1. SELF ASSESSMENT SHEET (SAS) BRIEFING 21 st May 2009

2. CFCU-SAS Briefing-2009 2 TOPICS I. Brief information on previous action “ 1 st SPOs Round Table Meeting ” II. Focus on SAS III. Workload Analysis (for years 2009, 2010, 2011) IV. To submit of the SAS V. Next step

3. CFCU-SAS Briefing-2009 3 Brief information on previous action named as “1 st 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. I

4. CFCU-SAS Briefing-2009 4  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. Brief information on previous action named as “1 st SPOs Round Table Meeting Senior Programme Officers shall; I

5. CFCU-SAS Briefing-2009 5 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. Brief information on previous action named as “1 st SPOs Round Table Meeting Overall Responsibility? I

6. CFCU-SAS Briefing-2009 6  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 Brief information on previous action named as “1 st SPOs Round Table Meeting These fundamental principles lead CFCU/PAO to; I

7. CFCU-SAS Briefing-2009 7  Formal requirements to be acknowledged  Minimum requirements for the staffing of the SPO offices  Minimum criteria for the internal organization of the SPO offices Focus on SAS http://www.cfcu.gov.tr/spo.php?lng=en http://www.cfcu.gov.tr/spo.php?lng=enI

8. CFCU-SAS Briefing-2009 8 Focus on SAS http://www.cfcu.gov.tr/spo.php?lng=en http://www.cfcu.gov.tr/spo.php?lng=en II CRITERIONSTATEMENTEXPLANATIONS 1Formal Requirements to be AcknowledgedYESNO aSPO, as the head of the SPO Office/Project Team is clearly designated and is responsible for the tasks assigned to this staff Refer to 4.2, in PIM and the PAO’s designation, or otherwise respective article of the Implementing Regulation bSPO/Office staff has full legal authority to fulfill their functions Refer to legal provisions, internal designations SPO has his own financial sources pursuant to the Law No.5018 Refer to legal status cDeclaration of Assurance signed as attached with the Operational Agreement Refer to 4.2.1 in PIM and the correspondences with the CFCU d“Programme Management Guidelines” received and disseminated to all staff Refer to link, http://www.cfcu.gov.tr/spo.php and internal correspondences of information noteshttp://www.cfcu.gov.tr/spo.php e“Guideline for Preparation of the Market Research Study” received and disseminated to all staff Refer to link http://www.cfcu.gov.tr/SPOs/TOOLs/market_re search.pdf and internal correspondences of information notes http://www.cfcu.gov.tr/SPOs/TOOLs/market_re search.pdf

9. CFCU-SAS Briefing-2009 9 Focus on SAS Minimum Requirements for the Staffing of the SPO Offices II aAll the assigned staff has proficiency in EnglishEnclose the CVs and language certificates bAll the assigned staff has the required skills/expertise on the projects assigned to Enclose the CVs in the form of link http://ec.europa.eu/europeaid/work/procedures/implementation/ services/documents/b8_annexivexperts_en.doc http://ec.europa.eu/europeaid/work/procedures/implementation/ services/documents/b8_annexivexperts_en.doc cAll the assigned staff has no other assignmentPlease mention, if any, permanent of temporary dAll the assigned staff has familiar with the PCM, PRAG rules and DIS system in Turkey Please refer to the training programmes that the staff participated. Also, mention that which staff involved to which project(s)’ preparation/implementation, if any eDetailed job descriptions for each post in management of projects/programmes Enclose the job descriptions on the basis of section 4,5,6,7 in PIM fAll the assigned staff has enough number of PCs/laptops with the passwords in their official usage Refer to the number of the PCs/laptops gAll the assigned staff has their own official e- mail addresses (…gov.tr) List the e-mail addresses hEnough staff allocated to the projects/programmes Refer to their internal designation, permanent or temporary status and also check the necessary number of staff through workload analysis.

10. CFCU-SAS Briefing-2009 10 Focus on SAS Minimum Criteria for the Internal Organization of the SPO Offices II aSPO Office is situated in any type of organization in the Turkish Administration (General Directorate, individual department etc.) Mention type of organization bSPO carries out his responsibilities by means of an SPO Office or an ad hoc “Project Team” under the main organization Mention type of organization cA sound organigram of the organization is available in a kind of flow chart with illustration of all hierarchical links Enclose the organigram or flowcharts dAn appropriate document “retention policy” (archiving procedures) is available (at least seven years, Implementing Regulation, Article 80) Refer to 5.7 in PIM and related provisions of the line ministry eAn appropriate IT system including data management and security is functioning Explain the current situation of the IT system

