self assessment sheet (sas) briefing 21 st may 2009
TRANSCRIPT
SELF ASSESSMENT SHEET (SAS) BRIEFING
21st May 2009
CFCU-SAS Briefing-2009 2
TOPICS
I. Brief information on previous action “1st SPOs Round Table Meeting”
II. Focus on SASIII. Workload Analysis
(for years 2009, 2010, 2011)IV. To submit of the SASV. Next step
CFCU-SAS Briefing-2009 3
Brief information on previous action named as “1st SPOs Round Table Meeting
SPOs in IPA Component I (Article 75/3 of the IPA Regulation No.718/2007)
The SPOs are “designated” by the PAO
“Overall supervision” of the PAO was replaced with the “Overall Responsibility”
A “functional hierarchy” between the PAO and SPOs is foreseen.
I
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Be responsible for the technical aspect of the operations within the ministries.
Assist the programme authorising officers project in the good and timely preparation and implementation of operations at technical level.
Be in charge of the coordination within each priority axis set down in the beneficiary country’s project proposal.
Brief information on previous action named as “1st SPOs Round Table Meeting
Senior Programme Officers shall; I
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According to the European Commission,
It is not something limited to just a “supervision” on the top but also implies a “functional hierarchy” and therefore requires some quality/capacity related interventions including “mini-accreditation” over the SPOs.
PAO is accountable to the NAO for the actions of the SPOs
PAO must actively monitor the effectiveness of SPO controls
PAO must reject files submitted by an SPO not implementing effective controls.
Brief information on previous action named as “1st SPOs Round Table Meeting
Overall Responsibility? I
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the control of the SPOs/LMs’ sub-systems
whether the SPOs and SPO Offices are ready to assume the responsibilities assigned to them in the Operational Agreements (OAs).
whether this initial readiness continues during the implementation of the project
Brief information on previous action named as “1st SPOs Round Table Meeting
These fundamental principles lead CFCU/PAO to; I
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Formal requirements to be acknowledged
Minimum requirements for the staffing of the SPO offices
Minimum criteria for the internal organization of the SPO offices
Focus on SAS
http://www.cfcu.gov.tr/spo.php?lng=enII
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Focus on SAShttp://www.cfcu.gov.tr/spo.php?lng=en
IICRITERION STATEMENT EXPLANATIONS
1 Formal Requirements to be Acknowledged YES NO
a SPO, as the head of the SPO Office/Project Team is clearly designated and is responsible for the tasks assigned to this staff
Refer to 4.2, in PIM and the PAO’s designation, or otherwise respective article of the Implementing Regulation
b SPO/Office staff has full legal authority to fulfill their functions
Refer to legal provisions, internal designations
SPO has his own financial sources pursuant to the Law No.5018
Refer to legal status
c Declaration of Assurance signed as attached with the Operational Agreement
Refer to 4.2.1 in PIM and the correspondences with the CFCU
d “Programme Management Guidelines” received and disseminated to all staff
Refer to link, http://www.cfcu.gov.tr/spo.php and internal correspondences of information notes
e “Guideline for Preparation of the Market Research Study” received and disseminated to all staff
Refer to link http://www.cfcu.gov.tr/SPOs/TOOLs/market_research.pdf and internal correspondences of information notes
CFCU-SAS Briefing-2009 9
Focus on SAS
Minimum Requirements for the Staffing of the SPO Offices
IIa All the assigned staff has proficiency in English Enclose the CVs and language certificates
b All the assigned staff has the required skills/expertise on the projects assigned to
Enclose the CVs in the form of link http://ec.europa.eu/europeaid/work/procedures/implementation/services/documents/b8_annexivexperts_en.doc
c All the assigned staff has no other assignment Please mention, if any, permanent of temporary
d All the assigned staff has familiar with the PCM, PRAG rules and DIS system in Turkey
Please refer to the training programmes that the staff participated. Also, mention that which staff involved to which project(s)’ preparation/implementation, if any
e Detailed job descriptions for each post in management of projects/programmes
Enclose the job descriptions on the basis of section 4,5,6,7 in PIM
f All the assigned staff has enough number of PCs/laptops with the passwords in their official usage
Refer to the number of the PCs/laptops
g All the assigned staff has their own official e-mail addresses (…gov.tr)
List the e-mail addresses
h Enough staff allocated to the projects/programmes
Refer to their internal designation, permanent or temporary status and also check the necessary number of staff through workload analysis.
CFCU-SAS Briefing-2009 10
Focus on SAS
Minimum Criteria for the Internal Organization of the SPO Offices
IIa SPO Office is situated in any type of organization in the
Turkish Administration (General Directorate, individual department etc.)
