MTEC Training 2011

Instrument for Pre Accession

Module 1. 3 IPA Implementing Structures

Meri Georgievska
Rotterdam, 15 November 2011

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

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 is
responsible for component IV
DG Agriculture and Rural Development has responsibility for
component V.
At Candidate/Potential Candidate Countries level: different kinds of
management modes

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-ante
control 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 exante 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

 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).

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 local
specifics and possibilities =>
Different Countries relatively Different Systems

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

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 for
coordination of CBC programmes (may delegate the task
monitoring and reporting on implementation

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 the
Human 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

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

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

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.

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

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
.

IPA Implementing Bodies - Operating Structure

IPA Component I

Programme Authorising Officer (PAO)

Senior Programme Officers (SPOs)
Implementing Agency (CFCU)

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 the
responsibility 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

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 the
preparation 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

IPA Implementing Bodies - IPA Component II

Operating Structure (OS)

Joint Monitoring Committee (JMC)
Joint Technical Secretariat (JTS)

IPA Implementing Bodies - Operating Structure

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 in
the 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.

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.

IPA Implementing Bodies Operating Structures

IPA III and IV

Body Responsible for Operational Programme (BROP)

Body Responsible for Priority/Measure (BRM/P)
Implementing Agency

IPA Implementing Bodies BROP

Coordination of the OP preparation, amendments and submission to
NIPAC 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.

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

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 annual
programmes to the BRP/M
Provision of information for the sectoral monitoring committees
Contribution to the preparation of the sectoral annual and final
implementation reports

IPA Implementing Bodies - Implementing Agencies

(2)
Directly responsible for procurement, contract implementation and
payments on the project level
Ultimate responsibility for the Tendering process announcement of
tenders, 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;

IPA Implementing Bodies - Implementing Agencies

(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

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.

IPA Implementing Bodies - Final Beneficiaries

beneficiaries of the projects financed by IPA operations - line

ministries and other public authorities; water, rail or road
companies; regional waste operators; RDAs, municipalities;
SMEs; farmers, NGOs
preparation of project documentation (e.g. project fiches or draft
ToRs);
applications for IPA funding
organization for project implementation (personnel, technical
assistance, internal control mechanisms, etc.);
informing the public
Technical implementation and completion of projects

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 the
programmes 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 to
the IPA MC on the progress made in implementing the programmes,
by priority axis

IPA Implementing Structures in Turkey

IPA Implementing Structure for Component I -Serbia

IPA Operating Structure for Component II in Albania

IPA Implementing Structures CBC Bulgaria

Macedonia

IPA Implementing Structure for Component III (RCOP)

Croatia

IPA Implementing Structures III and IV - Serbia

IPA Implementing Structures Component IV Turkey

IPA Implementing Structures Component V

IPA Implementing Structures Component V Turkey

Implementing structures differences between IPA

and the Structural Funds
IPA
Programing and Implementation

NIPAC

Structural Funds
Programing and Implementation

Central Coordination Unit

Strategic Coordinator for III and IV

Coordinating Body for NSRF

Competent Acredinting Officer

N/A

Operating Structure (OS)

o BROP

Managing Authority (MA)

o BRP/M

Intermediary Body (IB)

o Implementing Agency
(CFCU)

Contracting Authority

Beneficiaries

Certifying Authority

Beneficiaries
Financial Management

National Authorising Officer/NF

Audit Authority
Monitoring Committees

Audit Authority
Monitoring Committees

IPA MC

For NSRF

Sectoral MC

For individual OPs

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, audit
and 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

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

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 Map defines timeframe for the steps and actions to
be 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

Accreditation Process
Five Stages Process:
Stage Zero Establishing 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

(E)DIS Structures and Accreditation State of play in the

Candidate Countries
Croatia - has been accredited for DIS for IPA I, II, III and IV at the
end of 2008 and in 2006 for EDIS for IPA V. In the last year the is
preparing intensively for EDIS for IPA I-IV.
Turkey DIS for IPA I, II, III and IV, and accredited for EDIS for
IPA V (the decision for conferral expected in 2012)
Macedonia has been accredited for DIS for IPA I (in 2010), III
and IV (in 2010) and for EDIS for IPA V in 2009. The accreditation
package for IPA Component II is planned to be submitted to EC
towards the end of 2011/beginning of 2012. Preparations for EDIS (I,
III and IV) underway.
Montenegro for IPA I and II by the end of this year the compliance
assessment is expected and the conferral of management of powers
is foreseen for mid next year. Roadmaps for IPA III and IV are
adopted and at the moment a gap assessment is taking place.

(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 the
DIS 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 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 in
the 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
Please form working groups by country and discuss the state of play in
your 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 capacity
building 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 your
colleagues from the PCC (lessons learned)
Give short presentations