1. PREPARATION OF IPA II ACTION DOCUMENT(AD)
All presentations are available on the PPF5 website:

2. Training Objectives
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
The Country Strategy Papers (CSP) and the Multi-Country Strategy Paper (MCSP) are the overarching
strategic planning documents from which priorities and objectives of individual programmes derive.
The role of the Country Strategy Papers is to set the frame for financial assistance over the period ,
to prepare the ground for Action Programmes, to identify priorities and sequencing for the reforms and
investments and to ensure a coherent and consistent approach in line with the enlargement agenda.
Similarly, a Multi-Country Strategy Paper defines priorities and conditions for achievement at regional level
for multi-beneficiary programmes and for territorial cooperation programmes.
The European Commission and each Beneficiary shall conclude a Framework Agreement (FA) for the entire
programming period. The FA sets out specific provisions for the management, implementation, control,
supervision, monitoring, evaluation, reporting and audit of IPA assistance. The FA also transposes into the
legal order of the Beneficiary relevant provisions and further details of the IPA II Regulation, the Common
Implementing Rules, the Financial Regulation and its Rules of Application.
IPA can only be granted to the Beneficiary after the Framework Agreement has entered into force.
The Framework Agreement shall apply to all Financing Agreements.

3. Several novelties under IPA II…
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*...
The Country Strategy Papers (CSP) and the Multi-Country Strategy Paper (MCSP) are the overarching
strategic planning documents from which priorities and objectives of individual programmes derive.
The role of the Country Strategy Papers is to set the frame for financial assistance over the period ,
to prepare the ground for Action Programmes, to identify priorities and sequencing for the reforms and
investments and to ensure a coherent and consistent approach in line with the enlargement agenda.
Similarly, a Multi-Country Strategy Paper defines priorities and conditions for achievement at regional level
for multi-beneficiary programmes and for territorial cooperation programmes.
The European Commission and each Beneficiary shall conclude a Framework Agreement (FA) for the entire
programming period. The FA sets out specific provisions for the management, implementation, control,
supervision, monitoring, evaluation, reporting and audit of IPA assistance. The FA also transposes into the
legal order of the Beneficiary relevant provisions and further details of the IPA II Regulation, the Common
Implementing Rules, the Financial Regulation and its Rules of Application.
IPA can only be granted to the Beneficiary after the Framework Agreement has entered into force.
The Framework Agreement shall apply to all Financing Agreements.

4. Hierarchy of Strategic Documents Action Documents (ADs)
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)
(Draft) Action Programme (AP)
The Country Strategy Papers (CSP) and the Multi-Country Strategy Paper (MCSP) are the overarching
strategic planning documents from which priorities and objectives of individual programmes derive.
The role of the Country Strategy Papers is to set the frame for financial assistance over the period ,
to prepare the ground for Action Programmes, to identify priorities and sequencing for the reforms and
investments and to ensure a coherent and consistent approach in line with the enlargement agenda.
Similarly, a Multi-Country Strategy Paper defines priorities and conditions for achievement at regional level
for multi-beneficiary programmes and for territorial cooperation programmes.
The European Commission and each Beneficiary shall conclude a Framework Agreement (FA) for the entire
programming period. The FA sets out specific provisions for the management, implementation, control,
supervision, monitoring, evaluation, reporting and audit of IPA assistance. The FA also transposes into the
legal order of the Beneficiary relevant provisions and further details of the IPA II Regulation, the Common
Implementing Rules, the Financial Regulation and its Rules of Application.
IPA can only be granted to the Beneficiary after the Framework Agreement has entered into force.
The Framework Agreement shall apply to all Financing Agreements.
Financing Proposal
Annexed: ADs
Commission Implementing Decision
Annexed: AP
Financing Agreement

5. Basic Terms used in IPA II
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.)
Country Country Strategy Paper/Multi – Country Strategy Paper - In the context of IPA, programming translates the priorities identified in the Country Strategy Papers and the Multi-Country Strategy Paper (which 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
- Activities represent a key element of the Intervention Logic (capacity-building, consultancy, studies, support to infrastructure, supply of equipment, etc.)

