CE TEXTE N'EST DISPONIBLE QU'EN VERSION ANGLAISE

Transcription

1 CE TEXTE N'EST DISPONIBLE QU' VERSION ANGLAISE ANNEX 1 1. IDTIFICATION Title/Number Support Services to the National Authorising Officer CRIS NO: FED/2009/ Total cost Total: 315,800 (EC Contribution: 225,000; Beneficiary: 90,800) - A envelope 10 th EDF Aid method / Method of implementation Project approach, Partially decentralised management DAC-code Sector Economic and Development Policy/Planning 2. RATIONALE 2.1. Sector context The programme of Support to the National Authorising Officer places new emphasis on the following: (i) Project Formulation, (ii) Programme Coordination, (iii) Procurement, (iv) Programme Monitoring and Implementation, (v) Monitoring and implementation of the National Adaptation Strategy (NAS). St. Kitts and Nevis has never had a physically separate NAO s Office. EC funded programmes are managed in an integrated, centrally located projects section of the national planning facility located in the Ministry of Finance & Sustainable Development (MoFSD). The closure of the sugar industry and the consequent development of Accompanying Measures for Sugar Protocol countries (AMSP) to assist with post-sugar adaptation have resulted in a significant increase in the resources allocated to St. Kitts & Nevis and consequently the workload of the Project Coordination Unit (PCU). It has therefore been recognized that more support to the Unit is necessary to deal with management of several EDF financed projects, the implementation of the NAS which is the basis of current and future budget support a new aid modality for St. Kitts, and accompanying technical assistance programmes financed under the Sugar facility. The PCU is therefore seeking to establish a dedicated NAO's Office which will be linked to the existing project office so that it benefits from the existing experience but with its own staff to work on issues emanating from the partnership between St. Kitts and Nevis and the European Commission Lessons learnt The Project Coordination Unit has not been a beneficiary of any direct project support in the past, other than some assistance for training and attendance at conferences and seminars under the ongoing TCF for general project staff. These are the same officers covering some of the activities of the NAO office and therefore the office has experienced difficulties previously in implementing the National Indicative Programme due to inadequate capacity. Therefore it is desirable to create a dedicated NAO's Office which can concentrate on EC cooperation alone. Experience has shown that further assistance is required in several areas: policy development, sectoral planning, project management, improved coordination and visibility, reporting and monitoring, training and additional staff. It has also been demonstrated that there needs to be enough focus on achieving a clear vision and understanding of project implementation in the Financing Agreement, and in response there is also a need for Government implementation and planning capacity building prior to project start-up. Evidently there is a need to focus more on strengthening the institutions managing and implementing programme activities. The presence of sufficient staff and strengthened management and planning capacity for an enhanced institutional framework should take centre stage in future EC cooperation. The activities proposed for implementation of the Support Services to the NAO also draw on a number of important lessons from the implementation of previous EU

