0
Project funded by
The European Union

Government of the Republic of Serbia
European Integration Office

PREPARING IPA II S...
Training Objectives
To explain:

 The IPA II legal basis and regulatory framework
 The hierarchy of EC and Serbian strat...
Project funded by
The European Union

Government of the Republic of Serbia
European Integration Office

IPA II REGULATORY
...
Legal Framework
EU Enlargement Package (Enlargement Strategy +
Progress Report)

EU Financial
Regulation (+RAP)

IPA II
Re...
Hierarchy of Strategic Documents
Enlargement Package

(EU Enlargement Strategy, EC Progress Report /SAA/ European Partners...
Programme Types

Project funded by
The European Union

Government of the Republic
of Serbia
European Integration Office
Programming Terms used in IPA II
 Action Programme: A group of Actions which address CSP
targets and which are the subjec...
There might also be cases where an individual Action
Programme is made up of one single Action, particularly where
an Acti...
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

Proposed Sector Pl...
Sector Planning Document
SPD Template

Purpose

Section 1: Sector
Description

To systematically address the EC criteria f...
Sector Planning Document
1. Sector Description
1.1 National Sector Policy & Strategy
1.2 Sector Institutional Framework, C...
AD Intervention Logic
 Intervention logic shows how planned results and
specific objectives will be achieved by sector ac...
SPD: Sequencing
Sector Planning
Document
Results
R1
R2
R3
R4
R5
R6
R7
R8

Project funded by
The European Union

Action Doc...
Project funded by
The European Union

Government of the Republic of Serbia
European Integration Office

The Sector (Wide) ...
What is the Sector Approach?
The Sector Approach is a way of working together
between: Government and Donors and other Ke...
Paris Declaration: Aid Effectiveness
Paris Declaration (02/03/2005) principles are: 1) Ownership; 2)
Alignment; 3) Harmoni...
What is a Sector?
 There is no single definition of the policy area
that can be considered a sector, nor is there an
exha...
Criteria for Sector Definition
1. Sector should be have relevance for EU accession
and/or national socio-economic developm...
Indicative Sectors
Policy Areas

Sectors Defined for Country
Strategy Papers1

Transition Process &
Capacity Building

1.
...
Rule of Law
Chapter 23: Judicial and
Fundamental Rights

Chapter 24: Justice, Freedom and
Security

1. Judiciary

1. Migra...
Project funded by
The European Union

Government of the Republic of Serbia
European Integration Office

Implementing Actio...
Types of Contract and Associated Documents

IPA
Action
Document

P
r
o
c
u
r
e
m
e
n
t

SERVICES

SUPPLIES

Technical
Spec...
Contracting & Disbursement Deadlines
Deadline for concluding
the Financing
Agreement

The final date for the signature of ...
What is Budget Support (BS)?
BS is a method of delivering financial assistance which
normally has 4 steps:
 (Sector) Poli...
Political and Economic Focus of IPA-BS
Compliance with the political criteria should be
the primary focus of IPA2 BS. In ...
Assessment of Eligibility
Assessment takes place at 2 stages in the
programme cycle.
During programme preparation: assess...
Risk Management Framework
Risk management is an internal assessment of risk levels based on
the analysis of replies to que...
Whether to Provide BS?
The EC decision on providing BS is based on 3
assessments:

1. Assessment of political commitment t...
Variable Tranches: Performance Reserves
‘A Performance Monitoring System and related disbursement
criteria is at the heart...
Variable Tranche (Performance) Indicators
The following principles should be applied:
1. Targets and indicators should be ...
Project funded by
The European Union

Government of the Republic of Serbia
European Integration Office

Sector Assessment
EC Assessment Criteria for Sector Approach
Key Criteria
1. National sector policies/ strategies
2. Institutional setting, ...
National Sector Policy/ Strategy
There are 3 groups of criteria for assessing the
quality of national sector policies /str...
National Sector Policy/ Strategy
There are 3 groups of criteria for assessing the
quality of national sector policies /str...
National Sector Strategic Frameworks :
Example
Adopted 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 20...
Sector Policy /Strategy:
Key Questions
Is the sector policy authored by domestic actors?
Is there enough political suppo...
Institutional Setting
There should be a Lead Ministry which:
Plays a leading role on donor coordination within the
sector...
Institutional Mapping: e.g. Justice
Sector Lead Ministry

