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1.3 contents and processes
1. Sustainable Economic Development of the Sudurnes
region, Iceland
Operational Programme Preparation: Contents and
Processes
JOSE MATEOS MORENO
Ásbrú, January 2012
2. 2
Objectives of This Session
Improve knowledge of
• Contents and requirements of an
Operational Programme (OP)
• OP process
• Stakeholders and partnership issue
• Stages of OP process
3. 3
Functions of OP
• Constitutes a Multi-annual Programming document
• Supports Candidate Countries in policy development
• Prepares for the implementation and management of
future Cohesion Policy
• Implements the objectives and priorities of the SCF,
indicating which activities will be supported and to
which extent
• Identifies specific operational priorities
• Contains selected measures and projects
4. 4
Requirements and Contents of OP (1) (Art.
155 IPA Implementing Reg.)
1. Description of existing situation, SWOT and
key disparities
2. Overview of the consultation process
3. Strategy: Vision and Strategic Objectives
– Priority axes
– Specific objectives and measures
– Indicative list of major projects (actions)
– Horizontal issues (equal opportunities etc)
4. Justification in the light of the concentration
principle, sectoral or geographical under IPA
assistance
5. 5
Requirements and Contents of OP (2)
4. Description of Technical Assistance
Operations
5. For each measure: FB + selection criteria
6. Financial plan with allocation according to
priority axis and specific objectives
7. Quantified indicators with effects on results
and impacts? + evaluation activities
8. Ex-ante evaluation (main conclusions)
9. Implementation provisions (incl.
communication)
6. 6
OP Preparation
• By the candidate country in close dialogue with the
Commission services
• In the framework of agreed structures
• Drawing from existing documentation and available
Technical Assistance (e.g. National /Regional
strategies, Sectoral Master Plans, etc.)
• In consultation with the relevant partners
(stakeholders)
• Ex-ante evaluation in parallel with OP preparation.
The same for Strategic Environmental Assessment
(SEA)
• Submission by the competent national authority
(after SCF)
• Approval by the Commission
7. 7
OP Stakeholders
OP Stakeholder = any citizen, resident, client,
organisation or group who / which could be
affected directly or indirectly by the OP process
OP Stakeholders include:
– Final Beneficiaries (Agencies, Regions,
Municipalities, Companies)
– (Co)Financeers/Contributors
– Experts (Research institutes etc.)
– Others likely to be affected (Interest Groups,
Trade Unions, Chambers of Commerce etc.)
8. 8
Main Stages of OP Preparation
Organisation of OP process
Implementing Arrangements
Negotiations with EU
SWOT Analysis
Strategic Goals and Priorities
Budget Allocation and Impacts
Ex-ante Evaluation
1 to 2 years
9. 9
Main Stages of OP Preparation
Organisation of OP process
Implementing Arrangements
Negotiations with EU
SWOT Analysis
Strategic Goals and Priorities
Budget Allocation and Impacts
Ex-ante Evaluation
1 to 2 years
11. 11
Sector Specific SWOT Example
(Environment OP Croatia)
Strengths
– General: Unique natural environment
– Wate:Specialized companies and public utility companies ready to use
integrated waste management (WM) systems
– Water:Croatia has relatively abundant & good quality fresh water
Weaknesses:
– General:lack of financial resources
– Wate: Insufficient coordination of waste streams management on local
level due to the lack of staff
– Water:Water losses significant, age and insufficient maintenance
Opportunities
– General:Grants from EU pre-accession funds
– Wate:Rationalisation of waste sector public utility companies
– Water: Harmonization with EU standards
– Threats
– General:Disparities between environmental protection and economic
development
– Wate:Approx. 3,000 illegal waste dumps and 9 hot spots
– Water:All national river basins have transboundary character
• Recommendations?
12. 12
Main stages of OP-preparation
Organisation of OP process
Implementing Arrangements
Negotiations with EU
Strategic Goals and Priorities
Budget Allocation and Impacts
Ex-ante Evaluation
1 to 2 years
SWOT Analysis
13. 13
Step 2) Strategic Goals and
Priorities
• Overall objective
• Define strategic goals for priorities
• Create commitment on strategic sector
goals and vision with all stakeholders
14. 14
Example: OP ENV Strategic Objectives and Priorities
OP Environment Croatia (example)
15. 15
Step 3) Budget Allocation and
Impacts (1)
• Budget allocation:
– Top down: NDP and Ministry priorities
– Bottom up: costs estimates of measures / projects
• Co-financing possibilities: Line Ministries, Regions,
EBRD
• Anticipated IPA support from EU
• Agreement on budget allocation and co-financing
with Line Ministries and partners crucial
16. 16
Step 3) Budget Allocation and
Impacts (2)
Impacts:
• Indicators for monitoring and evaluation
of progress in OP implementation
• Quantify expected Results and Impacts?
of OP
• Integrate in Monitoring Information
System (MIS)
17. Sustainable Economic
Development of the Sudurnes
region, Iceland
17
Sources of information for the OP
financial plan
• Financial allocation in the SCF
• IPA Funds Financial Indications
– Multi-annual Planning Document
– Multi-annual Financial Framework
18. Sustainable Economic
Development of the Sudurnes
region, Iceland
18
OP Financial Plan Contents
• OP budget break-down by “priority axis”,
separately by year, and total period (initially
2007-2009)
• OP budget break-down updated annualy on
basis of Multi-annual Indicative Financial
Framework (MIFF)
• It should contain:
– IPA support and contribution rate
– National public contribution
– Estimated private contribution and grant and loans from IFIs
(for information)
– Technical Assistance - maximum 4%
19. Sustainable Economic
Development of the Sudurnes
region, Iceland
19
Template for OP Financial Plan
YEAR
N
"priority axis" a (= Sum a1, a2,)
Measure a1
Measure a2
"priority axis" b (=Sum b1, b2)
...
Measure b1
Tech. assistance
...
TOTAL YEAR N
Total Public
eligible cost
UE
IPA
CC
Nat Public
IPA cofin
rate (calcul)
For information
Private IFI
(x+y) x y x/(x+y)
%
€
€
€
€
€
€
€
€
€
€
€ € €
€ € € € €
€ € €
€
€
€
€
€
€
€
€
€
€
€
€
%
%
20. 20
Step 4) Implementing Arrangements
• Responsibilities and tasks of bodies
(Operating Structure, FBs, CA, internal
control etc)
• Tools and Systems (Monitoring
Information System, Guidelines)
• Staffing and HRD (incl. Training etc.)
21. 21
Step 5) Ex-ante Evaluation of OPs
• Independent ex-ante evaluation
• Important to take into account for commitment
from European Commission
• Important tool for improving OP quality
• Purpose of ex-ante evaluation – to assess
quality of OPs
– Relevance: are priorities relevant for main problems
and opportunities in Montenegro?
– Effectiveness of OPs in achieving goals
– Efficiency of OPs
22. 22
Consistency and Overlap
- Check OPs and SCF
• Careful reading and check for
inconsistencies:
– Macro-economic data and assumptions must be
standardised
– General structure should be standardised
– Choice of priorities has to reflect SWOT
• Discussion with Ministries OPs on OPs
and coordinator SCF
• Adapting SCF and OPs
23. 23
Step 6) Negotiations with EU
• Agree OP with all partners
• Create consistent basis with fixed teams
and strategy for negotiations with EU
• Community Support Framework
• Communication of OP (visibility)
• Project promotion to beneficiaries in
order to create a project pipeline
