payment is made with a reminder to the SPO. CFCU - 22nd November 2011

  26. Other Obligations of the SPOs (1) Operational Agreement, Article 9, Co-Financing Requirements: Where co-financing is foreseen for any project, the SPO shall be responsible for ensuring the commitment of the National Contribution from the appropriate Ministry or Government Body CFCU - 22nd November 2011

  27. Other Obligations of the SPOs (2) Operational Agreement, Article 10, Transfer of Funds: • To enable the CFCU to formally request funds from the National Fund the SPO shall fill the Progress and Monitoring Reports (PMR) • PMRsare on a quarterly basis through electronic media developed by the CFCU • PMRs should be finalised no later than the 5th working day of the following month of each quarterly period (i.e. the PMRs for 1st Quarter 2011 - January-February-March 2011- to be filled till 5 April 2011), as stipulated in Article 16, paragraph 2. CFCU - 22nd November 2011


  29. New PMRs via Electronic Media (1) • No hardcopies/signatures • Preparation / circulation via electronic media. CFCU - 22nd November 2011

  30. New PMRs via Electronic Media (2) • This allows you to reach the system at any time and prepare the PMRs from anywhere CFCU - 22nd November 2011

  31. Workflow in PMR CFCU - 22nd November 2011

  32. SPOs Approves MEU Approves CFCU Approves & Visible to All Parties NF EUD MEU SPOs Workflow in PMR CFCU - 22nd November 2011

  33. Importance of PMRs PMRs are attached to the «Request for Funds» from the EU Commission If any PMR of any Project is missing/low quality The risk of suspension of Funds CFCU - 22nd November 2011

  34. Frequently Made Mistakes (1) • User Name and Password – “Forget Password” • Delete/Record same users more than once • Replacement of Personnel • “SPO” and “SPO Admin” CFCU • “SPO Prepare”, “SPO Prepare and Approve” and “Read Only” SPO Admin CFCU - 22nd November 2011

  35. Frequently Made Mistakes (1-a)Forget Password CFCU - 22nd November 2011

  36. Frequently Made Mistakes (1-b)Record Users CFCU - 22nd November 2011

  37. Frequently Made Mistakes (1-b)Record Users CFCU - 22nd November 2011

  38. Frequently Made Mistakes (1-b)Assign Users CFCU - 22nd November 2011

  39. Frequently Made Mistakes (2) • Display of Buttons (Save-Close-Preview-Approve) • Who is in the queue can view Save-Approve button. • Everyone can view Close-Preview buttons in every stage • Trying to revise PMR after approval (but not possible) CFCU - 22nd November 2011

  40. SPO PREPARE and APPROVE (SPO P&A) Frequently Made Mistakes (2-a) Display of Buttons SPO PREPARE SPO (after SPO P&A Approval) CFCU - 22nd November 2011

  41. Frequently Made Mistakes (3) Using of the filters – Selecting the right PMR year and Quarter CFCU - 22nd November 2011

  42. Frequently Made Mistakes (4) Confusing User Roles (SPO, SPO Prepare and Approve, SPO Prepare, SPO Read Only) PMR web address  not http; https Screen resolution - PMR system works with best resolution 1280X768 CFCU - 22nd November 2011

  43. SUPPLYProvisional Acceptance Special Conditions, Art.13 • Delivery, installation, putting into operation, inspection and testing must be completed (see Annex II, Article 1.4). • Inspection and testing shall be completed after the supplies have been physically delivered, installed and put into operation. Inspection and testing will be completed before training starts. • Training shall be organised after the inspection and testing are completed (see Annex II, Article 1.3). • Provisional acceptance shall take place after the request of the contractor within the period stipulated in the Contract following completion of delivery, installation, putting into operation, inspection, testing and training. CFCU - 22nd November 2011

  44. SUPPLYProvisional Acceptance Special Conditions, Art.31) The Contractor informsthe CFCU in writing on being ready for the provisional acceptance. CFCU writes a letter to the Beneficiary including the template documents with some guidance for starting the provisional acceptance study. The Beneficiary performs the study and signs Provisional Acceptance Certificate and «Muayene Kabul Tutanağı» together with the Contractor and sends the documents to the CFCU / Rejects the provisional acceptance study and inform the CFCU in writing. CFCU - 22nd November 2011

  45. SUPPLYProvisional Acceptance Special Conditions, Art.31 After receiving these documents, CFCU realizes a «Monitoring Visit» to delivery place(s) in order to identify the correctness of the information provided in the Provisional Acceptance Certificate without prejudice to the technical responsibility of SPO (availability of the supplies in delivery place, brand and model name of the products, serial numbers, origin of the supplies, visibility rules etc.) CFCUendorses the Provisional Acceptance Certificate, if there is no inconformity with the Contract. Warranty Period (Art. 32) starts on the date of signature of the Provisional Acceptance Certificate by the PAO. CFCU - 22nd November 2011

  46. SUPPLYProvisional Acceptance Committee Committee should be composed of minimum 3 people Committee members should be assigned carefully by choosing «qualified people» in technical and language aspects Moreover, the Committee members are required to behave objectively and should check the compliance of the goods with the specifications of the contract not with their individual expectations CFCU - 22nd November 2011

  47. SUPPLY«Technical Documents» to be provided during the Provisional Acceptance Period The equipment shall have all necessary documents as specified in Art. 1.5 of Technical Specfications such as; Operating and maintenance manuals Drawings Material certificates Conformity certificates Test certificates Certificates of Origin (to the CFCU) Planning, packing lists Others specified CFCU - 22nd November 2011

  48. SUPPLY«Obligatory documents» for the provisional acceptance to the CFCU to the Beneficiary Original certificate of origin by Chamber of Commerce (for all equipment) Warranty documents of the manufacturers and/or the suppliers (for all equipment) (see Art.32 of Special Conditions) Others CFCU - 22nd November 2011