Preparation of IPA II Action Documents

Project funded by
The European Union
Government of the Republic of Serbia
European Integration Office
All presentations are available on the PPF5 website: www.ppf5.rs

Project funded by
The European Union
Government of the Republic
of Serbia
 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

Project funded by
The European Union
of Serbia
 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*...

Project funded by
The European Union
of Serbia
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

Project funded by
The European Union
of Serbia
 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.)

Project funded by
The European Union
of Serbia

Project funded by
The European Union
of Serbia
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

Project funded by
The European Union
of Serbia
UNDERSTAND,
IDENTIFY
EXPLAIN,
ASSESS,
DEFINE,
STRUCTURE
ACTION

Project funded by
The European Union
of Serbia
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

Project funded by
The European Union
of Serbia
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.

Project funded by
The European Union
of Serbia
•
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?

Project funded by
The European Union
of Serbia
Rationale…
Sector Approach
Assessment
An overview of
Sector Maturity based on
main EC assessment criteria

Project funded by
The European Union
of 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

Project funded by
The European Union
of Serbia
1. National sector policies/ strategies
2. Institutional setting, leadership & capacity
3. Sector & donor coordination
4. Mid-term budgetary perspective
5. Monitoring & performance assessment
framework
6. Public finance management
7. Macro-economic framework

Project funded by
The European Union
of Serbia
•
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.

Project funded by
The European Union
of Serbia
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.

Project funded by
The European Union
of Serbia
Analysis phase:
 Preparatory analysis – situation analysis
 Stakeholder analysis
 Problem analysis Objective analysis
 Strategy analysis
Planning phase:
 Logical Framework Matrix
 Activity scheduling
 Resource scheduling

Project funded by
The European Union
Government of the Republic of Serbia

Project funded by
The European Union
of Serbia
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.

Project funded by
The European Union
of Serbia
Politicians (Values)
Technicians
(Solutions)
Recipients
(Problems)

Project funded by
The European Union
of Serbia
POLITICIANS TECHNICIANS RECIPIENTS
PUBLIC
SPHERE
Government
Public
Administration
Local
Communities
PRIVATE
SPHERE Chambers
Consultants
and
researchers
SMEs
SOCIAL
SPHERE Trade Unions Universities CSOs

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

Project funded by
The European Union
of Serbia
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

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

Project funded by
The European Union
of Serbia
SWOT
analysis
Internal
factors
Strengths Weaknesses
External
factors
Opportunities Threats
Identify S. W. O. T. , then analyze through
SWOT Matrix
strategic choices

Project funded by
The European Union
of Serbia
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?

Project funded by
The European Union
of Serbia
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
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

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

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

Project funded by
The European Union
of Serbia
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.

Project funded by
The European Union
of Serbia
Precise defining of framework and
object of analyses
Identification and formulation of the
problems
Selection of primary or focal
problem(s)
Problem tree development

Project funded by
The European Union
of Serbia
 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

Project funded by
The European Union
of Serbia
Public transportation in Tac City

Project funded by
The European Union
of Serbia
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

Project funded by
The European Union
of Serbia
Technique for establishing cause-effect
relations between problems and its
visualization

Project funded by
The European Union
of Serbia
Picture of existing negative state of
affairs
Effects
Central problem
Causes

Project funded by
The European Union
of Serbia
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

Project funded by
The European Union
of Serbia
Effect
Focal problem
Cause Cause Cause
Cause Cause
Effect
Effect Effect

Project funded by
The European Union
of Serbia
Insufficient
maintenance
of busses
Busses are very old Bad 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 money Increased traffic jams in the
city
EFFECTS
CENTRAL
PROBLEM/S
CAUSES

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

Project funded by
The European Union
of Serbia
 Reformulate each problem in a “problem tree”
into a positive statement (objective)
 Verify hierarchy of objectives
 Visualization of relationships in a diagram

Project funded by
The European Union
of Serbia
Objective Tree
Overall objectives
Project Purpose
Results
Problem Tree
Effects
Focal problem
Causes

Project funded by
The European Union
of Serbia
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...