Ministry of Justice (MoJ)

Body Responsible for
Priority

P1: Mo...
Institution 1  

Institution N

Coordination

Monitoring

Government of the Republic of Serbia
European Integration Offi...
Operating Structure

EC-HQ /
EUD

IPA Monitoring Committee

NIPAC/
NIPAC-TS

Sector Monitoring Committee
Sector Working Gr...
Institutional Capacity
The Lead Ministry and other institutions within
the Operating Structure must have the capacity
to ...
Absorption Capacity (I): Ministry of Justice
1. Inherited Workload

IPA 2012 (2 service+1 supply+1 works+1 direct grant)
...
Absorption Capacity (II): Ministry of Justice
3. Workload Analysis (WLA) for staffing needs to implement IPA 201213 shows ...
Institutional Setting & Capacity: Key
Questions
Has the sector been defined with institutional coherence
in mind?
Is the...
Sector Coordination
Covers 2 components: (1) Coordination of government institutions &
key non-government stakeholders; (2...
Sector Budget
There needs to be a clear link between sector policy & budgeting.
Sector plans should be properly priced &...
Monitoring Performance
 Stand-alone project-based assistance emphasises the monitoring
of resource usage (inputs) & immed...
Public Finance Management (PFM): Key Questions

Is there a PFM reform programme in place?
What are the PFM mechanisms in...
Macro-Economic Framework
The purpose of the macro-economic assessment is to
assess the stability of the macroeconomic sit...
Overall Assessment
The purpose of assessments is to establish sector-level policy dialogues
with beneficiary country auth...
Overall Assessment: Key Questions
Are the priority sectors for IPA II assessed as
being satisfactory on the 3 key criteri...
Project funded by
The European Union

Government of the Republic of Serbia
European Integration Office

Thank you for your...
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Preparing IPA II Sector Planning Documents - Serbia

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  • The Action Programme then becomes an annex to the Financing Agreement between the European Commission and the Beneficiary Country in the case of a Country Action Programme. No Financing Agreement is concluded in the case of a mainstream Multi-Country Programme Cross-Border Cooperation Programme, which sets out up to four thematic priorities for assistance for each border area for the entire programming period 2014-2020. The Cross-Border Cooperation Programmes are the main basis for the drafting of Financing Proposals (to become an annex to the Commission implementing Decision once adopted), which will highlight the priorities for funding and trigger commitments for up to 3 years. The Financing Decision becomes an annex to the Financing Agreement between the European Commission and the participating Beneficiary Countries. Rural Development Programmes (RDPs) represent the most formalised type of IPA support in the area of rural development. The aim of these programmes is to implement the strategic priorities for rural development set out in Country Strategy Papers, through a set of measures defined in the Framework Agreement. Programme documents A single Rural Development Programme drawn up at national level should be submitted by Beneficiaries. The programme is prepared by the relevant authorities designated by the Beneficiary and is submitted to the European Commission after consulting the appropriated interested parties. Before putting together a Rural Development Programme, a National Rural Development Strategy must be in place and analyses of the main sectors of agriculture must be carried out. Once drafting of the programme has advanced, ex-ante evaluation of the programme must be conducted. Before the programme can be adopted via a Commission implementing Decision, and in addition to the preparatory work and preconditions above, a Sectorial Agreement must be concluded with the country. A Financing Agreement is concluded concerning the Rural Development Programme after its adoption
  • Services Studies - identification and preparation of projects, feasibility studies, economic and marketing studies, technical studies, evaluations and audits (Global price) Technical assistance - the service provider has an advisory role, directs or supervises a project, or providing expert services defined in the contract (fee-based) The combination - defined as resources and productSupplies Purchase, lease or rental of assets (equipment). During the delivery of the equipment may be required installation and maintenance productsWorks Performance, or design and construction that result in the building or work of civil engineers who themselves are sufficient to meet the economic or technical function.Twinning (Twinning: 1-2 MEUR and Twinning light: up to 200.000 EUR)Cooperation tool between a Public Administration in a Partner/ Beneficiary country and the equivalent institution in an EU Member StateIt consists of sending to Serbia at least one resident adviser (12- 24 months)- RTA- and a number of medium and short-term missions, all to be carried out by public officials of the EU Member State institutionKey features is the concept of mandatory results: both the Serbian and the EU partner commit themselves to work towards a commonly agreed result, which should be measurable and precise. Includes at least some elements of approximation to the EU acquisGrantsDirect payments of non-commercial nature Grants contract is used for the grant scheme as direct donation for local and regional authorities and civil society organizations Direct Agreements For particular tasks with specific organizations like UNHCR etc.
  • Transcript of "Preparing IPA II Sector Planning Documents - Serbia"

