BLACK COUNTRY TECHNICAL ASSISTANCE

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Country Technical Assistance Team presents a

understanding of complex ERDF regulations

1 BLACK COUNTRY TECHNICAL ASSISTANCE ERDF CAPACITY BUILDING PROGRAMME 2014 The Black Country Technical Assistance Team presents a series of capacity building workshops to support existing and newly funded Black Country ERDF Projects to increase their understanding of complex ERDF regulations and to manage their projects in a robust and efficient manner.

2 Contents Black Country Technical Assistance Team 1 ERDF Public Procurement & State Aid 2 ERDF Financial Management 5 ERDF Monitoring & Audit 8 ERDF Project Closure & Exit 10 Contact Information & How to Book 12

3 BLACK COUNTRY TECHNICAL ASSISTANCE TEAM BLACK COUNTRY TECHNICAL ASSISTANCE The Black Country ERDF Technical Assistance Team s role is to support the development of ERDF activity across Dudley, Sandwell, Walsall and Wolverhampton. Working closely with the Black Country LEP, the four Black Country Local Authorities and other public and private partners, the team: supports applicants with development of ERDF eligible projects; supports existing projects to achieve their expected outcomes and expenditure and remain compliant throughout their delivery; enhances delivery of ERDF Communications; captures best practice and presents achievements on the Package and all Black Country projects; provides a focal point for the communication and promotion of future opportunities offered by the forthcoming EU Programme. ERDF CAPACITY BUILDING PROGRAMME 2014 The Black Country Technical Assistance Team have organised a number of FREE ERDF capacity building workshops to support existing and newly funded Black Country ERDF Projects to grow their understanding of complex ERDF regulations and to manage their projects in a robust and efficient manner. The workshops, which will delivered by Kalliopi Associates, are suitable for Black Country ERDF project staff, funding, finance and procurement officers and accountable bodies and guarantors. Kalliopi Associates has extensive experience in the field of EU Funding particularly the Structural Funds Programmes and has worked closely with West Midlands and Black Country partners over the years. Each interactive session is expected to attract 20 attendees with a mix of ERDF knowledge and experience. On completion participants will receive a programme certificate and copies of course material. Project is part financed by the European Union- European Regional Development Fund. 1

4 ERDF PUBLIC PROCUREMENT & STATE AID Managing State Aid and Public Procurement in ERDF Funded Projects The European Union is founded on the principle of fair and transparent transfer of goods and services within and between the Member States. Underpinning these principles are the Competition Laws; an element of which is how public sector investment is managed. Projects funded through the European Regional Development Fund fall within this remit. If investment is found to contravene the conditions laid down in the Laws, the penalties can be significant. So as to support project applicants in the planning and ongoing management of ERDF projects, 2 halfday sessions relating to (1) State Aid and (2) Public Procurement have been designed. Both sessions will be facilitator led with opportunity for case study discussion based on practical worked examples. The State Aid session will cover: The background to the State Aid Regulations and the limitations they place on the investment of public funding How to establish whether State Aid is present when planning an investment What measures are available to manage investment Block Exemptions, Regional Aid, de Minimis Calculating, recording and reporting State Aid in delivery. The Public Procurement session will cover: The legalities of EU Public Procurement and Public Procurement procedures How to manage Public Procurement in project delivery Procuring and contracting for goods and services options and practices. ERDF Public Procurement in Practice Workshop (half day session): 28 th August 2014 (9:30am 13:00pm), ASAN The Workspace, All Saints Road, Wolverhampton WV2 1EL. Or 30 th September 2014 (9:30am-13:00pm), The Brambles, 2 Priory Road, Dudley, DY1 1HH. Managing State Aid Workshop (half day session): 28 th August 2014 (13:30pm 16:00pm), ASAN The Workspace, All Saints Road, Wolverhampton WV2 1EL. Or 30 th September 2014 (13:30pm-16:00pm), The Brambles, 2 Priory Road, Dudley, DY1 1HH. 2

5 ERDF PUBLIC PROCUREMENT & STATE AID 9.30 am Registration ERDF Public Procurement in Practice P R O G R A M M E HALF DAY SESSION 9.45 am Welcome and Introductions Course objectives confirmed am Break Public Procurement and Purchasing - The Regulatory Framework Background to public procurement policy and its management within public authorities EU Procurement, thresholds and regulatory management The Procurement Route Planner estimating purchasing values Internal procedures and implications for project delivery Group discussion and review of ERDF audit requirements am Managing the procurement process Contracts, Frameworks and Lots, Purchase Orders Preparing output-based specifications for services Selection and Award criteria Managing the procurement process Case study review of procurement cycle from business case to purchase pm Plenary Any questions pm Close 3

