Preparation of IPA II Action Documents
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Preparation of IPA II Action Documents

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Preparation of IPA II Action Documents Preparation of IPA II Action Documents Presentation Transcript

  • Project funded by The European Union Government of the Republic of Serbia European Integration Office All presentations are available on the PPF5 website: www.ppf5.rs
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office  to explain the core content of IPA II Action Document  to participate in and contribute to the process of preparation of IPA II Action Documents
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office  Candidate countries and potential candidate countries are “Beneficiary countries” which have access to assistance in all five “policy areas” (formerly “components”);  Sector approach: almost complete shift from project- based assistance to co-financing of agreed country sector strategies;  Flexibility to re-allocate funds between policy areas and/or countries;  Opportunity for broader usage of innovative financial instruments. e.g. sector budget support;  And*...
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office IPA II Regulation / Rules of Application Enlargement Package (EU Enlargement Strategy, EC Progress Report /SAA/ European Partnership) Country /Multi-Country Strategy Paper National Sector Programme or (IPA-specific) Sector Planning Document -SPD) Action Documents (ADs) (Draft) Action Programme (AP) Financing Proposal Commission Implementing Decision Financing Agreement Annexed: ADs Annexed: AP
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office  Country Strategy Paper/Multi – Country Strategy Paper: the overreaching strategic planning documents - describe in broad terms how Beneficiaries will use financial assistance to address the political priorities of the Enlargement Strategy and the reform efforts under different Sectors  Action Programme: A group of actions defined by clearly identified objectives and expected results, as well as implementation arrangements and other related conditions for execution, adopted through a Commission implementing Decision.  Action: A coherent set of coordinated activities carried out to meet a defined objective, which have an estimated total cost plus implementation schedule and performance parameters.  Activity: A component of an Action which can be clearly identified by its costs and type of financing (procurement, grant etc.)
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Scope Underlying document – implementation oriented - to be used for the preparation of the Financing Proposal. Type Document of a working/operational nature to be shared mainly between the Republic of Serbia, the EU Delegation and the Commission Responsibili ties Preparation by the Republic of Serbia. Supervision and quality control by the EU Delegation and EC services
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office UNDERSTAND, IDENTIFY EXPLAIN, ASSESS, DEFINE, STRUCTURE ACTION
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Then provide Action Rationale… briefly describe the context - key problems/needs which are currently faced by the Beneficiary Country and how the Action will help resolve these  identify the stakeholders most affected by the problem and what institutional and organisational issues should be addressed
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Rationale… Relevance with the CSP priority(ies)the Action addresses  priority(ies) of the Enlargement Strategy(if relevant) ;  priorities of the Annual Progress Report the Action will address; the EU policies and any regional strategy in line with the Action;  Multi-Country Strategy Paper (if relevant); other relevant actions or strategies supported by the national authorities and/or the donor community.
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office • Rationale… Lessons learned short description of problems/issues encountered in previous actions in the same field and how they can be avoided. key recommendations and follow-up of the relevant evaluation(s) Q for you: What key lessons can be drawn for future financial assistance?
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Rationale… Sector Approach Assessment An overview of Sector Maturity based on main EC assessment criteria
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office  Work together with all relevant stakeholders  Shift from stand-alone projects to programmes  National policy process & ownership  Increase the coherence between policy, spending and results, and reduce transaction costs
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office 1. National sector policies/ strategies 2. Institutional setting, leadership & capacity 3. Sector & donor coordination 4. Mid-term budgetary perspective 5. Monitoring & performance assessment framework 6. Public finance management 7. Macro-economic framework
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office • A summary of the sector approach assessment based on EC criteria In the case of AD, a summary of the sector policy/context, even in the case of a Stand-alone Action (if relevant), including any plan of the Beneficiary Country to improve its capacity and move towards a sector approach.
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office For a Sector Support Action an overview of the following aspects: description of any existing Country Sector Policy/Strategy and how this translates into an IPA Action  any specific IPA SPD & the way how it was prepared; institutional arrangements ,including lead ministry; sector and donor coordination (i.e. very brief description of the mechanisms for ensuring coordination between the government institutions and between the government and donors/other stakeholders); Sector budget and medium term perspective (very concise) Other aspects, i.e. performance management framework; Public finance management system, may be added but should remain very concise. further details can be added as an annex.
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Analysis phase:  Preparatory analysis – situation analysis  Stakeholder analysis  Problem analysis Objective analysis  Strategy analysis Planning phase:  Logical Framework Matrix  Activity scheduling  Resource scheduling
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office This comprises a more detailed analysis: • Of the people, groups or organizations that may influence or be influenced by the problem or a potential solution to the problem. • The objectives of this step are to identify and discuss the interest and expectations of persons and groups that are important to the success of the intervention.
