Annex 1 Guidelines for the programming document

Transcription

1 Annex 1 Guidelines for the programming document Contents: A Common elements on the work programme title page B Common sections in the body of the programming document C Terminology D Suggested information to be contained in each section E Optional activity structure template for WP F Templates 1

2 A Common elements on the work programme - title page < agency logo> <agency name> programming document Years (N+1 N+3) 2

3 B Common sections in the body of the programming document Table of Contents Foreword List of Acronyms Mission Statement Section I General Context Section II Multi-annual programming N+1 N+3 1. Multi-annual objectives 2. Multi-annual programme 2.1 [Strategic area of operation/intervention] 2.2[Strategic area of operation/intervention] 3. Human and financial resource outlook for the years N+1, N Overview of the past and current situation. 3.2 Resource programming for the years N+1-N+3 Section III Work Programme Year N+1 1. Executive summary 2. Activities 2.1 Activity (operational) Overview of the Activity Objectives, Indicators, expected outcomes and outputs Resources 2.2 Activity (operational) Activity (horizontal) Activity (horizontal) Annexes Annex I: Resource allocation per Activity N+1 N+3 (no template) Annex II: Human and Financial Resources (Tables) N+1 N+3 Table 1 Expenditure Table 2 Revenue Table 3 Budget outturn and cancellation of appropriations Annex III: Table 1 Staff population and its evolution; Overview of all categories of staff Table 2 Multi -annual staff policy plan year N+1 N+3 Annex IV: A. Recruitment policy B. Appraisal of performance and reclassification/promotions Table 1 - Reclassification of temporary staff/promotion of officials Table 2 - Reclassification of contract staff C. Mobility policy D. Gender and geographical balance E. Schooling Annex V: Buildings (table) Annex VI: Privileges and immunities (table) Annex VII: Evaluations (no template) Annex VIII: Risks Year N+1 (no template) 3

4 Annex IX: Procurement plan Year N+1 (no template) Annex X: Organisation chart year N+1 (no template) C Terminology - Activity - a coherent area of action with objectives and resources. Ideally the areas of action in each Agency are divided into 4-5 Activities or more, depending on the size of the Agency. - Indicator means metric(s) used for monitoring the achievement of objectives or performance. - Objective describes what the agency wants to achieve either in the short or long term. - Target is the desired result of the indicator being either an exact result or a margin within which the indicator result should be. The following terms are used in the Commission guideline on evaluation: - Outputs are what is directly produced or supplied through the EU intervention. They often relate to the expected deliverables of the intervention and are identified based on its operational objectives. - Results capture the immediate/short term changes in a situation and should be defined based on the specific objectives of the intervention this could also be called outcomes - Impacts broadly define the changes that were desired and predicted over a longer period of time and are linked to the general objectives of the intervention D Suggested information to be contained in each section Section Information to be covered Foreword It is recommended that this section is drafted as a foreword or a [1-2 pages] 1 personal message from the agency Director. Each agency should detail its priorities and challenges for the years N+1 - N+3 here. List of Acronyms [1-2 pages] Overview of all acronyms used throughout the document. Mission Statement [1 page] Full text of the mission as well as vision and values, if defined by the Agency concerned. In addition, presentation of the legal mandate and tasks of the agency as laid out in its founding act which should be 1 The suggested number of pages illustrates the weight of each section and is not binding in any way. 4

