1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING April

CFCU-1st SPOs Round Table Meeting TOPICS I. Brief information of the structure of the CFCU II. General Overview to IPA III. SPOs in IPA programmes IV. Brief info on the 2007 FA V. IPA Programming and Project Implementation Cycle VI. Role of the Senior Programme Officer and the Project Team VII. Written Source and References

CFCU-1st SPOs Round Table Meeting STRUCTURE OF THE CFCU PAO – CFCU DIRECTOR SENIOR CONTRACT MANAGER TENDERING / CONTRACTING SECTION CONTRACT / PROJECT MANAGEMENT SECTION GRANT SECTION TWINNING SECTION SENIOR FINANCE MANAGER REGISTRATION AND OWN PREV. FINANCIAL CONT. FINANCIAL REPORTING & iPERSEUS ACCOUNTING PAYMENT AUTHORIZATION PAYMENT EXECUTION PAYMENT CONTROL ADMINISTRATIVE ASSISTANT ADVISOR TO PAO QUALITY ASSURANCE AND CONTROL DEPARTMENT INTERNAL AUDIT HUMAN RESOURCE AND ADMIN. AFFAIRS DEPT.

CFCU-1st SPOs Round Table Meeting 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 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 ( )  Comp IV: CFCU ( )  Audit Authority: Board of Treasury Controllers

CFCU-1st SPOs Round Table Meeting 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

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

CFCU-1st SPOs Round Table Meeting IPA FUNDS ALLOCATED (2007) BUDGET (MEUR) CONTRACTING AUTHORITY OPERATING STRUCTURE Component I - TAIB252,2CFCU Collection of Bodies (CFCU, SPOs etc.) Component II - CBC6,6 CFCU/MANAGING AUTHORITY- BULGARIA Collection of Bodies (CFCU, SPOs etc.) Component III - REGIO167,5 CFCU (in the transition period) Ministry of Environment and Forestry Ministry of Transport Ministry of Industry and Trade Component IV - HR50,2 CFCU (in the transition period) Ministry of Labour and Social Security Component V - AGRI20,7Ministry of Agriculture and Rural Affairs

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

CFCU-1st SPOs Round Table Meeting THE 1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING 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 IPA Programming and Project Implementation Cycle-1 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 These rules apply for all projects.

CFCU-1st SPOs Round Table Meeting THE 1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING IPA Programming and Project Implementation Cycle-2 Accession Partnership (AP) 9 th Development Plan Negotiation Framework Annual Enlargement Strategy Regular Report and Negotiations Programming Phase -Commission Services - NIPAC - Line Ministries and Agencies Working Document (Programme Document 1) Quarter 4 in Year N-1 Commission Decision Marking the budgetary commitment Quarter 3 in Year N Financing Agreement Country’s agreement with the Commission Qr. 3-4 in Year N Financing Agreement National Fund delegation agreement with Implementing Agency Quarter 1 in Year N+1 Implementation – Tenders, Contracts and Management Derived directly from Project fiches Years N+1 and N+2 Monitoring and Assessment Reports On clusters of Financing Agreement in years N+2 and N+3 Expiry and closing Audit of Financing Agreement After N+3 generally Ex-post Evaluation of Financing Agreement N+3 and beyond Implementation Phase -Commission Services -CFCU -Line Ministries and Agencies

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

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

CFCU-1st SPOs Round Table Meeting THE 1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING 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. IPA Programming and Project Implementation Cycle-5

CFCU-1st SPOs Round Table Meeting THE 1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING 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 IPA Programming and Project Implementation Cycle-6

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

CFCU-1st SPOs Round Table Meeting THE 1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING Role of the Senior Programme Officer and the Project Team

CFCU-1st SPOs Round Table Meeting THE 1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING 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 Role of the SPO and the Project Team-1

CFCU-1st SPOs Round Table Meeting THE 1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING Types of Institution Building Projects Technical Assistance (TA) Standard Twining Role of the SPO and the Project Team-3

CFCU-1st SPOs Round Table Meeting THE 1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING  Management  Monitoring  Assistance to Evaluation  Supervise to Record Keeping Role of the SPO and the Project Team-4

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

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

CFCU-1st SPOs Round Table Meeting THE 1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING 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 Role of the SPO and the Project Team-7

CFCU-1st SPOs Round Table Meeting THE 1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING 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” Role of the SPO and the Project Team-8

CFCU-1st SPOs Round Table Meeting THE 1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING The SPO, as the Irregularity Officer : Role of the SPO and the Project Team-9 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 ReactionReportingReactionReporting

CFCU-1st SPOs Round Table Meeting THE 1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING Role of the SPO and the Project Team-10 Human Resources Requirements Ethics Policy 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.

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

CFCU-1st SPOs Round Table Meeting THE 1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING Programme Management Guidelines Part 1-Programme Implementation Manual (PIM) Part 2-Project Operational Guide (POG) Written Source and References- 1

CFCU-1st SPOs Round Table Meeting

CFCU-1st SPOs Round Table Meeting THE 1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING Part 1-Programme Implementation Manual (PIM) Annexes 1.Operational Agreement CFCU/SPO 2.Memorandum of Understanding (MoU) on the Establishment of the CFCU Framework Agreement Written Source and References-5

CFCU-1st SPOs Round Table Meeting THE 1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING 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: Written Source and References-6

CFCU-1st SPOs Round Table Meeting THE 1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING Part 1-Programme Implementation Manual (PIM) Annexes  Guide to Framework Contracts (FWC)  Publicity and Visibility  Sensitive Post Policy Paper Written Source and References-7

CFCU-1st SPOs Round Table Meeting THE 1 st SENIOR PROGRAMME OFFICERS PERIODICAL ROUND TABLE MEETING NEXT 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 plan by the CFCU 3.Reporting to the NAO (NAO to inform the EC accordingly).

CFCU-1st SPOs Round Table Meeting Financing Agreement 2007 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

CFCU-1st SPOs Round Table Meeting Financing Agreement 2007 of IPA-I Signed between the Turkish Government and the EC o Head of the ECD ( ) o NIPAC ( ) Entry into force on the date of signature by the second of the two parties:

CFCU-1st SPOs Round Table Meeting Framework Agreement for IPA  Signed between the Turkish Government and the EC  Ratified by the TBMM on  Sets out the general rules for cooperation and implementation of the Community assistance under the IPA

CFCU-1st SPOs Round Table Meeting Max. Community amount (€) Budget line: EUTRTOTAL GENERAL , COMMUNITY PROGRAMMES (-) CFCU

CFCU-1st SPOs Round Table Meeting THE DEADLINES Contracting2 years from the date of conclusion of this Agreement Executiona maximum of 2 years from the end date of contracting. Disbursement1 year after the final date for the execution of contracts.

CFCU-1st SPOs Round Table Meeting Deadlines in detail DocumentsDeadlinesExplanations Contracting Deadline , Friday- Evaluation Reports , Friday 2.5 months before contracting deadline Contract files , Friday 1 month before contracting deadline Grant Technical Ev. Rep. (Step-III) , Friday 4.5 months before contracting deadline Grant Ver. of Eligibility Rep. (Step-IV) , Friday 2 months before contracting deadline

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