2 CE TEXTE N'EST DISPONIBLE QU' VERSION ANGLAISE development cooperation programmes within the country. It also draws on a number of lessons learned from various reports Complementary actions The proposed project is an important means of supporting the adjustment process of SKN to the new market conditions affecting sugar. The project is consistent with the NAS which addresses the GoSKN response to economic/fiscal and structural issues and maps out economic diversification programmes and activities related to non-sugar agricultural diversification, social protection, poverty reduction and environmental challenges raised by the EU sugar reforms. The NAS constitutes the overall development strategy of the GoSKN. The proposed programme is consistent with the country s 2006 sugar allocation ( 2.85 million) which supports the strengthening of Government planning and coordination mechanisms and the establishment of the institutional framework for managing the adaptation process, as well as with the 2007 sugar allocation via a general budget support programme for 10.5 million which has a technical assistance component aimed at developing institutional capacity within the public sector as well as development of strategic policies. Most of the A- allocation for the 9 th EDF NIP is allocated to the focal sector Human Resources Development, with emphasis on skills development in the area of information technology. The focal sector proposed for the 10 th EDF is Safety and Security with special attention to capacity building, training, and provision of scholarship programmes for police and other security staff. It is the differentiation of these complementary modalities as well as the increase in workload that now makes earmarked resources for the NAO necessary. These approaches are all supported both by the European Consensus and the Paris Declaration on Aid Effectiveness where it is acknowledged that aid effectiveness may require different but complementary modalities. The 10 th EDF CSP allocates 5% of the total to support for the NAO Donor coordination The EC is the only donor with significant grant funds for a major bilateral aid programme in SKN. Project activities will be integrated with ongoing projects under the 9 th EDF and the 2006, 2007 and 2008 sugar allocation programmes where appropriate. There are only two development financial institutions present in SKN which are the World Bank and the Caribbean Development Bank (CDB) with which the EC collaborates closely through an alignment with its policy based assistance under the general budget support programme for the 2007 AAP. In addition, the programme will seek to complement the activities of other donors such as CIDA and programmes like CARTAC that are engaged in the implementation of a series of public finance management reforms in SKN. 3. DESCRIPTION 3.1. Objectives The overall objective of this programme is to ensure the efficient and optimal utilization of EU development assistance in support of national development goals and objectives. The programme's purpose is to foster more efficient and effective planning, utilization, monitoring and implementation of EU development assistance and co-operation in St. Kitts & Nevis through support to the operations of the National Authorising Officer. The detailed planning of the project will be subject to an Institutional Assessment of the relevant units assisting the NAO to be undertaken before the first Programme Estimate is prepared. The assessment will review organisational structures, working methods, allocated tasks, coordination and communication patterns, budget 1 Report of the 7 th Meeting of the ACP National and Regional Authorizing Officers, Brussels 10 th -12 May 2003; Brussels Declaration on the timely and effective implementation of the EDF :(NAOs/RAOs meeting 10 th to 12 th May 2003); Europe Aid: Working Paper; orientation note on the reinforcement of the National Authorizing Officer System; Report on the Caribbean Regional Workshop for ACP National and Regional Authorizing Officers, Non-State Actors and EC Heads of Delegation held in Suriname March 2004; European Development Fund Support Services Unit Mid-Term Evaluation Report December AGRER Belgium.

3 CE TEXTE N'EST DISPONIBLE QU' VERSION ANGLAISE allocations et cetera taking into consideration the present structure and needs and consider the future needs due to the shift towards general budget support. The findings will provide the basis for further competence development/training and/or institutional and organisational improvements Expected results and main activities Results The set of results necessary to achieve the project purpose comprises: 1. A more coordinated and operationally strengthened structure with clear lines of reporting and mechanisms for cross-ministerial sectoral planning and coordination of the transition and development programming which supports the overall implementation of the NAS and coordination with donors; 2. Improved planning, reporting, monitoring and accounting of the use of EU funds and in particular the delivery of budget support programmes; 3. Better visibility of EU development assistance to St. Kitts and Nevis. Activities The following activities will be undertaken in support of the results: In fulfilment of Results Area 1: a) Establishment of a dedicated NAO's Office. b) Annual country portfolio reviews, donor coordination meetings and annual budget support reviews with the EC and other donors; establishment and support to donor-coordination forums on public finance management and macro-economic reforms. In fulfilment of Results Area 2: c) Participation in Conferences and Workshops by staff in the NAO s Office & line ministries, allowing them to participate effectively in skills and knowledge transfers and to facilitate networking. d) Training for staff working in the NAO s Office is necessary for their general professional development as well as to assist them in keeping abreast with all the relevant EU policies, processes and procedures. e) Administrative support is integral to any project management based institutional structure through providing supplies and equipment and covering some operating costs to enable the office to function efficiently. In fulfilment of Results Area 3: f) Publication of EU development cooperation initiatives with SKN Risks and assumptions The programmes assume the following: At the level of the activities that there will be the availability of suitable, dedicated and motivated staff and appropriate information materials and equipment, mobilised in a timely manner; At the level of the results that external factors do not overcome the efforts of the NAO in relation to project implementation or slippages in implementation of sound macro-economic policies that could affect the overall macroeconomic climate and general budget support programmes under the AMSP;