5 reflected in its mission, i.e. closely linked to its vision and values Section I 1. General context [2 pages] General context Placing the work of the agency into the anticipated future policy context. A description of influencing factors that were anticipated when the multiannual work programme or strategy was decided accompanied by a short explanation as to how (i) they impact the agency, and (ii) they will be addressed in the multi-annual programme. Both external and internal factors should be considered, for example: Emerging EU policy priorities Changes /trends in the EU situation related to the core business, resource constraints New, changed or removed agency tasks (resulting from the revision of Agency mandate, i.e. revision of its founding regulation) increase in workload related to existing tasks (no modification of the mandate =no revision of agency s founding regulation), Developments in relation to key partners User requirements (changing demand for certain services) Special attention is to be given to policy regarding SME's and micros. This section is updated annually to explain how the changes in the policy context impact the fixed term multi-annual programme. Section II Multi-annual programming (N+1 N+3) N.B. the agencies are free to decide which period of time their multi-annual programming covers. The minimum resource planning required by the FFR is three years, and therefore these guidelines use that as reference. 1. Multi-annual objectives [1-2 pages] This section lists / describes the medium term, strategic objectives of the Agency as well as explains how the progress in their achievement is monitored (e.g. with indicators with targets). These objectives are fixed for a certain number of years, as decided by each agency, and not updated annually. Preferably this could be presented in a table. 2. Multi-annual programme 2.1 [Strategic area of operation/interven tion 1] 2.2 [Strategic area These sections describe the content of the multi-annual programme i.e. the strategic areas of operation/intervention that explain what needs to be done to achieve the objectives. The programme can be fixed for a certain number of years and not 5

6 of operation/interven tion 2] Etc. [1-2 pages per area of operation/interven tion] 3. Human and financial resource - outlook for years N+1 N+3 updated annually. The structure of this part is left up to each Agency. This section explains the future outlook for the resource needs for the strategic areas of operation/intervention based on the situation at the end of year N-1 and deriving from the multi-annual objectives as well as the outlook based on the Multi-annual Financial Framework and solutions for potential discrepancies between the two. This section will contain a brief highlight of the main aspects of the situation as described below, whereas complete tables, if applicable, will be provided in annex II as indicated Overview of the past and current situation Staff population overview for N-1: highlights of evolution (in %) for the action areas and explanatory reasons. For detailed data on different staff categories, provide table 1 in annex III. Expenditure for N-1: highlights on the evolution of expenditure for the action areas and related reasons. For detailed data, provide Table 1 in Annex II. Other information concerning recruitment policy, appraisal of performance and reclassification/promotions, mobility policy, gender and geographical balance and schooling to be provided in Annex IV. A-E (Table + short descriptive information) Resource programming for the years N+1-N Financial Resources (detailed data provided in Tables in Annex II) Justification - Revenue: - Expenditure: Budget Outturn and cancellation of appropriations information provided in Table 3 with short descriptive information and justification Human resources Staff population evolution - detailed data, provide table 2 in 6

7 annex III- highlight of the main expected trends for the following years (N+1 to N+3) and provide explanatory reasons. Resource outlook over the years N+1 to N+3 This section should provide a description of the future activities of the agency by taking into consideration consequences on staff policy. It should include the following points, if relevant: A) New tasks: if the agency is entrusted new tasks (i.e. extension of the agency mandate = revision of its founding regulation, due to inter alia adoption/modification of another legal act), this section should describe the new tasks and their impact on human resource needs (the number of staff members needed, the profile of staff needed to perform new tasks, if applicable). B) Growth of existing tasks: If the agency envisages an increase in workload related to existing tasks due to in particular adoption/modification of relevant legal act (no modification of the mandate =no revision of agency s founding regulation), the additional required workload and consequences on human resource needs should be presented (if applicable). C) Efficiency gains: The section should contain explanations as regards possible/expected efficiency gains (both quantitative and qualitative) that could be achieved in the agency. D) Negative priorities/decrease of existing tasks: The section will also contain a paragraph identifying the tasks considered for downsizing /discontinuation as well as tasks that are no longer a priority (if applicable). E) Redeployment: the agency is requested to reflect on reprioritization of its actions and to envisage possible redeployment of resources in view of the current budgetary constraints, including 5% staff cuts within the period and conclusions from the paragraphs above (A to D)(if applicable). Conclusion on evolution of resources compared to the Commission Communication This section is updated annually. Section III Work Programme [N+1] N.B. the annual work programme will be equivalent to the financing decision in accordance with Art. 68 of the FFR if it clearly identifies all elements set out in Article 32(3)and indicates the legal basis and the indicative timetable. Detailed requirements concerning grants, procurement and prizes are set 7