    1. 1. Project funded by The European Union Government of the Republic of Serbia European Integration Office PREPARING IPA II SECTOR PLANNING DOCUMENTS (SPDs) Ruggero Tabossi George Chabrzyk All presentations are available on the PPF5 website: www.ppf5.rs
    2. 2. Training Objectives To explain:  The IPA II legal basis and regulatory framework  The hierarchy of EC and Serbian strategic planning documents for programming IPA II assistance  The ‘Sector Approach’ in the context of EU enlargement and IPA II  EC criteria for assessing sector maturity and readiness for adopting a Sector Approach  How sector assessments are undertaken in Serbia  Types of IPA II Programmes /Actions  IPA II and Sector Budget Support  Standard templates for Sector Planning Documents (SPDs)/ Action Documents (ADs)  SPD Intervention Logic  SPD Sequencing and Budgeting  SPD Indicators and Targets Project funded by The European Union Government of the Republic of Serbia European Integration Office
    3. 3. Project funded by The European Union Government of the Republic of Serbia European Integration Office IPA II REGULATORY FRAMEWORK
    4. 4. Legal Framework EU Enlargement Package (Enlargement Strategy + Progress Report) EU Financial Regulation (+RAP) IPA II Regulation (+RAP) Common Implementing Rules IPA II Common Strategic Framework Country /Multi-Country Strategy Papers Framework Agreements IPA II Programmes (Country /Multi-Country /CBC) Project funded by The European Union Government of the Republic of Serbia European Integration Office
    5. 5. Hierarchy of Strategic Documents Enlargement Package (EU Enlargement Strategy, EC Progress Report /SAA/ European Partnership) IPA II Regulation / Rules of Application Country /Multi-Country Strategy Paper National Sector Programme or (IPA-specific) Sector Planning Document -SPD) Action Documents (ADs) Annexed: SPDs (Draft) Action Programme (AP) Financing Proposal Commission Implementing Decision Project funded by The European Union Annexed: ADs Annexed: AP Financing Agreement Government of the Republic of Serbia European Integration Office
    6. 6. Programme Types Project funded by The European Union Government of the Republic of Serbia European Integration Office
    7. 7. Programming Terms used in IPA II  Action Programme: A group of Actions which address CSP targets and which are the subject of 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.)  Measure: A set of operations contributing to one or more common objectives  Operations: Projects and /or contracts Project funded by The European Union Government of the Republic of Serbia European Integration Office
    8. 8. There might also be cases where an individual Action Programme is made up of one single Action, particularly where an Action (and therefore the entire Action Programme) focuses on a defined sector (e.g. through Budget Support). There might also be cases where an individual Action Programme is made up of one single Action, particularly where an Action (and therefore the entire Action Programme) focuses on a defined sector (e.g. through Budget Support). Project funded by The European Union Government of the Republic of Serbia European Integration Office
    9. 9. Project funded by The European Union Government of the Republic of Serbia European Integration Office
    10. 10. Project funded by The European Union Government of the Republic of Serbia European Integration Office Proposed Sector Planning Document (SPD) Template
    11. 11. Sector Planning Document SPD Template Purpose Section 1: Sector Description To systematically address the EC criteria for Sector Approach and show that the sector in question is sufficiently mature to adopt a Sector Approach. Also the steps being undertaken to increase sector maturity. Section 2: Sector Programme Rationale To provide justification for the proposed programme to explain the focus of IPA assistance within the whole scope of the sector An overall picture of the problems to be solved with the support of IPA funded sector support. Section 3: Sector Programme Description To describe in detail the proposed programme covering: overall /specific objectives; impact indicators; results; measures & operations; institutional arrangements for implementation. Section 4: Budget To provide an indicative 3-year sector budget based on all sources Section 5: Annexes Log Frame Institutional Arrangements Implementation Project funded Schedule by The European Union To provide inputs for the associated Action Documents Government of the Republic of Serbia European Integration Office