6. In the context of Country Action Programmes in particular, a choice needs to be made between Sector
Support Actions and Stand-alone Actions, the former being the target for financial assistance in the coming
years.
Sector Support Actions
The shape and the content of the Action Programmes will differ from one Beneficiary to another and will
depend on the level of readiness to embrace the Sector Approach. Sector Support Actions can be developed
in two different ways according to this degree of maturity, and the following two Options accordingly:
 A fully-fledged Sector Support Action (OPTION 1) aiming at supporting a Sector on the basis of a
Beneficiary-owned (national) Sector Programme (either fully or in part) which fulfils the essential
criteria for adopting the Sector Approach (existence of a national sector policy/strategy; institutional
leadership and capacity; relevant sector donor coordination; sector budget and medium-term
expenditure; performance monitoring framework).
 A Sector Support oriented Action (OPTION 2) aiming at supporting a given Sector, for which the
conditions for the Sector Approach are not yet in place and helping the Beneficiary proceed gradually
to the preparation of Option 1 (fully-fledged Sector Support) Actions.). The document is to be
The Sector Approach assessment should have been carried out already in the context of the preparation of the Country
Strategy Papers (preliminary assessment). It is developed by the Beneficiary in close collaboration with the EC and EUD and updated over the years to be used as a programming reference for successive Action Programmes.
It reflect the methodology used under former IPA , with the introduction of
“Sector Fiches”, with the difference that it would be based on a living document with a multi-annual
Perspective.
 A Stand-alone Action (OPTION 3) would be an Action for which the Sector Approach is neither
appropriate nor necessary in the context of preparation for accession (e.g. technical support on some
specific parts of the EU acquis) or a horizontal or ad hoc intervention (e.g. programme preparation
facility; contribution to an EU programme or agency; etc.).

7. SECTOR BASED AD/ STAND ALONE AD
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
Responsibilities
Preparation by the Republic of Serbia.
Supervision and quality control by the EU Delegation and EC services
SECTOR BASED AD/
STAND ALONE AD

8. ANALYSIS PHASE IN PREPARATION OF IPA AD UNDERSTAND, IDENTIFY EXPLAIN,
ASSESS,
DEFINE,
STRUCTURE
ACTION
Country Country Strategy Paper/Multi – Country Strategy Paper - In the context of IPA, programming translates the priorities identified in the Country Strategy Papers and the Multi-Country Strategy Paper (which 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
- Activities represent a key element of the Intervention Logic (capacity-building, consultancy, studies, support to infrastructure, supply of equipment, etc.)

9. what institutional and organisational issues should be addressed
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
Then provide Action Rationale…
Country Country Strategy Paper/Multi – Country Strategy Paper - In the context of IPA, programming translates the priorities identified in the Country Strategy Papers and the Multi-Country Strategy Paper (which 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
- Activities represent a key element of the Intervention Logic (capacity-building, consultancy, studies, support to infrastructure, supply of equipment, etc.)

10. 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.
Rationale…
Relevance with
Country Country Strategy Paper/Multi – Country Strategy Paper - In the context of IPA, programming translates the priorities identified in the Country Strategy Papers and the Multi-Country Strategy Paper (which 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
- Activities represent a key element of the Intervention Logic (capacity-building, consultancy, studies, support to infrastructure, supply of equipment, etc.)

11. key recommendations and follow-up of the relevant evaluation(s)
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?
Rationale…
Lessons learned
Country Country Strategy Paper/Multi – Country Strategy Paper - In the context of IPA, programming translates the priorities identified in the Country Strategy Papers and the Multi-Country Strategy Paper (which 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
- Activities represent a key element of the Intervention Logic (capacity-building, consultancy, studies, support to infrastructure, supply of equipment, etc.)