8 out in Article 94 RAP (reflected in agencies IRs) 1. Executive summary 2. Activities 2.1 Activity (operational) Activity (operational) Activity (horizontal) Activity (horizontal) 2 Brief summary of the WP. This is the main body of the Work Programme describing, per activity (i) what the agency aims to deliver in the respective year towards achieving its medium-term objectives, and (ii) how expected results will be measured 2. Activity is the basis for the structure of this section of the Work Programme, distinguishing between operational activities directly related to the mission and core tasks of the agency, and horizontal/ cross-cutting activities - carried out to support operational activities and staff. Various other terms are in use in the agencies that hold the same meaning as activity. This work programme section can therefore be structured on the basis of a different term, as long as it is in line with the definition of activity : a coherent area of action with objectives and resources. For each activity, the following information should be provided: Overview A short narrative, e.g. description and added value of the activity, main challenges in Year N+1 and link to the multiannual objectives. Objectives, indicators, outcomes and outputs Specific objectives for the activity [the objectives can remain the same for several years if the actions taken are recurring e.g. processing of certain types of dossiers or applications]. Each objective should be linked to the higher level strategic/multiannual objectives. Indicators [the indicators can also remain same to enable comparison]. Targets [these are set annually]. Expected results define the outcomes of the actions Main outputs/ actions in Year N+1 which are expected to contribute to the achievement of the objective and necessary for achieving the expected results as well as a link to the multiannual objectives. Resources: Provides the staff and budget available for the activity. Brief information summarising the human and financial resources. 2 Can be included in Annex III. 8

9 Optional: Baseline numbers (estimates of quantifiable workload drivers). Except for the narrative, the rest of the information can be provided in table format. There should be a link between each objective, indicators measuring the achievement thereof, targets for the indicators as well as outputs which need to be delivered to achieve results and thereby the objective in question. (This information can be presented in the format of the template in section E, however, this is optional.). Annexes I : Resource allocation per Activity N.B. Templates for the annexes II-V, as required by the Commission, are in section F. - Table providing aggregated human and financial resources per WP activity. Justification and brief information on HR and financial resources provided under section III for each activity. II: Financial Resources Information concerning revenue and expenditures, outturn and cancellations of commitment and payment appropriations. Partially fee- financed agencies should ensure that their budget is presented with appropriate breakdown between EU - financing and fee - financing. III. Human Resourcesquantitative IV. Human resources qualitative V. Building Policy VI Privileges and immunities VII. Evaluations Overview of all categories of staff Staff policy plan for N+1 N+3 Partially fee- financed agencies should ensure that their budget is presented with appropriate breakdown between EU - financed and fee financed HR. Information concerning recruitment policy, appraisal of performance and reclassification/promotions, mobility policy, gender and geographical balance and schooling. Brief information on the agency s building policy; current situation and future outlook. Brief information on privileges and immunities applicable to the agency such as: VAT exemptions, diplomatic status, education etc. - Internal monitoring and evaluation system - Action plans deriving from ex-post evaluations - short summary, max ½ page, possibly link to website VIII. Risks Internal and external risks (opportunities and threats) that could 9

10 [2-3 pages] potentially impact the implementation of the Work Programme, including a list of countermeasures. IX. Procurement plan for the year N+1 [3-4 pages] Information to be covered (for Financing Decision year N+1): Main procurement initiative Value Indicative timeframe for launching the procurement Type of procedure/contract X. Organisation chart Organisation chart of the Agency for year N, or if restructuring known, year N+1[including the precise number of each category of staff for each entity at 31/12/N-1.] 10

11 E Optional template for WP Activity structure Objective 1: [Description of the objective] Expected results [Description of the expected results for the year] Indicators Latest result Target Year N Means and frequency of verification 1. [name] Year N-2: x % [Monthly report] 2. [name] Year N-2: x% Main outputs Outputs relating to the multi-annual work programme objectives: Other outputs: Objective 2: [Description of the objective] 11