6 ERDF PUBLIC PROCUREMENT & STATE AID 1.15 pm Registration Managing State Aid in ERDF Projects P R O G R A M M E HALF DAY SESSION 1.30 pm Welcome and Introductions Course objectives confirmed 2.30 pm Break The Regulatory Framework basis of compliance State Aid and the Treaty on the Functioning of the EU - Article 107 (1) Restrictions and Exceptions Article 107 (2) (3) and other provisions The State Aid tests is Aid compatible? Calculating, recording and reporting State Aid investment Linkages to ERDF & other State Investment Programmes Facilitator-led input, group discussion and recognising State Aid quiz 2.45 pm Managing State Aid in Projects Options available: The General Block Exemption Regulation o Regional Aid and Assisted Area Status De Minimis UK Exemptions reviewed 3.45 pm ` Plenary Any questions 4.00 pm Close Group discussion and opportunity for mapping Project activities with State Aid conditions 4

7 ERDF FINANCIAL MANAGEMENT Managing ERDF Finance This one day session is designed to provide a comprehensive overview of ERDF finances and the eligibility factors affecting delivery. The content concentrates on the practical, financial aspects of project delivery and covers issues of apportionment, overheads, match funding and private sector leverage/revenue. The workshop will also provide an insight into the inspection and audit requirements embodied in the EU Commission s Regulations and how projects can best avoid errors and irregularities through risk management. The session will - Review regulatory conditions relating to ERDF expenditure and DCLG requirements Discuss the management of project budgets profiles, match funding, apportionment methodologies Understand the expectations the Regulations place on project deliverers in terms of accountability and audit trails Discuss the risks associated with management of ERDF projects. ERDF Financial Management Workshop (half day session- INVITATION ONLY as part of the Black Country ERDF Operational Meeting): 27 th August 2014 (9:30am 13:00pm), Linden House (Newbridge Room), 211 Tettenhall Road, Wolverhampton WV6 0DD. ERDF Financial Management Workshop (one day session - open): 4 th September 2014 (9:30am -16:00pm), Dudley and Kingswinford Rugby Club, Swindon Road, Wall Heath, Kingswinford, West Midlands, DY6 0AW. 5

8 ERDF FINANCIAL MANAGEMENT Black Country ERDF Operational Team Meeting 9.30 am Registration ERDF Financial Management (Invitation Only) P R O G R A M M E HALF DAY SESSION 9.45 am Welcome and EUSIF Update - Zoey West, Black Country Technical Assistance Team 10.00am Welcome and course objectives confirmed - Anne Eastwood, Kalliopi Associates am Break Managing Finances Commission and Managing Authority (DCLG) rules governing expenditure Eligible and ineligible expenditure Direct, indirect and shared project costs Match funding evidencing actual match and in kind Purchasing, procurement and defrayed expenditure time sensitive issues am Inspections, Audits and EU Finances Key areas of financial inspection and audit reviewed Claims management system Financial management systems and procedures The process for verifying and validating data for claims Implications for project applicants Group work reviewing financial management systems for ERDF projects pm Plenary Any questions pm Close 6

9 ERDF FINANCIAL MANAGEMENT ERDF Financial Management P R O G R A M M E 9.30 am Registration 9.45 am Welcome and Introductions. Course objectives confirmed. Managing Finances Commission and Managing Authority (DCLG) rules governing expenditure Eligible and ineligible expenditure Private sector leverage and revenue generation (Article 55) Sources of evidence and audit trails Online and transaction listings am Break am Managing and budgeting ERDF expenditure The project budget profiles explained Direct, indirect and shared project costs Match funding evidencing actual match and in kind Purchasing, procurement and defrayed expenditure time sensitive issues The process for verifying and validating data for claims pm Lunch 1.15 pm Putting it into Practice Managing the project budget Sharing costs staff salaries and depreciation Indirect costs and overheads Maintaining profiles, managing variances and re-profiling 2.30 pm Break 2.50 pm Inspections, Audits and EU Finances -Key areas of financial inspection and audit reviewed Claims management system Financial management systems and procedures Implications for project applicants 3.45 pm Plenary Any questions? 4.00 pm Close 7