Project funded by
The European Union
of Serbia
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

Project funded by
The European Union
of Serbia
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

Project funded by
The European Union
of Serbia
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

Project funded by
The European Union
of Serbia
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

Project funded by
The European Union
of Serbia
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.

Project funded by
The European Union
of Serbia
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?

Project funded by
The European Union
of Serbia
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
drivers

Project funded by
The European Union
of Serbia
NAD /CSP SPD AD
Overall Objective
/Enlargement
Strategy
Priority /Target
Measure
Results
Results
Overall Objective
Specific
Objective
Overall Objective
Specific
Objective

Project funded by
The European Union
of Serbia
Sector Planning
Document
Action Document
Results
R1
R2
R3
R4
R5
R6
R7
R8
Specific
Objective 1
Specific
Objective 2
Results
2015
R1
R2
2016
R3
R4
R5
R6
2017
R7
R8

Project funded by
The European Union
of Serbia
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
Costs Assumptions
(5)

Project funded by
The European Union
of Serbia
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

Project funded by
The European Union
of Serbia
• 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

Project funded by
The European Union
of Serbia
Indicator Description Baseline
(year)
Target
(year)
CSP indicator (if
applicable)
Action outcome
indicator1
Action outcome
indicator2
Etc.

Project funded by
The European Union
of Serbia
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
Explain…

Project funded by
The European Union
of Serbia
IPA
Action
Document
SERVICES
SUPPLIES
WORKS
Terms of
Reference
Technical
Specifications
Bills of
Quantity
GRANTS Guidelines for
Applicants
P
r
o
c
u
r
e
m
e
n
t

Project funded by
The European Union
of Serbia
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
< €20,000
Single tender
WORKS
>€5,000,000
1.Internation
al open
procedure
2.Internation
al restricted
procedure
<€ 5,000,000
but > €300,000
Local open
procedure
< € 300,000 but
> €20,000
Competitive
negotiated
procedure
< €20,000
Single tender
GRANTS >€2,000,000
International
call for
proposals
>€2,000,000
Local call for proposals
For any amount
in cases of
urgency
Direct grant

Project funded by
The European Union
of Serbia
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 International Open Tender 12+ months
Local Open Tender 9-12 months
GRANTS International Call for
Proposals
12+ months
Local Call for Proposals (6)-9 months

Project funded by
The European Union
of Serbia
SPD: Programming and Implementation Plan
SECTOR
TITLE
2014 2015 2016 2017 2018 2019 2020
Q3 Q4 Q1
Q
2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3
ACTION 1
P C C C/I I I I I I I I I I I I I I
Activity
1.1 P C C I I I I I I I I I I I I
Activity
1.2 P C C C C I I I I I I I I I I
…..
ACTION 2 P P P C C C C/I I I I I I I I I I I I
Activity
2.1 P P P C C C C I I I I I I I I I I I
Activity
2.2 P P P C C I I I I I I I I I I I I
P = programming (period when the IPA action programme is expected to be adopted
C = procurement and grant award procedure
I = implementation period

Project funded by
The European Union
of Serbia
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)

Project funded by
The European Union
of Serbia
 Budget is calculated in relation to type and number of
experts
 Fees - usual cost: € 800-1000 for senior experts and €
250-400 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

Project funded by
The European Union
of Serbia
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)

Project funded by
The European Union
of Serbia
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)

Project funded by
The European Union
of Serbia
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.

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

Project funded by
The European Union
of Serbia
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

Project funded by
The European Union
of Serbia
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: 200.000 euro

Project funded by
The European Union
of Serbia
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.)

Project funded by
The European Union
of Serbia
 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?

Project funded by
The European Union
of Serbia
 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?

Project funded by
The European Union
of Serbia
 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

Project funded by
The European Union
of Serbia
 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

Preparation of IPA II Action Documents

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Preparation of IPA II Action Documents