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Project funded by The European Union Government of the Republic of Serbia European Integration Office All presentations are available on the PPF5 website:

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Presentation on theme: "Project funded by The European Union Government of the Republic of Serbia European Integration Office All presentations are available on the PPF5 website:"— Presentation transcript:

1 Project funded by The European Union Government of the Republic of Serbia European Integration Office All presentations are available on the PPF5 website:

2 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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

3 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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*...

4 Project funded by The European Union Government of the Republic of Serbia European Integration Office IPA II Regulation / Rules of Application Enlargement Package (EU Enlargement Strategy, EC Progress Report /SAA/ European Partnership) Country /Multi-Country Strategy Paper National Sector Programme or (IPA-specific) Sector Planning Document -SPD) Action Documents (ADs) (Draft) Action Programme (AP) Financing Proposal Commission Implementing Decision Financing Agreement Annexed: ADs Annexed: AP

5 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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.)

6 Project funded by The European Union Government of the Republic of Serbia European Integration Office

7 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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 Responsibili ties Preparation by the Republic of Serbia. Supervision and quality control by the EU Delegation and EC services

8 Project funded by The European Union Government of the Republic of Serbia European Integration Office UNDERSTAND, IDENTIFY EXPLAIN, ASSESS, DEFINE, STRUCTURE ACTION

9 Project funded by The European Union Government of the Republic of Serbia European Integration Office Then provide Action Rationale… 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

10 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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.

11 Project funded by The European Union Government of the Republic of Serbia European Integration Office Rationale… Lessons learned 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?

12 Project funded by The European Union Government of the Republic of Serbia European Integration Office Rationale… Sector Approach Assessment An overview of Sector Maturity based on main EC assessment criteria

13 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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

14 Project funded by The European Union Government of the Republic of Serbia European Integration Office

15 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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.

16 Project funded by The European Union Government of the Republic of Serbia European Integration Office

17 Project funded by The European Union Government of the Republic of Serbia European Integration Office Analysis phase: Preparatory analysis – situation analysis Stakeholder analysis Problem analysis Objective analysis Strategy analysis Planning phase: Logical Framework Matrix Activity scheduling Resource scheduling

18 Project funded by The European Union Government of the Republic of Serbia European Integration Office

19 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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 Project funded by The European Union Government of the Republic of Serbia European Integration Office Politicians ( Values ) Technicians ( Solutions ) Recipients ( Problems )

21 Project funded by The European Union Government of the Republic of Serbia European Integration Office POLITICI ANS TEC H NICI ANS RECIPIENTS PUBLIC SPHERE Government Public Administration Local Communities PRIVAT E SPHERE Chambers Consultants and researchers SMEs SOCIAL SPHERE Trade UnionsUniversitiesCSOs

22 Project funded by The European Union Government of the Republic of Serbia European Integration Office Interests Previous experience Questions of authority Pressure at work Priorities Occupations and relations Personal characteristics Different stakehoders perceive same changes in different ways

23 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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 Project funded by The European Union Government of the Republic of Serbia European Integration Office

25 Project funded by The European Union Government of the Republic of Serbia European Integration Office

26 Project funded by The European Union Government of the Republic of Serbia European Integration Office SWOT is a method for conducting situation analysis Participatory approach Subjective stands of the group Facilitates problems and objectives identification

27 Project funded by The European Union Government of the Republic of Serbia European Integration Office Identify S. W. O. T., then analyze through SWOT Matrix strategic choices

28 Project funded by The European Union Government of the Republic of Serbia European Integration Office INTERNAL TRANSLATE INTO ACTION PLAN EXTERNAL STRENGTHSWEAKNESSES 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 Project funded by The European Union Government of the Republic of Serbia European Integration Office INTERNAL EXTERNAL STRENGTH High % of young people High % of young people with higher education WEAKNESSES High unemployment rate of young population OPPORTUNITIES Increase of young labour force 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 Invest on high education to qualify young labour force Invest on high education to avoid brain-draining Minimise unemployment to exploit young labour force Minimise unemployment to avoid brain-draining

30 Project funded by The European Union Government of the Republic of Serbia European Integration Office

31 Project funded by The European Union Government of the Republic of Serbia European Integration Office Establishing the roots of causes in order to focus the intervention design on them and not solely to the symptoms of problems!