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Politicians (Values) Technicians (Solutions) Recipients (Problems)
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office POLITICIANS TECHNICIANS RECIPIENTS PUBLIC SPHERE Government Public Administration Local Communities PRIVATE SPHERE Chambers Consultants and researchers SMEs SOCIAL SPHERE Trade Unions Universities CSOs
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Interests Previous experience Questions of authority Pressure at work Priorities Occupations and relations Personal characteristics Different stakehoders perceive same changes in different ways
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Stakeholder and basic characteristics Interests and how affected by the problem(s) Capacity and motivation to bring about change Possible actions to adsress stakeholder interests
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office SWOT is a method for conducting situation analysis Participatory approach Subjective stands of the group Facilitates problems and objectives identification
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office SWOT analysis Internal factors Strengths Weaknesses External factors Opportunities Threats Identify S. W. O. T. , then analyze through SWOT Matrix strategic choices
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office INTERNAL TRANSLATE INTO ACTION PLAN EXTERNAL STRENGTHS WEAKNESSES OPPORTUNITIES How do we use our strengths to exploit the opportunities? How do we overcome the weaknesses that prevent us exploit the opportunities? THREATS How do we use our strengths to reduce the likelihood and impact of the threats? How do we overcome the weaknesses that will make these threats a reality?
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office INTERNAL EXTERNAL STRENGTH •High % of young people with higher education WEAKNESSES •High unemployment rate of young population OPPORTUNITIES •Increase of young labour force S-O /Maxi- Maxi strategy Build on strengths to exploit opportunities W-O /mini- Maxi strategy Minimise weaknesses to exploit opportunities THREATS •Emigration of skillful labour force S-T /Maxi –mini strategy Build on strengths in order to fight off threats W-T/mini- mini strategy Minimise weaknesses in order to fight off threats Invest on high education to qualify young labour force Invest on high education to avoid brain-draining Minimise unemployment to exploit young labour force Minimise unemployment to avoid brain-draining
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Establishing the roots of causes in order to focus the intervention design on them and not solely to the symptoms of problems!
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Process of identification of negative aspects of some existing situation and establishment of cause and effect relations between identified aspects / problems.
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Once identified, the stakeholder group should meet and conduct a facilitated discussion to further identify and clearly state the problems that need to be resolved.
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Precise defining of framework and object of analyses Identification and formulation of the problems Selection of primary or focal problem(s) Problem tree development
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office  Only existing problems should be identified, not potential ones, future ones nor imagined ones  Problem is not absence of solution, but existence of some negative state of affairs  On each paper you should write only one problem
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Public transportation in Tac City
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Insufficient maintenance of busses Bus Company losing trust of the passengers Increased traffic jams in the city Busses do not arrive and leave on time Passengers suffer injuries or die Frequent traffic accidents Bad quality of roads Bus Company is losing money Busses are in bad technical conditions Busses are very old Passengers use alternative traffic means Reckless driving of bus drivers Passengers arrive late
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Technique for establishing cause-effect relations between problems and its visualization
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Picture of existing negative state of affairs Effects Central problem Causes
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office 1. Identification of primary or focal problem(s) 2. Identification of essential direct causes of primary problem – first order causes 3. Identification of essential and direct effects of primary problem – first order effects 4. Identification of second order causes and effects, third order, etc. 5. Problem tree construction – drawing cause- effect relations, bottom up 6. Problem tree review
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Effect Focal problem Cause Cause Cause Cause Cause Effect Effect Effect
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Insufficient maintenance of busses Busses are very old Bad quality of roads Busses are in bad technical conditions Reckless driving of bus drivers Busses do not arrive and leave on time Passengers arrive late Frequent traffic accidents Passengers suffer injuries or die Bus Company losing trust of the passengers Passengers use alternative traffic means Bus Company is loosing money Increased traffic jams in the city EFFECTS CENTRAL PROBLEM/S CAUSES
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Process in which Problem tree is converted into Objective/solution tree and analysis of that product PROBLEM TREE OBJECTIVE TREE
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office  Reformulate each problem in a “problem tree” into a positive statement (objective)  Verify hierarchy of objectives  Visualization of relationships in a diagram
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Objective Tree Overall objectives Project Purpose Results Problem Tree Effects Focal problem Causes
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Rural exodus Low productivity High unemployment Low skilled labour Poor education facilities Outdated technologies Rural immigration Higher productivity Lower unemployment Higher skilled labour Better education facilities Updated technologies .. Is caused by.. .. Will lead to...
