M 1.3 Implementing Structures

7/26/2019 M 1.3 Implementing Structures

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MTEC Training 2011

Instrument for Pre Accession

Module 1. 3 IPA Implementing Structures

Meri Georgievska

Rotterdam, 15 November 2011


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Module 1. 3 IPA Implementing Structures

IPA Implementation structures and modalities

Implementing Modalities

Implementing Bodies and Structures

(E)DIS Accreditation Process and Conferal of Management of

powers

(E)DIS State of play per country (structures and accreditation

process)

Exercise


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IPA Implementing modalities

At European Commission Level :

DG Enlargement coordinates the instrument as a whole and

manages component I and part of component II

DG Regional Policy manages the part of component II (under

shared management with Member States) and is responsible for

component III

DG Employment, Social Affairs and Equal Opportunities isresponsible for component IV

DG Agriculture and Rural Development has responsibility for

component V.

At Candidate/Potential Candidate Countries level: different kinds ofmanagement modes


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IPA Implementing modalities (2)

Seven different kinds of management modes

Centralised direct: funds are managed by the EC services in Brussels

Centralised direct de-concentrated: funds are managed by the EU

Delegations under the supervision of EC services in Brussels

Centralised indirect: management of funds is delegated to third parties such

as specialised EU bodies or national or international public bodies

Decentralised with ex-ante control (DIS): funds are managed by accredited

national authorities of the beneficiary, but procurement is subject to ex-antecontrol by the EU Delegation

Decentralised without ex-ante control (EDIS): funds are managed by

accredited national authorities of the beneficiary and are not subject to ex-

ante controls by the EU Delegation

Shared: funds are managed by a managing authority located in participating

Member States

Joint: funds are jointly managed with International Organisations


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Decentralisation without ex-ante control

(EDIS) is the objective for the implementation

of all IPA components where assistance is

implemented on a decentralized basis.

Implementation of IPA Component V is only

possible under this mode.

The timing varies depending on the IPA

Component concerned (on average 2,5 to3

years).


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IPA Implementing Structures Legal Framework

Commission Regulation 718/2007 of 12 June 2007

(IPA Implementing Regulation) (Chapter II, subsection 2)

Article 21 of the IPA IR - each beneficiary country should

designate the specific bodies and authorities and set up a

set of rules and procedures for implementation and sound

financial management of the IPA funds

Each country designates its own system on the basis of

the IPA IR requirements, taking into account the localspecifics and possibilities =>

Different Countriesrelatively Different Systems


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IPA Implementing Bodies and Structures (2)

National IPA coordinator (NIPAC) Competent Accrediting Officer (CAO)

National Authorizing Officer (NAO)

National fund (NF)

Operating Structure (OS) Program Authorizing Officer (PAO)

Specific Joint Structures (CBC):

Joint Monitoring Committee

Joint Technical Secretariat Operating Structure

Body Responsible for Operational Programme (BROP)

Body Responsible for Priority/Measure (BRM/P)

Implementing Agencies (IAs) Audit Authority (AA)

Final Beneficiaries

Monitoring Committees: IPA & Sectoral Monitoring Committees


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IPA Implementing Bodies - NIPAC

A high ranking official responsible for the overall coordination of

assistance under the IPA Regulations, in charge of:

partnership between the EC and the beneficiary country/ between the

accession process and the use IPA

overall responsibility for IPA programming, monitoring and

implementation / coherence and coordination of the programmes

under the respective components

annual programming for TAIB component at national level and forcoordination of CBC programmes (may delegate the task

monitoring and reporting on implementation


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IPA Implementing Bodies - Strategic coordinator (SC)

A high-ranking official in the Government of the beneficiary

country, under the responsibility of the national IPA

coordinator:

coordinates the assistance under the Regional- and theHuman Resources Development Components

drafts the Strategic Coherence Framework / ensures

coordination between sectoral strategies and programmes

Monitoring (part of the IPA and the Sectoral MC)

no direct involvement in the implementation


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IPA Implementing Bodies - Competent Accrediting

Officer (CAO)

