SELF ASSESSMENT SHEET (SAS) BRIEFING 21 st May 2009

SELF ASSESSMENT SHEET (SAS) BRIEFING

21st May 2009

CFCU-SAS Briefing-2009 2

TOPICS

I. Brief information on previous action “1st SPOs Round Table Meeting”

II. Focus on SASIII. Workload Analysis

(for years 2009, 2010, 2011)IV. To submit of the SASV. Next step


Brief information on previous action named as “1st SPOs Round Table Meeting

SPOs in IPA Component I (Article 75/3 of the IPA Regulation No.718/2007)

The SPOs are “designated” by the PAO

“Overall supervision” of the PAO was replaced with the “Overall Responsibility”

A “functional hierarchy” between the PAO and SPOs is foreseen.

I


Be responsible for the technical aspect of the operations within the ministries.

Assist the programme authorising officers project in the good and timely preparation and implementation of operations at technical level.

Be in charge of the coordination within each priority axis set down in the beneficiary country’s project proposal.


Senior Programme Officers shall; I


According to the European Commission,

It is not something limited to just a “supervision” on the top but also implies a “functional hierarchy” and therefore requires some quality/capacity related interventions including “mini-accreditation” over the SPOs.

PAO is accountable to the NAO for the actions of the SPOs

PAO must actively monitor the effectiveness of SPO controls

PAO must reject files submitted by an SPO not implementing effective controls.


Overall Responsibility? I


the control of the SPOs/LMs’ sub-systems

whether the SPOs and SPO Offices are ready to assume the responsibilities assigned to them in the Operational Agreements (OAs).

whether this initial readiness continues during the implementation of the project


These fundamental principles lead CFCU/PAO to; I


Formal requirements to be acknowledged

Minimum requirements for the staffing of the SPO offices

Minimum criteria for the internal organization of the SPO offices

Focus on SAS

http://www.cfcu.gov.tr/spo.php?lng=enII


Focus on SAShttp://www.cfcu.gov.tr/spo.php?lng=en

IICRITERION STATEMENT EXPLANATIONS

1 Formal Requirements to be Acknowledged YES NO

a SPO, as the head of the SPO Office/Project Team is clearly designated and is responsible for the tasks assigned to this staff

Refer to 4.2, in PIM and the PAO’s designation, or otherwise respective article of the Implementing Regulation

b SPO/Office staff has full legal authority to fulfill their functions

Refer to legal provisions, internal designations

SPO has his own financial sources pursuant to the Law No.5018

Refer to legal status

c Declaration of Assurance signed as attached with the Operational Agreement

Refer to 4.2.1 in PIM and the correspondences with the CFCU

d “Programme Management Guidelines” received and disseminated to all staff

Refer to link, http://www.cfcu.gov.tr/spo.php and internal correspondences of information notes

e “Guideline for Preparation of the Market Research Study” received and disseminated to all staff

Refer to link http://www.cfcu.gov.tr/SPOs/TOOLs/market_research.pdf and internal correspondences of information notes


Focus on SAS

Minimum Requirements for the Staffing of the SPO Offices

IIa All the assigned staff has proficiency in English Enclose the CVs and language certificates

b All the assigned staff has the required skills/expertise on the projects assigned to

Enclose the CVs in the form of link http://ec.europa.eu/europeaid/work/procedures/implementation/services/documents/b8_annexivexperts_en.doc

c All the assigned staff has no other assignment Please mention, if any, permanent of temporary

d All the assigned staff has familiar with the PCM, PRAG rules and DIS system in Turkey

Please refer to the training programmes that the staff participated. Also, mention that which staff involved to which project(s)’ preparation/implementation, if any

e Detailed job descriptions for each post in management of projects/programmes

Enclose the job descriptions on the basis of section 4,5,6,7 in PIM

f All the assigned staff has enough number of PCs/laptops with the passwords in their official usage

Refer to the number of the PCs/laptops

g All the assigned staff has their own official e-mail addresses (…gov.tr)

List the e-mail addresses

h Enough staff allocated to the projects/programmes

Refer to their internal designation, permanent or temporary status and also check the necessary number of staff through workload analysis.


Focus on SAS

Minimum Criteria for the Internal Organization of the SPO Offices

IIa SPO Office is situated in any type of organization in the

Turkish Administration (General Directorate, individual department etc.)