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office 1. Starting from the top reformulate all elements of Problem tree into a positive, desirable conditions 2. Instead of cause-effect relations in Problem tree, established relations are means-solution or means-objective 3. Starting from the bottom check whether established means-objective relations are logic and valid
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office 4. If needed: a) revise objective statements b) erase solutions/objective which are unrealistic or unnecessary c) add new solutions/objectives where necessary 5. connect with lines to show means- solutions or means-objective relationships
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Busses are well maintained Old busses are being replaced as needed Good quality of roads Busses are in good technical condition Drivers drive more carefully Busses arrive and leave in line with schedule Passengers arrive on time Number of accidents has decreased Increased safety of the passengers Trust of the passengers regained Increased number of people use public transport Buss Company makes profit Improved traffic situation in the city centre Overall objective Specific objective(s) Results
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Final step in ANALYSIS PHASE Selection of strategy which will be used for achieving desired objectives Process of decision making on which solutions (objectives) will be included in project and which will stay outside of project, as well as what is purpose/specific objectives and what is overall objective
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office The objective tree usually depicts several possible strategies that can comprise a solution to each sub-problem and to the focal problem. Since there is usually a limit to the resources that can be applied to the project, it is necessary to examine these alternatives and select the best one. To do this, decision-makers will first need to select criteria upon which they can base the analysis.
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Which combinations will most probably lead to desired results and sustainable benefits? Which is the best way to support the ownership over the project, including institutions/organizations capacity development? Which option is the most efficient one?
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Busses are well maintained Old busses are being replaced as needed Good quality of roads Busses are in good technical condition Drivers drive more carefully Busses arrive and leave in line with schedule Passengers arrive on time Number of accidents has decreased Increased safety of the passengers Trust of the passengers regained Increased number of people use public transport Buss Company makes profit Improved traffic situation in the city centre drivers
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office NAD /CSP SPD AD Overall Objective /Enlargement Strategy Priority /Target Measure Results Results Overall Objective Specific Objective Overall Objective Specific Objective
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Sector Planning Document Action Document Results R1 R2 R3 R4 R5 R6 R7 R8 Specific Objective 1 Specific Objective 2 Results 2015 R1 R2 2016 R3 R4 R5 R6 2017 R7 R8
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Overall objective (1) Indicators (8) Sources of verification (9) Specific objective (2) Indicators (10) Sources of verification (11) Assumptions (7) Results (3) Indicators (12) Sources of verification (13) Assumptions (6) Activities (4) Implementation Modalities Costs Assumptions (5)
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Objectively Verifiable Indicators (OVI)represent the baseline for measuring performance, monitoring operations and the overall effectiveness of programme implementation. Performance Indicators mainly OUTCOME indicators at the level of Specific Objective  provide information on changes which occur for direct beneficiaries
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office • Impact indicators - to be set at the level of the SPD overall and specific objective and can be identified from CSR/NAD targets • Outcome indicators measure the result performance and provide information on changes which occur for direct beneficiaries - to be set at the level of AD specific objective; • Output indicators- to be identified as the consequences of AD activities carried out and their products and set at the level of result
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Indicator Description Baseline (year) Target (year) CSP indicator (if applicable) Action outcome indicator1 Action outcome indicator2 Etc.