A high-ranking official in the Government of the beneficiary country

(at the rank of a Minister of Finance)

responsible for issuing, monitoring, suspending or withdrawing

the national accreditation of the National Authorising Officer

and the Head of the National Fund


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IPA Implementing Bodies - National Authorizing Officer

(NAO)

A high-ranking official in the government or the state administration

of the beneficiary country and Head of the National Fund with

overall responsibility for:

financial management of EU funds

legality and regularity of the transactions

effective functioning of management and control systems

issuing, monitoring and suspending or withdrawing the national

accreditation of the Operating Structures


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IPA Implementing Bodies - National fund (NF)

A body located in a Ministry the beneficiary country with central

budgetary competence (Treasury in the Ministry of Finance)

in charge of financial management of IPA, under the

responsibility of the NAO.

organising the bank accounts

requesting funds from the EC

authorising the transfer of funds from the EC to the operating

structures or to the final beneficiaries

financial reporting to the EC.


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IPA Implementing Bodies - Operating Structure (OS)

A body or a collection of bodies within the administration of the

beneficiary country established for each IPA component, responsible

for management and implementation of assistance under specific

IPA component or operational programme. Tasks:

drafting the annual or multi-annual programmes

monitoring programme implementation and guiding the work of the

sectoral monitoring committee

drawing up the sectoral annual and final implementation reports ,

submitting them to the EC, NIPAC and NAO

ensuring that operations are selected for funding and approved in

accordance with the applicable criteria and mechanisms setting up procedures for an adequate audit trail

tendering-, grant award procedures, contracting, making payments

and recovery from the final beneficiaries


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IPA Implementing Bodies - Operating Structure

(cont.)

ensuring that all bodies involved in the implementation of

operations maintain a separate accounting system

ensuring that the NF and the NAO receive all necessary

information on the procedures and verifications carried out in

relation to expenditure

setting up, maintaining and updating the reporting and

information system

Carrying out verifications on expenditure declared, products or

services delivered, and the payment

ensuring internal audit of its different constituting bodies

ensuring irregularity reporting

ensuring compliance with information and publicity requirements

.


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IPA Component I

Programme Authorising Officer (PAO)

Senior Programme Officers (SPOs)

Implementing Agency (CFCU)


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IPA Implementing Bodies Programme Authorising

Officer (PAO)

Part of the Operating Structure for Component 1 and 2

Under the overall accountability of the NAO, takes theresponsibility for the overall tendering, contracting, payments,

accounting and financial reporting aspects of all procurement

in the context of the IPA component I

Assisted by a Senior Programme Officers (SPOs) Designated as the head of the Implementing Agency (in case of

CFCU as IA, the PAO is the head of the CFCU)

programmes


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IPA Implementing Bodies - Senior Programme

Officers (SPOs)

Part of the Operating Structure for Component 1

Officials working with the final beneficiaries, normally as heads

of Project Implementation Units responsible for the technical aspects of the IPA projects

endorse commitments and disbursement documents prior to their

transmission by the CFCU

technical implementation and reporting / provide input into thepreparation of financial and reporting documents

prepare ToRs/Technical Specifications

submit requests to launch tenders, request to negotiate and

conclude contracts

endorse payments against invoices

may delegate responsibility to a maximum of two officials within

the same Ministry or Agency


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IPA Implementing Bodies - IPA Component II

Operating Structure (OS)

Joint Monitoring Committee (JMC)

Joint Technical Secretariat (JTS)


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IPA Component II For each CBC programme, each participating beneficiary country

establishes an operating structure for the part of the programme

relating to the country concerned

The Oss of the participating beneficiary countries cooperate closely inthe programming and implementation of the relevant CBC

programme

For each CBC programme the relevant OSs set up a Joint Technical

Secretariat to assist the OSs (and the Joint Monitoring Committee

where each OS is represented)

The OSs in each participating beneficiary country includes one

Implementing Agency headed by PAO appointed by NAO,responsible for the tendering and contracting, payments accounting

and financial reporting aspects of the procurement of services,

supplies, works and grants for the part the cross-border programme

concerning the respective country.


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IPA Implementing Bodies Joint Structures IPA II

Joint Monitoring Committee (JMC)

Oversees the programming and implementation of the programme.