    12. 12. Sector Planning Document 1. Sector Description 1.1 National Sector Policy & Strategy 1.2 Sector Institutional Framework, Coordination, Capacity 1.3 Performance Assessment Framework 2. Sector Programme Rationale 2.1 Sector Status and Problem Analysis 2.2 SWOT Analysis 2.3 Links with National Documents, Sector Strategies and Country Strategy Paper 2.4 Cross-Cutting Issues 2.5 Links with other sectors INTERVENTION LOGIC  SPD 2.1  SPD 2.2  SPD 3.1  SPD 3.3. 3. Sector Programme Description 3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 Overall & Specific Objectives Impact Indicators Results Measures & Operations Past and on-going experience, lessons learned Sustainability Assumptions & Pre-conditions Institutional Arrangements for Implementation     SEQUENCING SPD 3.3 SPD 3.4 SPD 4.1 SPD 4.2 4. Budget 4.1 Summary of Indicative Budget Project funded by The European Union 4.2 Budget breakdown per year Government of the Republic of Serbia European Integration Office
    13. 13. AD Intervention Logic  Intervention logic shows how planned results and specific objectives will be achieved by sector action operations. Overall Objective Specific Objective Result 1 Result 2 Result 3 Activities Activities Activities Contracts Contracts Contracts Project funded by The European Union Government of the Republic of Serbia European Integration Office
    14. 14. SPD: Sequencing Sector Planning Document Results R1 R2 R3 R4 R5 R6 R7 R8 Project funded by The European Union Action Document Specific Objective 1 Specific Objective 2 Results 2015 R1 R2 2016 R3 R4 R5 R6 2017 R7 R8 Government of the Republic of Serbia European Integration Office
    15. 15. Project funded by The European Union Government of the Republic of Serbia European Integration Office The Sector (Wide) Approach
    16. 16. What is the Sector Approach? The Sector Approach is a way of working together between: Government and Donors and other Key Stakeholders (NGOs, CSOs etc) It is a process aiming at broadening government and national ownership over public sector policy and resource allocation decisions within a sector by increasing the coherence between policy, spending and results, and reducing transaction costs It involves a shift from stand-alone projects to programmes where donor assistance contributes to the development and implementation of a coherent, nationally owned programme across a whole sector (i.e. ‘Sector-Wide’) Project funded by The European Union Government of the Republic of Serbia European Integration Office
    17. 17. Paris Declaration: Aid Effectiveness Paris Declaration (02/03/2005) principles are: 1) Ownership; 2) Alignment; 3) Harmonization; 4) Managing for results; 5) Mutual accountability Indicators Countries put in place national development strategies with clear strategic priorities (OWNERSHIP). Donors align their aid with national priorities and provide the information needed for it to be included in national budgets (ALIGNMENT) Co-ordinated programmes aligned with national development strategies provide support for capacity development (ALINGNMENT) As their first option, donors use fiduciary systems that already exist in recipient countries (ALINGNMENT). As their first option, donors use procurement systems that already exist in recipient countries (ALINGNMENT).  Aid is released according to agreed schedules (ALINGNMENT). Project funded by The European Union Government of the Republic of Serbia European Integration Office
    18. 18. What is a Sector?  There is no single definition of the policy area that can be considered a sector, nor is there an exhaustive list of possible sectors.  A sector is a defined policy area under the responsibility of a line minister (following DG ELARG guidelines). Project funded by The European Union Government of the Republic of Serbia European Integration Office
    19. 19. Criteria for Sector Definition 1. Sector should be have relevance for EU accession and/or national socio-economic development. 2. Sector should be wide enough to be significant for national accession /development objectives, but narrow enough for institutional coherence 3. Sector should have a clearly established institutional framework, institutional leadership & responsibilities, ideally there should be one lead institution; 4. Sector should have a clear linkage to the national budgetary process Project funded by The European Union Government of the Republic of Serbia European Integration Office
    20. 20. Indicative Sectors Policy Areas Sectors Defined for Country Strategy Papers1 Transition Process & Capacity Building 1. 2. Democracy and Governance Rule of Law and Fundamental Rights Regional Development 3. 4. 5. 6. Environment Transport Energy Competitiveness and Innovation Employment, Social Policies & Human Resource Development 7. Education, Employment and Social Policies Agriculture & Rural Development 8. Agriculture & Rural Development 1Taken Project funded by The European Union from ‘A Quick Guide to IPA Programming’. DG ELARG December 2013. Government of the Republic of Serbia European Integration Office