32 Project funded by The European Union Government of the Republic of Serbia European Integration Office Process of identification of negative aspects of some existing situation and establishment of cause and effect relations between identified aspects / problems.

33 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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 Project funded by The European Union Government of the Republic of Serbia European Integration Office Public transportation in Tac City

37 Project funded by The European Union Government of the Republic of Serbia European Integration Office Insufficient maintenance of busses Bus Company losing trust of the passengers Increased traffic jams in the city Busses do not arrive and leave on time Passengers suffer injuries or die Frequent traffic accidents Bad quality of roads Bus Company is losing money Busses are in bad technical conditions Busses are very old Passengers use alternative traffic means Reckless driving of bus drivers Passengers arrive late

38 Project funded by The European Union Government of the Republic of Serbia European Integration Office Technique for establishing cause-effect relations between problems and its visualization

39 Project funded by The European Union Government of the Republic of Serbia European Integration Office Picture of existing negative state of affairs Effects Central problem Causes

40 Project funded by The European Union Government of the Republic of Serbia European Integration Office 1.Identification of primary or focal problem(s) 2.Identification of essential direct causes of primary problem – first order causes 3.Identification of essential and direct effects of primary problem – first order effects 4.Identification of second order causes and effects, third order, etc. 5.Problem tree construction – drawing cause- effect relations, bottom up 6.Problem tree review

41 Project funded by The European Union Government of the Republic of Serbia European Integration Office Effect Focal problem Cause Effect

42 Project funded by The European Union Government of the Republic of Serbia European Integration Office Insufficient maintenance of busses Busses are very oldBad quality of roads Busses are in bad technical conditions Reckless driving of bus drivers Busses do not arrive and leave on time Passengers arrive late Frequent traffic accidents Passengers suffer injuries or die Bus Company losing trust of the passengers Passengers use alternative traffic means Bus Company is loosing moneyIncreased traffic jams in the city EFFECTS CENTRAL PROBLEM/S CAUSES

43 Project funded by The European Union Government of the Republic of Serbia European Integration Office

44 Project funded by The European Union Government of the Republic of Serbia European Integration Office

45 Project funded by The European Union Government of the Republic of Serbia European Integration Office Process in which Problem tree is converted into Objective/solution tree and analysis of that product PROBLEM TREE OBJECTIVE TREE

46 Project funded by The European Union Government of the Republic of Serbia European Integration Office Reformulate each problem in a problem tree into a positive statement (objective) Verify hierarchy of objectives Visualization of relationships in a diagram

47 Project funded by The European Union Government of the Republic of Serbia European Integration Office Objective Tree Overall objectives Project Purpose Results Problem Tree Effects Focal problem Causes

48 Project funded by The European Union Government of the Republic of Serbia European Integration Office Rural exodus Low productivity High unemployment Low skilled labour Poor education facilities Outdated technologies Rural immigration Higher productivity Lower unemployment Higher skilled labour Better education facilities Updated technologies.. Is caused by.... Will lead to...

49 Project funded by The European Union Government of the Republic of Serbia European Integration Office 1.Starting from the top reformulate all elements of Problem tree into a positive, desirable conditions 2.Instead of cause-effect relations in Problem tree, established relations are means-solution or means-objective 3.Starting from the bottom check whether established means-objective relations are logic and valid

50 Project funded by The European Union Government of the Republic of Serbia European Integration Office 4. If needed: a)revise objective statements b)erase solutions/objective which are unrealistic or unnecessary c)add new solutions/objectives where necessary 5. connect with lines to show means- solutions or means-objective relationships