Mention type of organization
b SPO carries out his responsibilities by means of an SPO Office or an ad hoc “Project Team” under the main organization
Mention type of organization
c A sound organigram of the organization is available in a kind of flow chart with illustration of all hierarchical links
Enclose the organigram or flowcharts
d An appropriate document “retention policy” (archiving procedures) is available (at least seven years, Implementing Regulation, Article 80)
Refer to 5.7 in PIM and related provisions of the line ministry
e An appropriate IT system including data management and security is functioning
Explain the current situation of the IT system
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Focus on SAS
Minimum Criteria for the Internal Organization of the SPO Offices
IIf SPO is provided with some independent reviews of the
functioning of his systems at subordinate levels (Internal Control)
Refer to the Internal Control function, if any
g SPO provides the identification of “sensitive post” and the minimizing risk actions in place as regards of sensitive posts
Refer to section 6 in particular 6.5, the Sensitive Post, forms on assessment of the staff
h SPO ensures “double check” of all steps in a transaction e.g. preparation of technical specifications and terms of references, nomination of the Evaluation Committee voting members, approval of timesheets, invoices (“read and approved”)
Illustrate the check points in all aspect of workflows
ı SPO ensures that where different tasks in the life of the same transaction are allocated to different staff to ensure some automatic cross-checking controls
Refer to section 4 and 6 for division of labour among the staff if possible formal division may be in use
i As the Irregularity Officer, SPO delegates this function to ensure that the procedures relating to “reporting irregularities” are properly managed
Refer to contact details of the delegated officer and section 7 in PIM for responsibility of delegated officer
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Workload Analysis
(for years 2009, 2010, 2011) IIIWorkload Analysis (for years 2009, 2010, 2011)
STEP 1 Projects within NP (2005, 2006, 2007, 2008 and 2009)
STEP 2 Hours needed for each type of project(fwc, service, supply, works, twinning & grants) Daily activities of your ministrySTEP 3 Available man days for assigned staffSTEP 4 Calculation of necessary workload
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Workload Analysis
STEP 1- Projects within NP
Number of projects for each NP
2005 2006 2007 2008 2009
Works
Service
Supply
Grant
Direct Grant
Twinning
Twinning - Light
FWC
SEI-Service
SEI-FWC
Expected execution for each category
2009 2010 2011
Works
Service
Supply
Grant
Direct Grant
Twinning
Twinning - Light
FWC
SEI-Service
SEI-FWC
III
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Workload Analysis
STEP 2 - HRS. NEED FOR EACH TYPE OF PROJECTS
Necessary actions in hrs. for each category during tendering, contracting
Programming Preparation of ToR Preparation of TS Evaluation Committee Preperation of Monitoring Reports Sub/Shadow Monitoring Committee Steering Committe Meetings Progress Reports Approval of reports and invoices Provisional Acceptance Final Acceptance
Daily Activities in Ministry
Missions Correspondences Stakeholders Shareholders Others
III
CFCU-SAS Briefing-2009 15
Workload Analysis
STEP 1 & STEP 2
Affiliate Step 1 and Step 2
It can be changed from institution/ministry to instition/ministry
III
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2009 2010 2011
Name of the Activities for contract
Hrs. Hrs Hrs. contract/project and projects
TR 502.**/SRV/001Progress Reports ●
Approval of Reports & Invoices ●
TR 601.**/S/002Provisional Acceptance ●
Final Acceptance ●
EuropeAid/....
Preparation of ToR ●
Preparation of TS ●
Evaluation Committee ●
Sub/Shadow Monitoring ●
Steering Committee ●
Progress Reports ●
EuropeAid/....
Preparation of ToR ●
Preparation of TS ●
Evaluation Committee ●
Sub/Shadow Monitoring ●
Steering Committee ●
Progress Reports ●
2009 NP 2010 NP Programming ● ●
DAILY ACTIVITIES IN MINISTRY ● ● ●
TOTAL HRS. NEED (Future Need Hourly)
● FILLED BY THE BENEFICIARY
FUTURE NEED ANALYSIS
CFCU-SAS Briefing-2009 17
Workload Analysis
STEP 3 - Available man days for assigned staff
2009
Working Annual Sick Military Pregnancy Usual Work Available
Hours Leave Leave Service in Ministry Days
Name 2016 120 or 176 80 1080 1080
Mr. X
.......................
2010
Working Annual Sick Military Pregnancy Usual Work Available
Hours Leave Leave Service in Ministry Days
Name 2000 120 or 176 80 1080 1080
Mr. X
2011
Working Annual Sick Military Pregnancy Usual Work Available
Hours Leave Leave Service in Ministry Days
Name 2032 120 or 176 80 1080 1080
Mr. X
III
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Workload Analysis
STEP 4 – Necessary Workload
Total
Future Need/Hourly Available HR/hourly Gaps
2009 2010 2011 2009 2010 2011 2009 2010 2011
Staff A B C
Needed Human Resources
A, B, C = Future Need - Avaliable Human Resources
If A, B, C is positive then,Needed Human Resources= A, B, C / Average Available Man days
III
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Workload Analysis
Affiliate these 4 steps in one excel sheet enclosed to SAS
If necessary please give an explanation for workload analysis
III
CFCU-SAS Briefing-2009 20
To submit of the SAS IV Fill the SAS up properly,
Attach to all the additional documents stated in the sheet,
Prepare all the document as a folder,
Attach the official letter of SPO in front,
Submit to the CFCU by the end of 29th May 2009
CFCU-SAS Briefing-2009 21
1. Self assessment sheet
- Collect all the SASs from SPO Offices
- Analysis of the coming data and documents
- Prepared a report
- Attached the CFCU side visits/spot checks plan
2. Presented the outputs to PAO approval
3. Reporting to the NAO (NAO to inform the EC accordingly)
NEXT STEP IV
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Thanks for your attention