    21. 21. Rule of Law Chapter 23: Judicial and Fundamental Rights Chapter 24: Justice, Freedom and Security 1. Judiciary 1. Migration  Impartiality 2. Asylum  Independence 3. Visa Policy  Accountability 4. External Borders & Schengen  Professionalism, Competence, Efficiency 5. Judicial Cooperation in Civil, Commercial & Criminal Matters 2. Anti-Corruption  Alignment of legislative framework with EU 6. Police Cooperation & the Fight against Organised Crime  Effective implementation 7. Fight against Terrorism  Prevention awareness raising 8. Cooperation in the Field of Drugs 3. Fundamental Rights 9. Customs Cooperation  Minority rights and cultural rights by Project funded Union of personal data Protection The European 10. Counterfeiting the Euro Government of the Republic of Serbia European Integration Office
    22. 22. Project funded by The European Union Government of the Republic of Serbia European Integration Office Implementing Actions: PRAG Contracts and/or Budget Support
    23. 23. Types of Contract and Associated Documents IPA Action Document P r o c u r e m e n t SERVICES SUPPLIES Technical Specifications WORKS Bills of Quantity GRANTS Project funded by The European Union Terms of Reference Guidelines for Applicants Government of the Republic of Serbia European Integration Office
    24. 24. Contracting & Disbursement Deadlines Deadline for concluding the Financing Agreement The final date for the signature of the Financing Agreement is X+1 (where X=year in which budgetary commitment was made). Conclusion of FA=year N Contracting deadline The end date for the signature of contracts (including grant contracts) is 3 years from the date of conclusion of the Financing Agreement i.e. N+3 Deadline for the execution of contracts The end date by which contracts (including grant contracts) must be finished is 3 years from the contract signature. The contracting deadline for the FA=N+3+3 Disbursement deadline The end date for making payments to contractors is 1 year after the deadline for executing contracts i.e. N+3+3+1 Final date for the implementation of the Financing Agreement The end date for closure of the Financing Agreement is 8 years. After this date no financial transactions can be made legally under the Financial Agreement concerned Project funded by The European Union Government of the Republic of Serbia European Integration Office
    25. 25. What is Budget Support (BS)? BS is a method of delivering financial assistance which normally has 4 steps:  (Sector) Policy Dialogue  Financial Transfers (in ‘tranches’) to National Treasury Account  Performance Assessment  Capacity Development BS is delivered by means of ‘Sector Reform Contracts’. Project funded by The European Union Government of the Republic of Serbia European Integration Office
    26. 26. Political and Economic Focus of IPA-BS Compliance with the political criteria should be the primary focus of IPA2 BS. In particular, assistance should support preparations for acquis chapters 23 and 24 (The ‘Rule of Law’) For the economic criteria, the main focus of IPA2 BS should be on supporting the establishment of a functioning market economy (Copenhagen Criteria: i.e. ‘The ability to withstand the pressures of the internal market’) Project funded by The European Union Government of the Republic of Serbia European Integration Office
    27. 27. Assessment of Eligibility Assessment takes place at 2 stages in the programme cycle. During programme preparation: assessment of relevance (are key constraints /weaknesses addressed?) and credibility (realism, institutional capacity, track record, political commitment) During programme implementation: assessment of progress made in policy implementation (benchmarked against reform commitments) Project funded by The European Union Government of the Republic of Serbia European Integration Office
    28. 28. Risk Management Framework Risk management is an internal assessment of risk levels based on the analysis of replies to questionnaires in 5 categories, namely: 1. Political 2. Macroeconomic 3. Developmental 4. Public Financial Management 5. Corruption /Fraud There are 4 risk levels:  Low  Moderate  Substantial  High Beneficiaries are expected to define their risk response by means of ‘Mitigation Measures’ (these are monitored) Project funded by The European Union Government of the Republic of Serbia European Integration Office