Mention type of organization

b SPO carries out his responsibilities by means of an SPO Office or an ad hoc “Project Team” under the main organization

Mention type of organization

c A sound organigram of the organization is available in a kind of flow chart with illustration of all hierarchical links

Enclose the organigram or flowcharts

d An appropriate document “retention policy” (archiving procedures) is available (at least seven years, Implementing Regulation, Article 80)

Refer to 5.7 in PIM and related provisions of the line ministry

e An appropriate IT system including data management and security is functioning

Explain the current situation of the IT system


Focus on SAS

Minimum Criteria for the Internal Organization of the SPO Offices

IIf SPO is provided with some independent reviews of the

functioning of his systems at subordinate levels (Internal Control)

Refer to the Internal Control function, if any

g SPO provides the identification of “sensitive post” and the minimizing risk actions in place as regards of sensitive posts

Refer to section 6 in particular 6.5, the Sensitive Post, forms on assessment of the staff

h SPO ensures “double check” of all steps in a transaction e.g. preparation of technical specifications and terms of references, nomination of the Evaluation Committee voting members, approval of timesheets, invoices (“read and approved”)

Illustrate the check points in all aspect of workflows

ı SPO ensures that where different tasks in the life of the same transaction are allocated to different staff to ensure some automatic cross-checking controls

Refer to section 4 and 6 for division of labour among the staff if possible formal division may be in use

i As the Irregularity Officer, SPO delegates this function to ensure that the procedures relating to “reporting irregularities” are properly managed

Refer to contact details of the delegated officer and section 7 in PIM for responsibility of delegated officer


Workload Analysis

(for years 2009, 2010, 2011) IIIWorkload Analysis (for years 2009, 2010, 2011)

STEP 1 Projects within NP (2005, 2006, 2007, 2008 and 2009)

STEP 2 Hours needed for each type of project(fwc, service, supply, works, twinning & grants) Daily activities of your ministrySTEP 3 Available man days for assigned staffSTEP 4 Calculation of necessary workload


Workload Analysis

STEP 1- Projects within NP

Number of projects for each NP

2005 2006 2007 2008 2009

Works

Service

Supply

Grant

Direct Grant

Twinning

Twinning - Light

FWC

SEI-Service

SEI-FWC

Expected execution for each category

2009 2010 2011

Works

Service

Supply

Grant

Direct Grant

Twinning

Twinning - Light

FWC

SEI-Service

SEI-FWC

III


Workload Analysis

STEP 2 - HRS. NEED FOR EACH TYPE OF PROJECTS

Necessary actions in hrs. for each category during tendering, contracting

Programming Preparation of ToR Preparation of TS Evaluation Committee Preperation of Monitoring Reports Sub/Shadow Monitoring Committee Steering Committe Meetings Progress Reports Approval of reports and invoices Provisional Acceptance Final Acceptance

Daily Activities in Ministry

Missions Correspondences Stakeholders Shareholders Others

III


Workload Analysis

STEP 1 & STEP 2

Affiliate Step 1 and Step 2

It can be changed from institution/ministry to instition/ministry

III


2009 2010 2011

Name of the Activities for contract

Hrs. Hrs Hrs. contract/project and projects

TR 502.**/SRV/001Progress Reports ●

Approval of Reports & Invoices ●

TR 601.**/S/002Provisional Acceptance ●

Final Acceptance ●

EuropeAid/....

Preparation of ToR ●

Preparation of TS ●

Evaluation Committee ●

Sub/Shadow Monitoring ●

Steering Committee ●

Progress Reports ●

EuropeAid/....

Preparation of ToR ●

Preparation of TS ●

Evaluation Committee ●

Sub/Shadow Monitoring ●

Steering Committee ●

Progress Reports ●

2009 NP 2010 NP Programming ● ●

DAILY ACTIVITIES IN MINISTRY ● ● ●

TOTAL HRS. NEED (Future Need Hourly)

● FILLED BY THE BENEFICIARY

FUTURE NEED ANALYSIS


Workload Analysis

STEP 3 - Available man days for assigned staff

2009

Working Annual Sick Military Pregnancy Usual Work Available

Hours Leave Leave Service in Ministry Days

Name 2016 120 or 176 80 1080 1080

Mr. X

.......................

2010



Name 2000 120 or 176 80 1080 1080

Mr. X

2011



Name 2032 120 or 176 80 1080 1080

Mr. X

III


Workload Analysis

STEP 4 – Necessary Workload

Total

Future Need/Hourly Available HR/hourly Gaps

2009 2010 2011 2009 2010 2011 2009 2010 2011

Staff A B C

Needed Human Resources

A, B, C = Future Need - Avaliable Human Resources

If A, B, C is positive then,Needed Human Resources= A, B, C / Average Available Man days

III


Workload Analysis

Affiliate these 4 steps in one excel sheet enclosed to SAS

If necessary please give an explanation for workload analysis

III


To submit of the SAS IV Fill the SAS up properly,

Attach to all the additional documents stated in the sheet,

Prepare all the document as a folder,

Attach the official letter of SPO in front,

Submit to the CFCU by the end of 29th May 2009


1. Self assessment sheet

- Collect all the SASs from SPO Offices

- Analysis of the coming data and documents

- Prepared a report

- Attached the CFCU side visits/spot checks plan

2. Presented the outputs to PAO approval

3. Reporting to the NAO (NAO to inform the EC accordingly)

NEXT STEP IV


Thanks for your attention

Documents

SELF ASSESSMENT SHEET (SAS) BRIEFING 21 st May 2009