12. Sector Maturity based on main EC assessment criteria
An overview of
Sector Maturity based on main EC assessment criteria
Rationale…
Sector Approach
Assessment
Country Country Strategy Paper/Multi – Country Strategy Paper - In the context of IPA, programming translates the priorities identified in the Country Strategy Papers and the Multi-Country Strategy Paper (which 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
- Activities represent a key element of the Intervention Logic (capacity-building, consultancy, studies, support to infrastructure, supply of equipment, etc.)

13. Sector Approach in IPA Pogramming for Serbia
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
Country Country Strategy Paper/Multi – Country Strategy Paper - In the context of IPA, programming translates the priorities identified in the Country Strategy Papers and the Multi-Country Strategy Paper (which 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
- Activities represent a key element of the Intervention Logic (capacity-building, consultancy, studies, support to infrastructure, supply of equipment, etc.)

14. EC Assessment Criteria for Sector Approach
Key Criteria
National sector policies/ strategies
Institutional setting, leadership & capacity
Sector & donor coordination
Mid-term budgetary perspective
Monitoring & performance assessment framework
Public finance management
Macro-economic framework

15. Overall Assessment
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.
Country Country Strategy Paper/Multi – Country Strategy Paper - In the context of IPA, programming translates the priorities identified in the Country Strategy Papers and the Multi-Country Strategy Paper (which 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
- Activities represent a key element of the Intervention Logic (capacity-building, consultancy, studies, support to infrastructure, supply of equipment, etc.)

16. 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.
Discussion/group work based upon Key questions in line with EC criteria that are considered essential for
sector approach...
Country Country Strategy Paper/Multi – Country Strategy Paper - In the context of IPA, programming translates the priorities identified in the Country Strategy Papers and the Multi-Country Strategy Paper (which 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
- Activities represent a key element of the Intervention Logic (capacity-building, consultancy, studies, support to infrastructure, supply of equipment, etc.)

17. Logical Framework Approach
Analysis phase:
Preparatory analysis – situation analysis
Stakeholder analysis
Problem analysis Objective analysis
Strategy analysis
Planning phase:
Logical Framework Matrix
Activity scheduling
Resource scheduling

18. Stakeholder Analysis

19. Stakeholder Analysis 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.

20. Technicians (Solutions) Recipients (Problems)
Stakeholder Analysis
Politicians (Values)
Technicians (Solutions)
Recipients (Problems)

21. Public Administration Consultants and researchers
Stakeholder Analysis
POLITICIANS
TECHNICIANS
RECIPIENTS
PUBLIC SPHERE
Government
Public Administration
Local Communities
PRIVATE SPHERE
Chambers
Consultants and researchers
SMEs
SOCIAL SPHERE
Trade Unions
Universities
CSOs

22. Stakeholder Analysis
Questions of authority
Previous experience
Interests
Different stakehoders perceive same changes in different ways
Occupations and relations
Pressure at work
Personal characteristics
Priorities

23. Stakeholder Analysis 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

24. Group Work
Stakeholder Analysis

25. SWOT Analysis

26. SWOT is a method for conducting
SWOT Analysis
SWOT is a method for conducting
situation analysis
Participatory approach
Subjective stands of the group
Facilitates problems and objectives identification

27. Identify S. W. O. T. , then analyze through
SWOT Analysis
SWOT analysis
Internal factors
Strengths
Weaknesses
External
factors
Opportunities
Threats
Identify S. W. O. T. , then analyze through
SWOT Matrix
strategic choices

28. How do we use our strengths to exploit the opportunities?
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?

29. High unemployment rate of young population
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
Minimise unemployment to exploit young labour force
Invest on high education to qualify young labour force
Invest on high education
to avoid brain-draining
Minimise unemployment to avoid brain-draining

30. Problem Analysis

31. Establishing the roots of causes
Problem Analysis
Establishing the
roots of causes
in order to focus the intervention design on them and not solely to the
symptoms of problems!

32. cause and effect relations between identified
Problem Analysis
Process of identification of negative aspects of some existing situation and establishment of
cause and effect relations between identified
aspects / problems.