    29. 29. Whether to Provide BS? The EC decision on providing BS is based on 3 assessments: 1. Assessment of political commitment to a reform agenda (in line with EU accession) 2. Assessment of eligibility 3. Assessment of risks and mitigation measures Project funded by The European Union Government of the Republic of Serbia European Integration Office
    30. 30. Variable Tranches: Performance Reserves ‘A Performance Monitoring System and related disbursement criteria is at the heart of any budget support operation’ (EC) BS disbursements are of 2 sorts:  Base (or fixed) tranches: these are linked to eligibility criteria  Variable tranches: these are intended to create an incentive for improved performance and are based on performance indicators.  The EC limit (cap) the use of variable tranches to avoid unpredictability /volatility of disbursements. Typically, Sector Reform Contracts cover commitments for 3 years with an upper limit of 40% variable tranches Project funded by The European Union Government of the Republic of Serbia European Integration Office
    31. 31. Variable Tranche (Performance) Indicators The following principles should be applied: 1. Targets and indicators should be Coherent with sector problem analysis and programme objectives 2. Whilst combined indicators may be used, the emphasis should be on Results 3. Number of indicators should be limited to a maximum of 8 per Tranche (to avoid loss of policy focus) 4. Indicators, targets and assessment methodology should be defined during programme preparation Project funded by The European Union Government of the Republic of Serbia European Integration Office
    32. 32. Project funded by The European Union Government of the Republic of Serbia European Integration Office Sector Assessment
    33. 33. EC Assessment Criteria for Sector Approach Key Criteria 1. National sector policies/ strategies 2. Institutional setting, leadership & capacity 3. Sector & donor coordination 4. Mid-term budgetary perspective 5. Monitoring & performance assessment Sector Reform Contracts 6. Public finance management 7. Macro-economic framework Project funded by The European Union Government of the Republic of Serbia European Integration Office
    34. 34. National Sector Policy/ Strategy There are 3 groups of criteria for assessing the quality of national sector policies /strategies: 1. Nature of policy process & ownership 2. Quality of policy objectives 3. Implementation arrangements Project funded by The European Union Government of the Republic of Serbia European Integration Office
    35. 35. National Sector Policy/ Strategy There are 3 groups of criteria for assessing the quality of national sector policies /strategies: 1. Nature of policy process & ownership 2. Quality of policy objectives 3. Implementation arrangements Project funded by The European Union Government of the Republic of Serbia European Integration Office
    36. 36. National Sector Strategic Frameworks : Example Adopted 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 2013 2024 2025 National Programme for Environmental Protection 2010 National Waste Management Strategy 2010 Environmental Approximation Strategy 2011 Biodiversity Strategy 2011 National Strategy for Sustainable Use of Natural Resources and Goods 2012 Strategy for the Implementation of the Aarhus Convention 2011 National Cleaner Production Strategy 2009 Initial National Communication under the United Nations Framework Convention on Climate Change 2010 Strategy for Serbia's Inclusion in Kyoto Protocol's CDM for Waste Management, Agriculture & Forestry Segments 2010 Project funded by The European Union Government of the Republic of Serbia European Integration Office
    37. 37. Sector Policy /Strategy: Key Questions Is the sector policy authored by domestic actors? Is there enough political support & stakeholder involvement to ensure ownership & future sustainability? Are policy objectives coherent with national development objectives? Are the objectives sufficiently SMART? Is there an ‘Action Plan’ showing the timing & sequencing of planned operations & showing institutional responsibilities for these? Project funded by The European Union Government of the Republic of Serbia European Integration Office
    38. 38. Institutional Setting There should be a Lead Ministry which: Plays a leading role on donor coordination within the sector & works closely with the NIPAC Is responsible for coordinating the planning /drafting of Sector Support Programmes Coordinates with other relevant stakeholders Coordinates the implementation of IPA funded sector support. Coordinates the collection and analysis of monitoring data (indicators) for IPA sector support. Project funded by The European Union Government of the Republic of Serbia European Integration Office