Considers and approves selection criteria.

Responsible for selecting projects, but may delegate this task to a

Steering Committee.

Examines annual reports.

Approves any proposal to amend the programme

Joint Technical Secretariat (JTS)

In charge of day-to-day management of the programme.

Assists the JMC and OS in carrying out their duties.

Organises calls for proposals, monitors project implementation.


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IPA Implementing Bodies Operating Structures

IPA III and IV

Body Responsible for Operational Programme (BROP)

Body Responsible for Priority/Measure (BRM/P)

Implementing Agency


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IPA Implementing Bodies BROP

Coordination of the OP preparation, amendments and submission toNIPAC for adoption

Evaluation of OPs (ex-ante and interim) and programme monitoring

Considers and approves the general criteria for selection of operations

Establishment of the sectoral monitoring committee

Coordination and preparation of sectoral annual and final reports

Setting up procedures for an adequate audit trail

Ensuring maintenance of a separate accounting system

Ensuring that the NF and the NAO receive all necessary information on

the procedures and verifications carried out in relation to expenditure

Ensuring internal audit of its different constituting bodies

Ensuring irregularity reporting

Ensuring compliance with the information and publicity requirements.


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IPA Implementing Bodies - BRP/M

Preparation of the sections of the OPs within its area of responsibility,drafting priorities and measures

Technical implementation of sectoral measures/projects

Preparation of monitoring data/reports /documents for SMC Preparation of TS/ToRs (when performs the role of the beneficiary)

Preparation of Guidelines for Call of proposals and publishing of the calls

Proposing evaluators to evaluation committees and members to PSC

Verification and approval of requests for payment and submission to NF

Transfer of national co-financing funds from treasury to IAs sub-account

Performing on spot checks on a sample basis

Monitoring technical implementation of the projects

Setting up irregularity reporting and internal audit


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IPA Implementing Bodies - Implementing Agencies

(IAs)

Contracting Authorities established within the national administration

for each IPA component responsible for the financial implementation

of the programme, in charge of:

assisting the PAO in the good and timely preparation and

implementation of operations at technical level

coordination within each priority axis

inputs in drafting priorities and measures for annual or multi annualprogrammes to the BRP/M

Provision of information for the sectoral monitoring committees

Contribution to the preparation of the sectoral annual and finalimplementation reports


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(2)

Directly responsible for procurement, contract implementation and

payments on the project level

Ultimate responsibility for the Tendering processannouncement oftenders, calls, launch of tenders, evaluation, preparation and signature

of contract and addenda dossiers)

Preparation of tender documents - verification of TS/ToRs

(procurement) received from Beneficiaries

Verification of the Guidelines for Calls for proposals, prepared by the

BRP/M and preparation of complete Application package

Provision of clarifications to tenderers, grants applicants Approval of the composition of the Evaluation Committee/s; chairing

tender evaluations and preparation of ev. reports;

s;


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(3) Signing contracts and supervision of the technical

implementation of the projects

Ultimate responsibility for the project financial and accounting issues

Participation in the Project Steering Committees Carrying out verification checks

Preparation of requests for payment and submission to the BRM/P

Making payments to Contractors/Grant beneficiaries and recovery of

funds Maintain a separate accounting system

Set up Internal audit

Ensuring that the BRP/M receives all necessary information on the

procedures and verifications carried out in relation to projects

implementation and payments ensuring an adequate audit trail

Irregularity reporting


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IPA Implementing Bodies Audit Authority (AA)

Body functionally independent from all actors in the

management and control system and complying with

internationally accepted audit standards responsible for auditing

the organisational set-up and the functionality of the

structures for management of pre-accession funds

During the course of each year establishes and fulfills an annual

audit work plan which encompasses audits aimed at verifying

the effective functioning of the management and control systems,

and the reliability of accounting information provided to the

Commission.