33. Problem Analysis
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.

34. Precise defining of framework and object of analyses
Problem Analysis
Precise defining of framework and object of analyses
Identification and formulation of the problems
Selection of primary or focal problem(s)
Problem tree development

35. Problem Analysis
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

36. Public transportation in Tac City
Problem Analysis
Public transportation in Tac City

37. Problem Analysis Bus Company is losing money
Frequent traffic accidents
Insufficient maintenance of busses
Busses are in bad
technical conditions
Bad quality of roads
Passengers use alternative
traffic means
Bus Company losing trust of the passengers
Busses are very old
Passengers suffer injuries or die
Busses do not
arrive and leave on time
Reckless driving of
bus drivers
Increased traffic jams in the city
Passengers arrive late

38. Problem Analysis
Technique for establishing cause-effect relations between problems and its visualization

39. Picture of existing negative state of affairs
Problem Analysis
Picture of existing negative state of affairs
Effects
Central problem
Causes

40. Problem Analysis
Identification of primary or focal problem(s)
Identification of essential direct causes of primary problem – first order causes
Identification of essential and direct effects of primary problem – first order effects
Identification of second order causes and effects, third order, etc.
Problem tree construction – drawing cause-effect relations, bottom up
Problem tree review

41. Problem Analysis Focal problem Effect Effect Effect Effect Cause Cause

42. Problem Analysis Bus Company is loosing money
Increased traffic jams in the city
Passengers use alternative
traffic means
EFFECTS
Bus Company losing trust of the passengers
Passengers arrive late
Passengers suffer injuries or die
Busses do not
arrive and leave on time
Frequent traffic accidents
CENTRAL
PROBLEM/S
Busses are in bad
technical conditions
Reckless driving of
bus drivers
CAUSES
Insufficient maintenance
of busses
Busses are very old
Bad quality of roads

43. Group Work
Problem Analysis

44. Objective Analysis

45. Objective Analysis
Process in which Problem tree is converted into Objective/solution tree and analysis of that product
PROBLEM TREE OBJECTIVE TREE

46. Objective Analysis
Reformulate each problem in a “problem tree” into a positive statement (objective)
Verify hierarchy of objectives
Visualization of relationships in a diagram

47. Problem Tree Objective Tree
Objective Analysis
Problem Tree
Effects
Focal problem
Causes
Objective Tree
Overall objectives
Project Purpose
Results

48. Outdated technologies Low skilled labour Updated technologies
Rural exodus
Rural immigration
High unemployment
Lower unemployment
Low productivity
Higher productivity
Outdated technologies
Low skilled labour
Updated technologies
Higher skilled labour
Poor education facilities
Better education facilities
Country Country Strategy Paper/Multi – Country Strategy Paper - In the context of IPA, programming translates the priorities identified in the Country Strategy Papers and the Multi-Country Strategy Paper (which 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
- Activities represent a key element of the Intervention Logic (capacity-building, consultancy, studies, support to infrastructure, supply of equipment, etc.)
.. Is caused by..
.. Will lead to...

49. Objective Analysis
Starting from the top reformulate all elements of Problem tree into a positive, desirable conditions
Instead of cause-effect relations in Problem tree, established relations are means-solution or means-objective
Starting from the bottom check whether established means-objective relations are logic and valid

50. Objective Analysis
4. If needed:
revise objective statements
erase solutions/objective which are unrealistic or unnecessary
add new solutions/objectives where necessary
5. connect with lines to show means-solutions or means-objective relationships

51. Objective Analysis Overall objective Results Specific objective(s)
Improved traffic situation in the city centre
Buss Company makes profit
Overall objective
Increased number of people use public transport
Trust of the passengers regained
Specific objective(s)
Passengers arrive on time
Increased safety of the passengers
Busses arrive and leave in line with schedule
Number of accidents has decreased
Busses are in good
technical condition
Drivers drive more carefully
Results
Busses are well maintained
Old busses are being
replaced
as needed
Good quality of roads