    39. 39. Institutional Mapping: e.g. Justice Sector Lead Ministry Ministry of Justice (MoJ) Body Responsible for Priority P1: MoJ P2: Office of Human and Minority Rights (OHMR) Body Responsible for Measure M1.1, M1.2, M1.3: MoJ M2.1, M2.2: OHMR Potential end beneficiaries  High Judicial Council  State Prosecutorial Council  Supreme Court of Cassation  The Public Prosecutor’s Office  The Prosecutor’s Office for Organised Crime  Judicial Academy  The Anti-Corruption Agency  Ombudsman’s Office  Office of the Commissioner for Equality  Directorate for Gender Equality (in Ministry of Labour and Social Policy)  Commissariat for Refugees and Migration Project funded by The European Union Government of the Republic of Serbia European Integration Office
    40. 40. Institution 1   Institution N Coordination Monitoring Government of the Republic of Serbia European Integration Office  Institution 2  Institution 3 Policy Implementation Resource Allocation Resource Planning Functional Analysis Policy Making Project funded by The European Union    
    41. 41. Operating Structure EC-HQ / EUD IPA Monitoring Committee NIPAC/ NIPAC-TS Sector Monitoring Committee Sector Working Group National Authorising Officer /National Fund A u d i t SECTOR OPERATING STRUCTURE Sector Lead Institution Body Responsible for Measure 1 Body Responsible for Measure 2 Body Responsible for Measure N Contracting Authority A u t h o r i t y End Beneficiaries Contractors /Service Providers Project funded by The European Union Government of the Republic of Serbia European Integration Office
    42. 42. Institutional Capacity The Lead Ministry and other institutions within the Operating Structure must have the capacity to absorb existing and planned IPA financial support Recent workload analyses of the Serbian administration (carried out in support of DIS /DMS accreditation) have show that, at present staffing levels, certain Lead Ministries will experience difficulties in absorbing IPA funds over the 2014-16 period. Project funded by The European Union Government of the Republic of Serbia European Integration Office
    43. 43. Absorption Capacity (I): Ministry of Justice 1. Inherited Workload  IPA 2012 (2 service+1 supply+1 works+1 direct grant)  IPA 2013 (3 service+1 supply+ 3 twinnings+1 works) 2. The Procurement Plan Year of Contracting 2013 2014 2015 Total Number of Contracts 1 9 3 13 Year IPA 2012-13 Disbursement: IPA 2014-16 Disbursement: Project funded by The European Union 2013 2014 2015 2016 2017 9.72 7.43 201 8 4.42 Total (M€) Contracting 1.60 7.12 30.29 Contracting 30.80 M€ (for 3 yr SPD) Government of the Republic of Serbia European Integration Office
    44. 44. Absorption Capacity (II): Ministry of Justice 3. Workload Analysis (WLA) for staffing needs to implement IPA 201213 shows the following minimum staffing levels needed to meet the Procurement Plan, these are as follows: Year 2013 WLA staff needed for IPA 2012-13 4 2014 2015 2016 2017 2018 7 7 5 4 3 4. Existing and Planned Staffing Levels are as follows:  Available staff (incl. Heads of Division)=6;  Systematised staff (i.e. Planned)=9 5. Conclusion. Unless missing staff are recruited, the MoJ will not be able to implement IPA 2012-13 according to the Procurement Plan. The peak demand will be in 2014-15 which coincides with additional demands for contracting IPA2 Sector Programmes. The capacity of the MoJ to absorb IPA II funding will be low. Project funded by The European Union Government of the Republic of Serbia European Integration Office
    45. 45. Institutional Setting & Capacity: Key Questions Has the sector been defined with institutional coherence in mind? Is there a lead Ministry in the Sector? Are there inter-institutional agreements showing responsibilities for achieving sector targets? Have workload analyses of the institutions in the Implementing Structure been carried out? Is capacity building envisaged? How & when will a needs assessment be carried out? Project funded by The European Union Government of the Republic of Serbia European Integration Office
    46. 46. Sector Coordination Covers 2 components: (1) Coordination of government institutions & key non-government stakeholders; (2) Coordination of donors. Lead Ministry /Institution responsible for establishing & coordinating an ‘Operating Structure’ composed of the main government institutions involved in sector policy /strategy making and implementation. Functional, government-led Sector Working Groups. Government manages database(s) of external assistance per sector. Government publishes regular monitoring/ progress reports for each sector. Project funded by The European Union Government of the Republic of Serbia European Integration Office