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IPA Implementing Bodies Monitoring Committees

The IPA Monitoring Committee - representatives of the EC, the

NIPAC, the NAO, OS, and the SC (co-chaired by EC and NIPAC) -

ensures the overall coherence and coordination between theprogrammes and operations implemented under the different

components, as well as for any cross component corrective measures

needed to ensure the achievement of the global objectives of the

assistance provided. Sectoral Monitoring Committees - set up under the IPA

components, attached to programmes or components - makes

proposals to the EC, the NIPAC and NAO for any corrective measures

to ensure the achievements of programme objectives and reports tothe IPA MC on the progress made in implementing the programmes,

by priority axis


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IPA Operating Structure for Component II in Albania


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IPA I l ti St t f C t III (RCOP)


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IPA Implementing Structure for Component III (RCOP)

Croatia


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IPA Implementing Structures III and IV - Serbia


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IPA Implementing Structures Component IV Turkey


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Accreditation Process and Conferral of Management of

powers

Objective: Ownership by the national authorities over the whole

program management cycle (programming, tendering and procurement,

contracting, payments, implementation, monitoring and evaluation, auditand reporting)

The established structures and procedures for independent management

and implementation of the assistance are subject of assessment and

accreditation by the EC

Once the EC is assured that those structures and procedures are ready to

take over the responsibilities from the EU delegations, it confers to them

the management powers, i.e issues them with accreditation for

decentralized management of EU funds


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Accreditation Process and Conferral of Management of

powers

Two phases in the decentralisation process:

Decentralised management with ex-ante control by the

European Commission (Decentralised Implementation System

- DIS)

Decentralised management without ex-ante control by the

European Commission (Extended Decentralised

Implementation System - EDIS).

IPA Components I-IV subject to both DIS and EDIS

Implementation of IPA Component V possible only under EDIS


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Accreditation Process

Process of assessing the readiness of certain structures for the

management and use of EU funds in accordance with clearly

defined criteria

DIS Road Mapdefines timeframe for the steps and actions tobe taken as well as indicators for measuring the fulfillment of the

accreditation preconditions for conferred management powers

under DIS:

Established structures

Staffing and procedures approved

Conducted self assessment

National accreditation obtained


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Accreditation Process

Five Stages Process:

Stage ZeroEstablishing the framework for the management and

control system

Stage One - Gap Assessment

Stage Two - Gap Plugging

Stage Three - Compliance Assessment

Stage Four - National Accreditation and the submission of

application for the conferral of management powers (accreditation

package)

Stage Five Preparation for the EC decision and Conferral of the

Management Powers


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(E)DIS Structures and Accreditation State of play in

Serbia (Candidate Status expected in December)

All key DIS stakeholders on the side of the Serbian administration

are established and they have passed the stages 1 and 2 of theDIS Roadmap.

The start of the Compliance assessment of the structures and

procedures for components I, II, III, IV and V (stage 3) is

expected for the end of October/beginning of November 2011.

The Government of Serbia will submit the accreditation packages

to the European Commission upon obtaining the candidate status

(E)DIS St t d A dit ti St t f l i


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(E)DIS Structures and Accreditation State of play in

the Potential Candidate countries

Albania - by the end of 2009 established most of the framework for

the management and control system. Under IPA I, compliance

assessment has been completed and the accreditation is expected inthe first half of 2012. Under IPA II, III, IV, gap plugging is expected to

start by the end of 2011, the compliance assessment is foreseen for

first half of 2012, and the accreditation itself by December 2012. For

IPA V, the compliance assessment has been completed and the

accreditation package has been prepared but its submission to the EC

depends on obtaining the candidate status of the country.

Bosnia and Herzegovina has completed Stage O and is moving

towards Stage 1 Kosovo: is still at a very early stage of this process: NIPAC and the

SPOs have been appointed

Exercise


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Please form working groups by country and discuss the state of play inyour countries with regards to DIS:

identify the main further steps to be taken with regards to DIS or

EDIS accreditation: what frameworks, structures, procedures still

need to be put in place and what type of training and capacitybuilding is still needed?

expectations for accreditation (according to the national Road

Maps)?

challenges and problems with running the DIS operations ?

What would you change if in a position to influence the design of

the system (at EU level)?

For CRO, TR and MK participants what would you advise yourcolleagues from the PCC (lessons learned)

Give short presentations

Documents

M 1.3 Implementing Structures