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

52 Project funded by The European Union Government of the Republic of Serbia European Integration Office

53 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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 Project funded by The European Union Government of the Republic of Serbia European Integration Office Busses are well maintained Old busses are being replaced as needed Good quality of roads Busses are in good technical condition Drivers drive more carefully Busses arrive and leave in line with schedule Passengers arrive on time Number of accidents has decreased Increased safety of the passengers Trust of the passengers regained Increased number of people use public transport Buss Company makes profit Improved traffic situation in the city centre passengers drivers roads busses

57 Project funded by The European Union Government of the Republic of Serbia European Integration Office

58 Project funded by The European Union Government of the Republic of Serbia European Integration Office NAD /CSPSPDAD Overall Objective /Enlargement Strategy Priority /Target Measure Results Overall Objective Specific Objective Overall Objective Specific Objective

59 Project funded by The European Union Government of the Republic of Serbia European Integration Office Sector Planning Document Action Document Results R1 R2 R3 R4 R5 R6 R7 R8 Specific Objective 1 Specific Objective 2 Results 2015 R1 R R3 R4 R5 R R7 R8

60 Project funded by The European Union Government of the Republic of Serbia European Integration Office

61 Project funded by The European Union Government of the Republic of Serbia European Integration Office Overall objective (1) Indicators (8) Sources of verification (9) Specific objective (2) Indicators (10) Sources of verification (11) Assumptions (7) Results (3) Indicators (12) Sources of verification (13) Assumptions (6) Activities (4) Implementation Modalities CostsAssumptions (5)

62 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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

63 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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

64 Project funded by The European Union Government of the Republic of Serbia European Integration Office

65 Project funded by The European Union Government of the Republic of Serbia European Integration Office IndicatorDescriptionBaseline (year) Target (year) CSP indicator (if applicable) Action outcome indicator1 Action outcome indicator2 Etc.

66 Project funded by The European Union Government of the Republic of Serbia European Integration Office

67 Project funded by The European Union Government of the Republic of Serbia European Integration Office R OLES 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) I MPLEMENTATION 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 Explain…

68 Project funded by The European Union Government of the Republic of Serbia European Integration Office IPA Action Document SERVICES SUPPLIES WORKS Terms of Reference Technical Specifications Bills of Quantity GRANTS Guidelines for Applicants

69 Project funded by The European Union Government of the Republic of Serbia European Integration Office

70 Project funded by The European Union Government of the Republic of Serbia European Integration Office Indicative Contracting Time Contract Type Procurement Procedure Average Time Taken SERVICEInternational Restricted Tender (9)-12 months Framework(3)-5 months SUPPLIESInternational Open Tender9 months Local Open Tender6 months WORKSInternational Open Tender12+ months Local Open Tender9-12 months GRANTSInternational Call for Proposals 12+ months Local Call for Proposals(6)-9 months

71 Project funded by The European Union Government of the Republic of Serbia European Integration Office SPD: Programming and Implementation Plan P = programming (period when the IPA action programme is expected to be adopted C = procurement and grant award procedure I = implementation period

72 Project funded by The European Union Government of the Republic of Serbia European Integration Office

73 Project funded by The European Union Government of the Republic of Serbia European Integration Office

74 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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 auditors fees

76 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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 Project funded by The European Union Government of the Republic of Serbia European Integration Office Works contract is used for construction and reconstruction (infrastructure) Contract covers all costs related to (re) construction, including materials, workers, engines etc. Experts estimation is necessary Precondition for implementation is prepared technical documentation, existence of relevant licenses etc.

79 Project funded by The European Union Government of the Republic of Serbia European Integration Office Value of the contract depends on type and shape of (re) construction Contingency reserve (6-15%) and supervision of works

80 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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 Project funded by The European Union Government of the Republic of Serbia European Integration Office 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 Project funded by The European Union Government of the Republic of Serbia European Integration Office

84 Project funded by The European Union Government of the Republic of Serbia European Integration Office

85 Project funded by The European Union Government of the Republic of Serbia European Integration Office

86 Project funded by The European Union Government of the Republic of Serbia European Integration Office

87 Project funded by The European Union Government of the Republic of Serbia European Integration Office All presentations are available on the PPF5 website:


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