4 CE TEXTE N'EST DISPONIBLE QU' VERSION ANGLAISE At the level of the project purpose that a continuity of development co-operation is ensured from the EU; Economic and social partners will fulfil their obligations and responsibilities; The Government remains committed to fully implement the NAS in a timely manner in spite of capacity constraints in sector/line ministries, & these ministries are committed to working in a coherent and coordinated manner with the MoFSD; Availability of relevant technical assistance and consultancy services and retention of the staff in the NAO s Office; Timely availability and disbursement of funds under this programme; Natural/man-made disasters will have manageable consequences. Through carefully established monitoring and reporting systems, the NAO will have the opportunity to supervise the Support Services to the NAO output on a continuing basis. Thus, the NAO will be able to apply any changes regarding the management and operation of the Office should the need arise. The risks are that the above mentioned assumptions are not fulfilled Crosscutting Issues The project will also seek to train and inform the staff of the NAO s Office & line ministries on cross-cutting issues pertinent to St. Kitts & Nevis, which should be addressed in the Project Cycle Management of European Union Aid. These issues should include Environmental Assessment, Guidelines on Good Governance, Gender Equality and Disability Stakeholders The enhancement in support to the NAO s Office will facilitate the efficient delivery of EC funded programmes to some of the most vulnerable groups in the society. In the case of the Sugar Facility funded programmes, direct key stakeholders include the ex sugar workers and their families as well as other vulnerable groups. The wider community including workers in key service industries in the economy such as tourism and ICT will also benefit from the economy wide transformation that is the planned outcome of the Adaptation Strategy. Other key stakeholders include the officers and staff of the MoFSD and ultimately the whole of the public sector. Investments in human resources and institutional development efforts will enhance Government capacity to plan and manage the ongoing adaptation process, and to achieve macro-economic stability and transparent public finance management systems conducive to receiving budget support as the main EC aid modality for the implementation of programmes under the sugar facility and potentially under the 10 th EDF. 4. IMPLEMTATION ISSUES 4.1. Method of implementation The project will be implemented under partially decentralised management through the signature of a financing agreement with the Government of St. Kitts & Nevis. Technical assistance will be recruited under the framework contract procedure. Implementation of the other activities is under a Programme Estimate with the Ministry of Finance and Sustainable Development. The National Authorising Officer will be the Contracting Authority. Imprest administrators and accounting officers will be assigned. Day to day management and implementation of the project will be located in the existing structure with the Planning Unit of the MoFSD. The existing institutional structure and management system will be reviewed during the formulation of the Financing Proposal. Responsibility for the overall management and the coordination of tender procedures and contracting will rest with the NAO's office. The Commission controls ex ante all the procurement contracts except for procurement contracts under Programme Estimates where the Commission controls ex ante procurement

5 CE TEXTE N'EST DISPONIBLE QU' VERSION ANGLAISE contracts > EUR and ex post procurement contracts EUR. All grant contracts, whether being under Programme Estimates or not, are subject to ex ante controls. Any programme estimates under this project will take the form of direct decentralised operation. Through the programme estimates, payments are decentralised for operating costs and contracts up to the ceilings indicated in the table below: The Authorising Officer ensures that, by using the model of financing agreement for decentralised management, the segregation of duties between the authorising officer and the accounting officer or of the equivalent functions within the delegated entity will be effective, so that the decentralisation of the payments can be carried out for contracts up to the ceilings specified below. Works Supplies Services Grants < EUR EUR < EUR EUR 4.2. Procurement and programme estimates All contracts implementing the action must be awarded and implemented in accordance with the procedures and standard documents laid down and published by the Commission for the implementation of external operations, in force at the time of the launch of the procedure in question. Participation in the award of contracts for the present action shall be open to all natural and legal persons covered by the EDF. Extensions of this participation to other natural or legal persons by the concerned authorising officer shall be subject to the conditions provided for in article 20 of Annex IV of the Cotonou Agreement. All programme estimates must respect the procedures and standard documents laid down by the Commission, in force at the time of the adoption of the programme estimates in question Budget and calendar The estimated project operational implementation phase is 48 months, followed by a 24 months closure period. The budget will be programmed from 10 th EDF Funding, allocated to Support Services to the National Authorising Officer as follows: Budget Item Budget (Euro) Government Contribution (Euro) Total (Euro) Activity 1: Staffing of NAO Office these activities will be implemented through programme estimates 95,000 55, ,800 Activity 2: Training, Conferences and Workshops - these activities will be implemented through programme estimates Activity 3: Administrative Support (facilities, equipment, and operating costs) -these activities will be implemented through programme estimates 48,000 48,000 50,000 10,000 60,000