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office ROLES AND RESPONSIBILITIES  the main institutional stakeholders involved in the management and implementation process of the Action  their respective roles and responsibilities (e.g. Line Ministries, National Institutions/Agencies, Regional Authorities, etc.) as well as any coordination arrangements (working group, steering committee, etc) IMPLEMENTATION METHOD AND TYPE OF FINANCING financing methods to deliver activities; i.e. indicative number and types of tender(s)/call for proposal(s)/grants, as well as, where available, the method of implementation and any delegated partners Co-financing arrangement Explain…
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office IPA Action Document SERVICES SUPPLIES WORKS Terms of Reference Technical Specifications Bills of Quantity GRANTS Guidelines for Applicants P r o c u r e m e n t
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office SERVICES >€300,000 International restricted procedure < €300,000 but > €20,000 1.Framework contracts 2.Competitive negotiated procedure < €20,000 Single tender SUPPLIES > €300,000 International open procedure <€300,000 but > €100,000 Local open procedure <€100,000 but > €20,000 Competitive negotiated procedure < €20,000 Single tender WORKS >€5,000,000 1.Internation al open procedure 2.Internation al restricted procedure <€ 5,000,000 but > €300,000 Local open procedure < € 300,000 but > €20,000 Competitive negotiated procedure < €20,000 Single tender GRANTS >€2,000,000 International call for proposals >€2,000,000 Local call for proposals For any amount in cases of urgency Direct grant
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Indicative Contracting Time Contract Type Procurement Procedure Average Time Taken SERVICE International Restricted Tender (9)-12 months Framework (3)-5 months SUPPLIES International Open Tender 9 months Local Open Tender 6 months WORKS International Open Tender 12+ months Local Open Tender 9-12 months GRANTS International Call for Proposals 12+ months Local Call for Proposals (6)-9 months
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office SPD: Programming and Implementation Plan SECTOR TITLE 2014 2015 2016 2017 2018 2019 2020 Q3 Q4 Q1 Q 2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 ACTION 1 P C C C/I I I I I I I I I I I I I I Activity 1.1 P C C I I I I I I I I I I I I Activity 1.2 P C C C C I I I I I I I I I I ….. ACTION 2 P P P C C C C/I I I I I I I I I I I I Activity 2.1 P P P C C C C I I I I I I I I I I I Activity 2.2 P P P C C I I I I I I I I I I I I P = programming (period when the IPA action programme is expected to be adopted C = procurement and grant award procedure I = implementation period
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Service contract is used for engagement of experts for delivery of defined tasks Costs cover expert fees Budget is relatively simple – fees include other costs (transport, per-diems)
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office  Budget is calculated in relation to type and number of experts  Fees - usual cost: € 800-1000 for senior experts and € 250-400 for junior experts (it depends on expertise and period of engagement, short-term or long-term)  Incidental expenditures (between 2 & 5, sometimes 10% of budget) • Bank charges • Per diems for experts when working outside normal place of work • Visibility events, translation etc.  Verification (e.g. around 2% of budget) • External auditor’s fees
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Supply contract is used for purchase of equipment Contract covers equipment, including installation, training, spare parts etc. Experts estimation is necessary It is necessary to take into account timeframe (1,5 year to implementation)
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Value of the contract depends on the type and quantity of equipment Costs are totally depended on the type of equipment (e.g. computer is around € 1,000)
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Works contract is used for construction and reconstruction (infrastructure) Contract covers all costs related to (re) construction, including materials, workers, engines etc. Expert’s estimation is necessary Precondition for implementation is prepared technical documentation, existence of relevant licenses etc.
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Value of the contract depends on type and shape of (re) construction Contingency reserve (6-15%) and supervision of works
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Grants contract is used for the grant scheme as direct donation for local and regional authorities and civil society organizations Budget composition: total value of the grant scheme
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Represents transfer of knowledge and experience from MS to CC and PCC Budget composition: detailed breakdown in line with twinning manual Budget from practice: – Twinning: 1-2 million euros – Twinning light: 200.000 euro
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office Direct Agreement between the EC and institutions which have specific and unique knowledge necessary for project implementation (UNHCR, UNICEF, IFIs, IOM, UNDP etc.) Budget composition: there is no prescribe form, but it should be presented in detail (expert fees, sub-contracting, supplies etc.)
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office  ENVIRONMENT AND CLIMATE CHANGE (AND IF RELEVANT DISASTER RESILIENCE) Q: How environmental considerations have been integrated in the Action design” as well as how the 'Rio marking' of the Action for climate change 'adaptation' and 'mitigation' will be applied (if relevant)? Q:Describe the measures related to disaster resilience and risk prevention (if relevant)  ENGAGEMENT WITH CIVIL SOCIETY (AND IF RELEVANT, OTHER NON-STATE STAKEHOLDERS) Q: What measures have been taken to associate civil society and/or social partners etc. in the design and implementation of the Action?
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office  EQUAL OPPORTUNITIES AND GENDER MAINSTREAMING Q: How does the Action take account of gender aspects during design and implementation phases?  MINORITIES AND VULNERABLE GROUPS Q: How does the Action take account of people belonging to minorities/vulnerable groups? Q: How their involvement is facilitated?
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office  the Action should be sustainable beyond its implementation period Q: Define your commitment or describe required resources (human and financial)provided for the operation and maintenance of results once the Action is completed
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office  Details on any specific communication and visibility activity/plan for the Action, including information on target audiences (if relevant)  Useful tool (if required)-guidelines provided in the Communication and Visibility Manual for EU External Actions
  • Project funded by The European Union Government of the Republic of Serbia European Integration Office All presentations are available on the PPF5 website: www.ppf5.rs