12 F Templates Annex II: Human and Financial Resources (Tables) N+1 N+3 Partially fee- financed agencies should ensure that their budget is presented with appropriate breakdown between EU - financing and fee-financing. Annex II: Table 1: Expenditure Expenditure Title 1 Title 2 Title 3 Total expenditure N N+1 Commitment appropriations Payment appropriations Commitment appropriations Payment appropriations Commitment appropriations EXPENDITURE Executed Budget N-1 Budget Draft Budget N+1 N Agency request Budget Forecast VAR N+1 / N Envisaged in N+2 Envisaged N+3 Title 1 Staff Expenditure 11 Salaries & allowances - of which establishment plan posts - of which external personnel 12

13 12 Expenditure relating to Staff recruitment 13 Mission expenses 14 Socio-medical infrastructure 15 Training 16 External Services 17 Receptions and events Title 2 Infrastructure and operating expenditure 20 Rental of buildings and associated costs 3 21 Information and communication technology 22 Movable property and associated costs 23 Current administrative expenditure 24 Postage / Telecommunications 25 Meeting expenses 26 Running costs in connection with operational activities 27 Information and publishing 28 Studies Title 3 Operational expenditure to be specified by chapter TOTAL EXPENDITURE 3 Including possible repayment of interest; detailed information as regards building policy provided in Table in Annex III 13

14 Payment appropriations EXPENDITURE Executed Budget N-1 Budget Draft Budget N+1 N Agency request Budget Forecast VAR N+1 / N Envisaged in N+2 Envisaged N+3 Title 1 Staff Expenditure 11 Salaries & allowances - of which establishment plan posts - of which external personnel 12 Expenditure relating to Staff recruitment 13 Mission expenses 14 Socio-medical infrastructure 15 Training 16 External Services 17 Receptions and events Title 2 Infrastructure and operating expenditure 20 Rental of buildings and associated costs 4 21 Information and communication technology 22 Movable property and associated costs 23 Current administrative expenditure 24 Postage / Telecommunications 25 Meeting expenses 4 Including possible repayment of interest; detailed information as regards building policy provided in Table in Annex III 14

15 26 Running costs in connection with operational activities 27 Information and publishing 28 Studies Title 3 Operational expenditure to be specified by chapter TOTAL EXPENDITURE Annex II: Table 2 - Revenue Revenues EU contribution Other revenue Total revenues N N+1 Revenues estimated by the agency Budget Forecast of which Operational (Title 3) REVENUES of which assigned revenues deriving from previous years' surpluses 1 REVENUE FROM FEES 3 THIRD COUNTRIES AND CHARGES CONTRIBUTION (incl. EFTA 2. and EU candidate CONTRIBUTION countries) of of which which EFTA Administrative (Title 1 and Title 2) N-1 N N+1 Executed Budget Revenues estimated by the agency As requested by the agency Budget Forecast VAR N+2 /N+1 Envisaged N+2 Envisaged N+3 15

16 of which Candidate Countries 4 OTHER CONTRIBUTIONS of which delegation agreement, ad hoc grants 5 ADMINISTRATIVE OPERATIONS 6 REVENUES FROM SERVICES RENDERED AGAINST PAYMENT 7 CORRECTION OF BUDGETARY IMBALANCES TOTAL REVENUES Annex II: Table 3 Budget outturn and cancellation of appropriations Calculation budget outturn Budget outturn N-4* N-3* N-2* Revenue actually received (+) Payments made (-) Carry-over of appropriations (-) Cancellation of appropriations carried over (+) Adjustment for carry over of assigned revenue appropriations from previous year (+) Exchange rate differences (+/-) Adjustment for negative balance from previous year (-) Total 16

17 *N the year covered by the programming document drafted in N-1 Descriptive information and justification on: - budget outturn, - cancelation of commitment appropriations, - cancelation of payment appropriations for the year and payment appropriations carried over, 17

18 Annex III. Table 1 Staff population and its evolution; Overview of all categories of staff Partially fee- financed agencies should ensure that their budget is presented with appropriate breakdown between EU - financed and fee financed HR. Staff population Actually filled as of N-2 Authorised under EU budget N-1 Actually filled as of N-1 Authorised under EU budget for year N Actually filled as of N n draft budget for year N+1 Envisaged in N+2 Envisaged in N+3 Officials TA Total AD AST AST/SC AD AST AST/SC CA GFIV CA GF III CA GF II CA GFI Total CA SNE Structural service providers 18