52. Strategy Analysis Alternatives Analysis

53. Strategy Analysis
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

54. Strategy Analysis
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.

55. Strategy Analysis
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?

56. Strategy Analysis passengers drivers busses roads
Improved traffic situation in the city centre
Buss Company makes profit
Increased number of people use public transport
passengers
Trust of the passengers regained
Passengers arrive on time
Increased safety of the passengers
drivers
Busses arrive and leave in line with schedule
Number of accidents
has decreased
busses
Busses are in good
technical condition
Drivers drive more carefully
roads
Busses are well maintained
Old busses are being
replaced
as needed
Good quality of roads

57. DEVELOPMENT PHASE in preparation of AD

58. Overall Objective /Enlargement Strategy
Intervention Logic
NAD /CSP
SPD AD
Overall Objective /Enlargement Strategy
Priority /Target
Overall Objective
Measure
Specific Objective
Overall Objective
Specific Objective
Results
Results

59. Sector Planning Document
Sequencing
Sector Planning Document
Action Document
Specific Objective 1
Specific Objective 2
Results R1 R2 R3 R4 R5 R6 R7 R8
Results
2015 R1 R2
2016 R3 R4 R5 R6
2017 R7 R8

61. LFM - Completion Overall objective (1) Indicators (8)
Sources of verification
(9)
Specific objective
(2)
(10)
Sources of verification (11)
Assumptions
(7)
Results
(3)
(12)
Sources of verification (13)
(6)
Activities
(4)
Implementation Modalities
Costs
Assumptions (5)

62. Performance measurement and Indicators
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
Country Country Strategy Paper/Multi – Country Strategy Paper - In the context of IPA, programming translates the priorities identified in the Country Strategy Papers and the Multi-Country Strategy Paper (which 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
- Activities represent a key element of the Intervention Logic (capacity-building, consultancy, studies, support to infrastructure, supply of equipment, etc.)

63. Indicators
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
Country Country Strategy Paper/Multi – Country Strategy Paper - In the context of IPA, programming translates the priorities identified in the Country Strategy Papers and the Multi-Country Strategy Paper (which 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
- Activities represent a key element of the Intervention Logic (capacity-building, consultancy, studies, support to infrastructure, supply of equipment, etc.)

65. Indicator measurement (AD)
Description
Baseline (year)
Target (year)
CSP indicator (if applicable)
Action outcome indicator1
Action outcome indicator2
Etc.
Country Country Strategy Paper/Multi – Country Strategy Paper - In the context of IPA, programming translates the priorities identified in the Country Strategy Papers and the Multi-Country Strategy Paper (which 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
- Activities represent a key element of the Intervention Logic (capacity-building, consultancy, studies, support to infrastructure, supply of equipment, etc.)

66. Implementation Arrangements

67. Explain…
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

68. Types of Contract and Associated Documents
IPA Action Document
SERVICES
Terms of Reference
Procurement
SUPPLIES
Technical Specifications
WORKS
Bills of Quantity
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 product
Supplies
Purchase, lease or rental of assets (equipment).
During the delivery of the equipment may be required installation and maintenance products
Works
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 EUR)
Cooperation tool between a Public Administration in a Partner/ Beneficiary country and the equivalent institution in an EU Member State
It consists of sending to Serbia at least one resident adviser ( months)- RTA- and a number of medium and short-term missions, all to be carried out by public officials of the EU Member State institution
Key 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 acquis
Grants
Direct 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.
GRANTS
Guidelines for Applicants