6 CE TEXTE N'EST DISPONIBLE QU' VERSION ANGLAISE Audits 10,000 10,000 Monitoring and Evaluation 15,000 15,000 Contingencies 7,000 7,000 Office Rental 25,000 25,000 Total 225,000 90, , Performance monitoring Overall monitoring of the programme will be assured by the NAO in St. Kitts & Nevis and the Delegation of the European Commission in Barbados and the Eastern Caribbean. External consultants may be recruited to support the process Evaluation and audit An evaluation of the support to the NAO will be conducted at the end of the programme. A provision for Audit is included in the Budget of this Financing Agreement. In addition, the Chief Authorising Officer can use this provision to organise an independent audit of expenditure under this agreement. Audit and evaluation contracts and framework contracts are always conducted by the Commission acting for and on behalf of the ACP country concerned Communication and visibility The Support Services to the NAO will ensure that proper visibility is provided for the EU interventions for this agreement and other agreements implemented with EU funding in St. Kitts in accordance with existing visibility guidelines: [ This includes ensuring that reference to the EU contribution shall be made on each official document and report elaborated with EU support, to provide appropriate support to and encourage PR activities as well as ensuring that every work site/building funded with EU funds is officially recognised by an appropriate sign.

7 CE TEXTE N'EST DISPONIBLE QU' VERSION ANGLAISE AIDCO/ (2008) D/NNN

8 CE TEXTE N'EST DISPONIBLE QU' VERSION ANGLAISE ANNEX 2 1. IDTIFICATION Title/Number Total cost Aid method / Method of implementation Technical Cooperation Facility and Support to Non-State Actors CRIS: FED/2009/ EC contribution: 450,000 (10% of Indicative Programme) EDF 10 A envelope Project approach partially decentralised management. DAC-code Sector Economic and Development Policy/Planning 2. RATIONALE 2.1. Sector context The present intervention will support the planning and implementation of policies and strategies in all sectors supported by the various instruments of EU cooperation, including in particular the education sector (focal sector for the 9 th EDF) and the area of safety and security (focal sector for the 10 th EDF), as well as the areas supported under the AMSP Lessons learnt The former Technical Cooperation Facility from the 9th EDF ( ) has supported the European Commission cooperation programme in St Kitts and Nevis in various activities including the sugar facility. It has also allowed participation in seminars and trainings that have improved the understanding of the EU cooperation policies among key actors. Experience has shown that in general, the need for Technical Assistance (TA) was underestimated, while the other components were overestimated. The TA allocation has therefore been increased Complementary actions There is no ongoing EC action which would be complementary to the present one. In the future, St Kitts and Nevis will also benefit from more specific support to the NAO's office, which will address similar problems, but will only focus on the NAO's office. 1

