1.3 contents and processes

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  • 1.3 contents and processes

    1. 1. Sustainable Economic Development of the Sudurnes region, Iceland Operational Programme Preparation: Contents and Processes JOSE MATEOS MORENO Ásbrú, January 2012
    2. 2. 2 Objectives of This Session Improve knowledge of • Contents and requirements of an Operational Programme (OP) • OP process • Stakeholders and partnership issue • Stages of OP process
    3. 3. 3 Functions of OP • Constitutes a Multi-annual Programming document • Supports Candidate Countries in policy development • Prepares for the implementation and management of future Cohesion Policy • Implements the objectives and priorities of the SCF, indicating which activities will be supported and to which extent • Identifies specific operational priorities • Contains selected measures and projects
    4. 4. 4 Requirements and Contents of OP (1) (Art. 155 IPA Implementing Reg.) 1. Description of existing situation, SWOT and key disparities 2. Overview of the consultation process 3. Strategy: Vision and Strategic Objectives – Priority axes – Specific objectives and measures – Indicative list of major projects (actions) – Horizontal issues (equal opportunities etc) 4. Justification in the light of the concentration principle, sectoral or geographical under IPA assistance
    5. 5. 5 Requirements and Contents of OP (2) 4. Description of Technical Assistance Operations 5. For each measure: FB + selection criteria 6. Financial plan with allocation according to priority axis and specific objectives 7. Quantified indicators with effects on results and impacts? + evaluation activities 8. Ex-ante evaluation (main conclusions) 9. Implementation provisions (incl. communication)
    6. 6. 6 OP Preparation • By the candidate country in close dialogue with the Commission services • In the framework of agreed structures • Drawing from existing documentation and available Technical Assistance (e.g. National /Regional strategies, Sectoral Master Plans, etc.) • In consultation with the relevant partners (stakeholders) • Ex-ante evaluation in parallel with OP preparation. The same for Strategic Environmental Assessment (SEA) • Submission by the competent national authority (after SCF) • Approval by the Commission
    7. 7. 7 OP Stakeholders OP Stakeholder = any citizen, resident, client, organisation or group who / which could be affected directly or indirectly by the OP process OP Stakeholders include: – Final Beneficiaries (Agencies, Regions, Municipalities, Companies) – (Co)Financeers/Contributors – Experts (Research institutes etc.) – Others likely to be affected (Interest Groups, Trade Unions, Chambers of Commerce etc.)
    8. 8. 8 Main Stages of OP Preparation Organisation of OP process Implementing Arrangements Negotiations with EU SWOT Analysis Strategic Goals and Priorities Budget Allocation and Impacts Ex-ante Evaluation 1 to 2 years
    9. 9. 9 Main Stages of OP Preparation Organisation of OP process Implementing Arrangements Negotiations with EU SWOT Analysis Strategic Goals and Priorities Budget Allocation and Impacts Ex-ante Evaluation 1 to 2 years
    10. 10. 10 Step 1) SWOT Analysis • Strengths • Weaknesses (main problems/disparities) • Opportunities • Threats Summary SWOT with prioritised main disparities
    11. 11. 11 Sector Specific SWOT Example (Environment OP Croatia) Strengths – General: Unique natural environment – Wate:Specialized companies and public utility companies ready to use integrated waste management (WM) systems – Water:Croatia has relatively abundant & good quality fresh water Weaknesses: – General:lack of financial resources – Wate: Insufficient coordination of waste streams management on local level due to the lack of staff – Water:Water losses significant, age and insufficient maintenance Opportunities – General:Grants from EU pre-accession funds – Wate:Rationalisation of waste sector public utility companies – Water: Harmonization with EU standards – Threats – General:Disparities between environmental protection and economic development – Wate:Approx. 3,000 illegal waste dumps and 9 hot spots – Water:All national river basins have transboundary character • Recommendations?
    12. 12. 12 Main stages of OP-preparation Organisation of OP process Implementing Arrangements Negotiations with EU Strategic Goals and Priorities Budget Allocation and Impacts Ex-ante Evaluation 1 to 2 years SWOT Analysis
    13. 13. 13 Step 2) Strategic Goals and Priorities • Overall objective • Define strategic goals for priorities • Create commitment on strategic sector goals and vision with all stakeholders
    14. 14. 14 Example: OP ENV Strategic Objectives and Priorities OP Environment Croatia (example)
    15. 15. 15 Step 3) Budget Allocation and Impacts (1) • Budget allocation: – Top down: NDP and Ministry priorities – Bottom up: costs estimates of measures / projects • Co-financing possibilities: Line Ministries, Regions, EBRD • Anticipated IPA support from EU • Agreement on budget allocation and co-financing with Line Ministries and partners crucial
    16. 16. 16 Step 3) Budget Allocation and Impacts (2) Impacts: • Indicators for monitoring and evaluation of progress in OP implementation • Quantify expected Results and Impacts? of OP • Integrate in Monitoring Information System (MIS)
    17. 17. Sustainable Economic Development of the Sudurnes region, Iceland 17 Sources of information for the OP financial plan • Financial allocation in the SCF • IPA Funds Financial Indications – Multi-annual Planning Document – Multi-annual Financial Framework
    18. 18. Sustainable Economic Development of the Sudurnes region, Iceland 18 OP Financial Plan Contents • OP budget break-down by “priority axis”, separately by year, and total period (initially 2007-2009) • OP budget break-down updated annualy on basis of Multi-annual Indicative Financial Framework (MIFF) • It should contain: – IPA support and contribution rate – National public contribution – Estimated private contribution and grant and loans from IFIs (for information) – Technical Assistance - maximum 4%
    19. 19. Sustainable Economic Development of the Sudurnes region, Iceland 19 Template for OP Financial Plan YEAR N "priority axis" a (= Sum a1, a2,) Measure a1 Measure a2 "priority axis" b (=Sum b1, b2) ... Measure b1 Tech. assistance ... TOTAL YEAR N Total Public eligible cost UE IPA CC Nat Public IPA cofin rate (calcul) For information Private IFI (x+y) x y x/(x+y) % € € € € € € € € € € € € € € € € € € € € € € € € € € € € € € € € € % %
    20. 20. 20 Step 4) Implementing Arrangements • Responsibilities and tasks of bodies (Operating Structure, FBs, CA, internal control etc) • Tools and Systems (Monitoring Information System, Guidelines) • Staffing and HRD (incl. Training etc.)
    21. 21. 21 Step 5) Ex-ante Evaluation of OPs • Independent ex-ante evaluation • Important to take into account for commitment from European Commission • Important tool for improving OP quality • Purpose of ex-ante evaluation – to assess quality of OPs – Relevance: are priorities relevant for main problems and opportunities in Montenegro? – Effectiveness of OPs in achieving goals – Efficiency of OPs
    22. 22. 22 Consistency and Overlap - Check OPs and SCF • Careful reading and check for inconsistencies: – Macro-economic data and assumptions must be standardised – General structure should be standardised – Choice of priorities has to reflect SWOT • Discussion with Ministries OPs on OPs and coordinator SCF • Adapting SCF and OPs
    23. 23. 23 Step 6) Negotiations with EU • Agree OP with all partners • Create consistent basis with fixed teams and strategy for negotiations with EU • Community Support Framework • Communication of OP (visibility) • Project promotion to beneficiaries in order to create a project pipeline
    24. 24. 24 See examples of OP’s

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