11. CFCU-SAS Briefing-2009 11 Focus on SAS Minimum Criteria for the Internal Organization of the SPO Offices II fSPO is provided with some independent reviews of the functioning of his systems at subordinate levels (Internal Control) Refer to the Internal Control function, if any gSPO provides the identification of “sensitive post” and the minimizing risk actions in place as regards of sensitive posts Refer to section 6 in particular 6.5, the Sensitive Post, forms on assessment of the staff hSPO ensures “double check” of all steps in a transaction e.g. preparation of technical specifications and terms of references, nomination of the Evaluation Committee voting members, approval of timesheets, invoices (“read and approved”) Illustrate the check points in all aspect of workflows ıSPO ensures that where different tasks in the life of the same transaction are allocated to different staff to ensure some automatic cross-checking controls Refer to section 4 and 6 for division of labour among the staff if possible formal division may be in use iAs the Irregularity Officer, SPO delegates this function to ensure that the procedures relating to “reporting irregularities” are properly managed Refer to contact details of the delegated officer and section 7 in PIM for responsibility of delegated officer

12. CFCU-SAS Briefing-2009 12 Workload Analysis (for years 2009, 2010, 2011) III Workload Analysis (for years 2009, 2010, 2011) STEP 1  Projects within NP (2005, 2006, 2007, 2008 and 2009) STEP 2  Hours needed for each type of project (fwc, service, supply, works, twinning & grants)  Daily activities of your ministry STEP 3  Available man days for assigned staff STEP 4  Calculation of necessary workload

13. CFCU-SAS Briefing-2009 13 Workload Analysis STEP 1- Projects within NP Number of projects for each NP 20052006200720082009 Works Service Supply Grant Direct Grant Twinning Twinning - Light FWC SEI-Service SEI-FWC Expected execution for each category 200920102011 Works Service Supply Grant Direct Grant Twinning Twinning - Light FWC SEI-Service SEI-FWC III

14. CFCU-SAS Briefing-2009 14 Workload Analysis STEP 2 - HRS. NEED FOR EACH TYPE OF PROJECTS Necessary actions in hrs. for each category during tendering, contracting  Programming  Preparation of ToR  Preparation of TS  Evaluation Committee  Preperation of Monitoring Reports  Sub/Shadow Monitoring Committee  Steering Committe Meetings  Progress Reports  Approval of reports and invoices  Provisional Acceptance  Final Acceptance Daily Activities in Ministry  Missions  Correspondences  Stakeholders  Shareholders  Others III

15. CFCU-SAS Briefing-2009 15 Workload Analysis STEP 1 & STEP 2  Affiliate Step 1 and Step 2  It can be changed from institution/ministry to instition/ministry III

16. CFCU-SAS Briefing-2009 16 200920102011 Name of theActivities for contract Hrs.HrsHrs. contract/projectand projects TR 502.**/SRV/001 Progress Reports ● Approval of Reports & Invoices ● TR 601.**/S/002 Provisional Acceptance ● Final Acceptance ● EuropeAid/.... Preparation of ToR ● Preparation of TS ● Evaluation Committee ● Sub/Shadow Monitoring ● Steering Committee ● Progress Reports ● EuropeAid/.... Preparation of ToR ● Preparation of TS ● Evaluation Committee ● Sub/Shadow Monitoring ● Steering Committee ● Progress Reports ● 2009 NP 2010 NPProgramming ● ● DAILY ACTIVITIES IN MINISTRY ● ● ● TOTAL HRS. NEED (Future Need Hourly) ● FILLED BY THE BENEFICIARY FUTURE NEED ANALYSIS

17. CFCU-SAS Briefing-2009 17 Workload Analysis STEP 3 - Available man days for assigned staff 2009 WorkingAnnualSickMilitaryPregnancyUsual WorkAvailable HoursLeave Service in MinistryDays Name2016120 or 176801080 Mr. X....................... 2010 WorkingAnnualSickMilitaryPregnancyUsual WorkAvailable HoursLeave Service in MinistryDays Name2000120 or 176801080 Mr. X 2011 WorkingAnnualSickMilitaryPregnancyUsual WorkAvailable HoursLeave Service in MinistryDays Name2032120 or 176801080 Mr. X III

18. CFCU-SAS Briefing-2009 18 Workload Analysis STEP 4 – Necessary Workload Total Future Need/HourlyAvailable HR/hourlyGaps 200920102011200920102011200920102011 Staff ABC Needed Human Resources A, B, C = Future Need - Avaliable Human Resources If A, B, C is positive then, Needed Human Resources= A, B, C / Average Available Man days III

19. CFCU-SAS Briefing-2009 19 Workload Analysis  Affiliate these 4 steps in one excel sheet enclosed to SAS  If necessary please give an explanation for workload analysis III

20. CFCU-SAS Briefing-2009 20 To submit of the SAS IVIV  Fill the SAS up properly,  Attach to all the additional documents stated in the sheet,  Prepare all the document as a folder,  Attach the official letter of SPO in front,  Submit to the CFCU by the end of 29 th May 2009

21. CFCU-SAS Briefing-2009 21 1. Self assessment sheet -Collect all the SASs from SPO Offices -Analysis of the coming data and documents -Prepared a report -Attached the CFCU side visits/spot checks plan 2.Presented the outputs to PAO approval 3. Reporting to the NAO (NAO to inform the EC accordingly) NEXT STEP IV

22. CFCU-SAS Briefing-2009 22 Thanks for your attention