9 CE TEXTE N'EST DISPONIBLE QU' VERSION ANGLAISE 2.4. Donor coordination Through the allocation for training and for conferences and seminars, the project will contribute to improved coordination with other donors in particular in the focal sector. However, as there are very few other donors active in St Kitts and Nevis, donor coordination is limited and does not include joint programming or pooled funding. 3. DESCRIPTION 3.1. Objectives The overall objective of the programme is to support the implementation of the Government's development strategies and policies through improved assistance by the European Community. The project purpose is to improve the planning and implementation of development projects and programmes financed by the European Community (including the EDF and the sugar facility), strengthen the capacity of Government services and support the involvement of Non-State Actors in EU projects and programmes Expected results and main activities Expected results include: Improved efficiency and effectiveness of EU development assistance Better visibility of EU development assistance to the country Stronger involvement of Non-State Actors in the planning and implementation of EU development assistance. The main activities to be implemented under this intervention are: Technical Assistance. This component will help the Government of St Kitts and Nevis to plan and implement programmes and projects in accordance with EDF rules and procedures, providing TA services in particular during the identification and feasibility stage, but also at all other stages of the project cycle including monitoring, evaluation and audit if the TA required is not covered by the project itself. The component will also fund trade related technical assistance activities. Training Support for Projects and Programmes. This component will finance various educational actions related to the planning and implementation of EDF funded activities. Conferences and Seminars. This component will cover more general short term training activities for ACP officials and NSA staff, as well as participation in international conferences on development or trade issues, which are organized by institutions other than the Commission. 2

10 CE TEXTE N'EST DISPONIBLE QU' VERSION ANGLAISE Support to Non-State Actors. This component will finance various activities to support the involvement of NSA in the planning and implementation of EDF funded activities Risks and assumptions There are no particular risks involved in the implementation of the present project. Implementation is not subject to any specific conditions to be met by the Government Crosscutting Issues The project will support the integration of crosscutting issues in the planning and implementation of EU assistance in St Kitts and Nevis, by providing technical assistance and training during the relevant phases of the project cycle Stakeholders The stakeholders in this Technical Cooperation Facility project are those relevant to the EDF cooperation programmes in St Kitts and Nevis, especially government institutions, target groups according to EC programmes and projects for which the TCF would be use, and the citizens in general. 4. IMPLEMTATION ISSUES 4.1. Method of implementation The method of implementation will be partially decentralised management through the signature of a financing agreement with the Government of St Kitts and Nevis. The Commission controls ex ante all the procurement contracts except for procurement contracts under Programme Estimates where the Commission controls ex ante procurement contracts > EUR and ex post procurement contracts EUR. All grant contracts, whether being under Programme Estimates or not, are subject to ex ante controls. Any programme estimates under this project will take the form of direct decentralised operation. Through programme estimates, payments are decentralised for operating costs and contracts up to the ceilings indicated in the table below: The Authorising Officer ensures that, by using the model of financing agreement for decentralised management, the segregation of duties between the authorising officer and the accounting officer or of the equivalent functions within the delegated entity will be effective, so that the decentralisation of the payments can be carried out for contracts up to the ceilings specified below. Works Supplies Services Grants 3

11 CE TEXTE N'EST DISPONIBLE QU' VERSION ANGLAISE < 300,000 EUR 150,000 EUR < 200,000 EUR 100,000 EUR 4.2. Procurement and programme estimates All contracts implementing the action must be awarded and implemented in accordance with the procedures and standard documents laid down and published by the Commission for the implementation of external operations, in force at the time of the launch of the procedure in question. Participation in the award of contracts for the present action shall be open to all natural and legal persons covered by the 10 th EDF. Extensions of this participation to other natural or legal persons by the concerned authorising officer shall be subject to the conditions provided for in article 20 of Annex IV of the Cotonou Agreement. All programme estimates must respect the procedures and standard documents laid down by the Commission, in force at the time of the adoption of the programme estimates in question Budget and calendar - Technical Assistance 280,000 - Training 50,000 - Conferences and workshops 50,000 - Support to Non-State Actors 25,000 - Audits 10,000 - Evaluation 10,000 - Contingencies 25,000 Total 450,000 The execution period for this project will be 84 months, including an implementation period of 60 months and a closure period of 24 months Performance monitoring The project will be monitored regularly by the NAO and the Delegation Evaluation and audit An end-of programme evaluation is foreseen for this project. Regular audits will be carried out for the closure of the Programme Estimates. 4

12 CE TEXTE N'EST DISPONIBLE QU' VERSION ANGLAISE 4.6. Communication and visibility The present project will serve to support visibility activities for other interventions, if other funds are not available. However, no specific activities are planned for the visibility of the present project itself. 5