69. Procurement Procedures
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
WORKS
>€5,000,000
1.International open procedure 2.International restricted
procedure
<€ 5,000,000 but > €300,000
< € 300,000 but > €20,000 Competitive negotiated procedure
GRANTS
>€2,000,000
International call for proposals
Local call for proposals
For any amount in cases of urgency
Direct grant
Local open postupak
Ovaj postupak se sprovodi za nabavke koje su > Eur
Koji su koraci u okviru ovog postupka:
Najava (contract forecast) nije obavezna
Objava nabavke (procurement notice) se objavljuje samo o zemlji. Komisija objavljuje samo referencu te procedure na svom web site-u
Podnošenje ponuda (minimum 30 dana od objave nabavke u lokalnim novinama\medijima)
Evaluacija prispelih ponuda (oko 30 dana)
rocedure (Otvoreni postupak u zemlji)
Competitive negotiated procedure (konkurentni postupak)
Ovaj postupak se sprovodi za nabavke koje su Eur > Eur
Nema javnog oglašavanja za nabavku
Ugovorna strana pozove, po svom izboru, min. 3 dobavljača da dostave ponude za dobavljanje robe
Dobavljači imaju rok od 30 dana da daju ponudu
Evaluacija prispelih ponuda
Single tender (princip jedne ponude)
Ovaj postupak se sprovodi za nabavke koje su Eur > 0 Eur
Kontaktira se jedna firma koja će da da ponudu,
Rok za dostavljanje ponude je stvar odluke Ugovarača, preporuka minimum 7 dana
Evaluacija prispele ponude (7 dana)
For services with a value of less than or equal EUR the Contracting Authority may simply pay against invoices without prior acceptance of a tender.
Restricted procedure
All service contracts worth € 300 000 or more must be awarded by restricted tender procedure following international publication of a contract prior information notice and a contract notice
For supplies with a value of less than EUR 2 500, the Contracting Authority may pay on the basis of an invoice without prior acceptance of a tender

70. 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
12+ months
9-12 months
GRANTS
International Call for Proposals
+ months
Local Call for Proposals
(6)-9 months

71. SPD: Programming and Implementation Plan
A part of SPD, detailed IP for the Action could be annexed to the AD
SPD: Programming and Implementation Plan
SECTOR TITLE
2014
2015
2016
2017
2018
2019
2020 Q3 Q4 Q1 Q2
ACTION 1 P C
C/I I
Activity 1.1
Activity 1.2
…..
ACTION 2  P P   C
Activity 2.1
Activity 2.2
P = programming (period when the IPA action programme is expected to be adopted
C = procurement and grant award procedure
I = implementation period

73. Budget preparation

74. Logic of the Budget Preparation –
Services
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)

75. Useful Guidance - Services
Budget is calculated in relation to type and number of experts
Fees - usual cost: € for senior experts and € 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

76. Logic of the Budget Preparation
- Supplies
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)

77. Useful Guidance – Supply
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)

78. Logic of the Budget Preparation –
Works
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.

79. Useful Guidance – Works
Value of the contract depends on type and shape of (re) construction
Contingency reserve (6-15%) and supervision of works

80. Logic of the Budget Preparation – Grants
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

81. Logic of the Budget Preparation–
Twinning
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: euro

82. Logic of the Budget Preparation –
Direct Agreement
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.)

83. Cross- cutting issues
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?
Country Country Strategy Paper/Multi – Country Strategy Paper - In the context of IPA, programming translates the priorities identified in the Country Strategy Papers and the Multi-Country Strategy Paper (which 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
- Activities represent a key element of the Intervention Logic (capacity-building, consultancy, studies, support to infrastructure, supply of equipment, etc.)

84. Cross- cutting issues 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?
Country Country Strategy Paper/Multi – Country Strategy Paper - In the context of IPA, programming translates the priorities identified in the Country Strategy Papers and the Multi-Country Strategy Paper (which 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
- Activities represent a key element of the Intervention Logic (capacity-building, consultancy, studies, support to infrastructure, supply of equipment, etc.)

85. Sustainability
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
Country Country Strategy Paper/Multi – Country Strategy Paper - In the context of IPA, programming translates the priorities identified in the Country Strategy Papers and the Multi-Country Strategy Paper (which 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
- Activities represent a key element of the Intervention Logic (capacity-building, consultancy, studies, support to infrastructure, supply of equipment, etc.)

86. Communication and Visibility
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
Country Country Strategy Paper/Multi – Country Strategy Paper - In the context of IPA, programming translates the priorities identified in the Country Strategy Papers and the Multi-Country Strategy Paper (which 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
- Activities represent a key element of the Intervention Logic (capacity-building, consultancy, studies, support to infrastructure, supply of equipment, etc.)

87. Thank you for your attention
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