19 TOTAL External staff for occasional replacement Annex III: Table 2 Multi-annual staff policy plan Year N+1-Year N+3 Category and grade Establishment plan in EU Budget N-1 Filled as of 31/12/N-1 Modifications in year N-1 in application of flexibility rule Establishment plan in voted EU Budget n Modifications in year N in application of flexibility rule Establishment plan in Draft EU Budget N+1 Establishment plan N+2 Establishment plan N+3 AD 16 AD 15 AD 14 AD 13 AD 12 AD 11 AD 10 AD 9 AD 8 AD 7 AD 6 AD 5 Total AD AST 11 officials TA officials TA officials TA officials TA officials TA officials TA officials TA officials TA 19

20 AST 10 AST 9 AST 8 AST 7 AST 6 AST 5 AST 4 AST 3 AST 2 AST 1 Total AST AST/SC1 AST/SC2 AST/SC3 AST/SC4 AST/SC5 AST/SC6 Total AST/SC TOTAL Annex IV: A. Recruitment policy: Description of the recruitment policy by each type of staff (officials, temporary agents, contract agents, seconded national experts, structural service providers) to include information about: a) type of key functions; b) the selection procedure (including policy on (internal) competitions if applicable); c) the entry grade for each key function (for officials and TA); d) the length of contracts, and e) the tender procedure in case of external service providers. 20

21 Annex IV: B. Appraisal of performance and reclassification/promotions Table 1 - Reclassification of temporary staff/promotion of officials Category and grade Staff in activity at 1.01.Year N-2 How many staff members were promoted / reclassified in Year N-1 Average number of years in grade of reclassified/promote d staff members officials TA officials TA AD 16 AD 15 AD 14 AD 13 AD 12 AD 11 AD 10 AD 9 AD 8 AD 7 AD 6 AD 5 Total AD AST 11 21

22 AST 10 AST 9 AST 8 AST 7 AST 6 AST 5 AST 4 AST 3 AST 2 AST 1 Total AST AST/SC1 AST/SC2 AST/SC3 AST/SC4 AST/SC5 AST/SC6 Total AST/SC Total 22

23 Annex IV: B. Appraisal of performance and reclassification/promotions Table 2 -Reclassification of contract staff Function Group Grade Staff in activity at 1.01.Year N-2 How many staff members were reclassified in Year N-1 Average number of years in grade of reclassified staff members CA IV CA III CA II CA I Total The agency's policy on performance appraisal and promotion/reclassification short description 23

24 Annex IV: C. Mobility policy Brief description of the policy on: a) internal mobility along with quantitative evolution; b) mobility between agencies (ref to Inter-agency job market agreement and the number of vacant posts as a result of staff mobility to other agencies, as well as no of staff coming from other agencies recruited through IAJM); c) mobility between agency and Institutions. Annex IV: D. Gender and geographical balance Explanatory figures to highlight gender/nationalities of staff (with reference to the contract type and indication of the function group Annex IV: E. Schooling Information concerning existence of a European School, European section in a national school or an agreement with an international school. If a solution still needs to be found, the agency should provide possible scenarios. 24

25 Annex V: Buildings (table) Current building(s) Name, location and type of building Other Comment Information to be provided per building: Surface area (in square metres) - Of which office space - Of which non-office space Annual rent (in EUR) Type and duration of rental contract Host country grant or support Present value of the building If yes, please specify If the agency owns the building Building projects in planning phase [If applicable: information on building policy, the expected evolution of the surface area, and a description of building projects in the planning phase which are already identified] Building projects submitted to the European Parliament and the Council [If applicable: information on building projects likely to have significant financial implications which will be submitted to the European Parliament and the Council shortly, as well as the final terms and costs of building projects previously submitted, in accordance with Article 203 of the Financial Regulation] 25

26 Annex VI. Privileges and immunities Agency privileges Privileges granted to staff Protocol of privileges and immunities / diplomatic status Education / day care 26