    47. 47. Sector Budget There needs to be a clear link between sector policy & budgeting. Sector plans should be properly priced & prioritized within a realistic estimate of the resources available from the national budget & external donors. IPA II Sector Support Programmes are planned to be multi-annual & should be co-financed by predictable, multi-annual national funding. It is necessary to provide a brief description of the sector budget on an annual, & if possible, on a medium-term perspective (3-5 years). Ideally there should be a Medium Term Expenditure Framework (MTEF) for the sector. However, development of MTEFs will be gradual, at first assessments should focus on the existence of credible annual sector budgets. At minimum, it is crucial to verify whether the sector budget can be identified in the state budget. Project funded by The European Union Government of the Republic of Serbia European Integration Office
    48. 48. Monitoring Performance  Stand-alone project-based assistance emphasises the monitoring of resource usage (inputs) & immediate deliverables (outputs) and relatively little on achieving objectives.  By contrast the sector approach will introduce much stronger results orientation to monitoring assistance & will focus national monitoring systems on measuring the achievement of policy objectives. There should be agreement on a Performance Assessment Framework (PAF). Indicator Level Function of Indicators Impacts Measure the wider benefits beyond direct beneficiaries % decrease in the backlog of civil cases % increase in satisfaction rates Results Measure the benefits produced for direct beneficiaries % reduction in number of appeals lodged due to inconsistent court rulings % increase in number of court Government of the Republic rulings enforced of Serbia Project funded by The European Union Examples (judicial reform) European Integration Office
    49. 49. Public Finance Management (PFM): Key Questions Is there a PFM reform programme in place? What are the PFM mechanisms in place for the sector? Based on information available what are the possible areas where support could be considered? How do the remaining weaknesses affect the sector policy & what recommendations can be made to improve the situation? Project funded by The European Union Government of the Republic of Serbia European Integration Office
    50. 50. Macro-Economic Framework The purpose of the macro-economic assessment is to assess the stability of the macroeconomic situation & consequent potential for future public funding It is not expected that a separate macroeconomic analysis be carried out, but that a judgement on stability-oriented macroeconomic policies be made on the basis of existing documentation. Project funded by The European Union Government of the Republic of Serbia European Integration Office
    51. 51. Overall Assessment The purpose of assessments is to establish sector-level policy dialogues with beneficiary country authorities. Negative assessments of the key criteria do not necessarily prevent the adoption of a sector approach. Few beneficiary countries will have functioning MTEFs & PAFs in place in 2014 but this is not a barrier to the introduction of sector approaches. Sector assessment provides a basis for targeting necessary TA & capacity building activities.  However, 3 criteria are considered essential & must be in place before adopting a sector approach: 1) The existence of a national sector policy /strategy & a sector budget or a government commitment to develop these. 2) A lead institution/ ministry responsible for the sector/subsector 3) The existence of a functional sector coordination framework or a government commitment to develop one. Project funded by The European Union Government of the Republic of Serbia European Integration Office
    52. 52. Overall Assessment: Key Questions Are the priority sectors for IPA II assessed as being satisfactory on the 3 key criteria for a sector approach? Can the problems revealed by negative assessments be addressed with domestic /IPA /other donor resources as part of programme preparation for 2014? Can the problems revealed by negative assessments be mitigated by the time of the mid-term review? Project funded by The European Union Government of the Republic of Serbia European Integration Office
    53. 53. Project funded by The European Union Government of the Republic of Serbia European Integration Office Thank you for your attention All presentations are available on the PPF5 website: www.ppf5.rs
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