10 ERDF MONITORING & AUDIT Monitoring and Auditing of ERDF Projects The European Regulations governing ERDF place demanding expectations on project deliverers in terms of maintaining compliance whilst meeting performance targets. Without effective quality management systems linked with sound technical knowledge, deliverers run the risk of non-compliance and clawback of grant. This one day session is designed to provide an insight into the expectations placed on deliverers and provide practical examples of best practice for current and future project management. The session will cover - The core roles and responsibilities of programme implementation functions and separation of duties How to develop a resourced programme or project specific monitoring system linked to risk management The key compliance areas expected by EU Commission relating to Community and National Regulations (EC Reg 1828/2006 Article 13 and Article 16) Best practice in using on-site verification visits (PEV and PAV) to reduce risk in programme and project delivery. ERDF Monitoring and Audit Workshop (one day session): 16 th September 2014 (9:30am-16:00pm), Newhampton Arts Centre, Dunkley Street, Wolverhampton WV1 4AN. Or ERDF Monitoring and Audit Workshop (one day session): 8 th October 2014 (9:30am- 16:00pm), Holiday Inn Express Oldbury, Birchley Island, Oldbury, West Midlands, B69 2BD. 8

11 ERDF MONITORING & AUDIT Monitoring and Auditing of ERDF Projects P R O G R A M M E 9.30 am Registration 9.45 am Welcome and Introductions - Course objectives confirmed EU Commission requirements - Overview Regulation requirements 1083/2006 & 1828/2006 (Article 13 and Article 16) Errors and Irregularities Commission Regulations revisited Compliance areas to observe: o Added value, public match, procurement, state aid, cross cutting themes, publicity Roles and responsibilities of the Project Inspection and Verification Teams (PIV), Audit Teams, Commission and EU plus project applicant reviewed am Break am Scope and content of the Inspection and Verification Visit review of the PIV template Project management controls Financial management controls Purchasing systems and procurement Performance monitoring systems reporting of outputs and results Managing Commission and National regulations pm Lunch 1.15 pm Source documentation and record keeping What is sufficient, what is reliable? Identifying key documentation o to support claim expenditure o to support project outputs and results o to support added value and cross cutting themes Establishing sound project controls and risk management systems Developing the monitoring system 2.45 pm Break 3.00 pm Managing a sound delivery environment 3.45 pm Plenary Any Questions 4.00 pm Close 9

12 ERDF PROJECT CLOSURE & EXIT Project Closure and Exit Strategies Closing and archiving a project is a separate workstream in its own right with the technicalities of document retention in order to avoid clawback and repayments in the future. Of equal importance is the achievement of the project's exit strategy and sustainability factors. All need addressing through project planning and delivery. This one day session provides the information and guidance to ensure the processes are correctly embedded. The session aims To encourage projects to develop managed exit strategies and investment sustainability To plan for project closure as a component of project management To review the process of document retention and archiving to meet ERDF requirements To consider the maintenance aspects of project closure follow up actions, people, assets, lessons learnt. ERDF Project Closure and Exit Strategy Workshop (one day session): Or, 24 th September (9:30am 16:00pm), Walsall Deaf Centre 59a Lichfield Street, Walsall, WS4 2BX. ERDF Project Closure and Exit Strategy Workshop(one day session): 14 th October 2014 (9:30am 16:00pm), Newhampton Arts Centre, Dunkley Street, Wolverhampton WV1 4AN. 10

13 ERDF PROJECT CLOSURE & EXIT STRATEGY Project Closure and Exit Strategies P R O G R A M M E 9.30 am Registration 9.45 am Welcome and Introductions - Course objectives confirmed Managing the closure of a project Closure s role in project management o Realising benefits, preparing for handover and closure Roles and responsibilities project applicant and partners o Immediate and post-project actions o Issues for handover, succession and exit EU specifics covering ERDF projects am Break am Managing the future DCLG guidance Retention and retrieval of records o Authoritative records explained Retention and management of project assets Audit and inspection requirements Archiving records essential documentation pm Lunch 1.15 pm Sustainability defining and managing exit strategies Issues for project design, planning and delivery Identifying project benefits, values and lessons learnt Forming partnerships and linkages for future actions Managing life after the end of the project 2.45 pm Break 3.00 pm Managing the closure and exit process Exit Strategies, sustainability and project closure Expectations of stakeholders Project options available pm Plenary Any questions 4.00 pm Close 11

14 BLACK COUNTRY TECHNICAL ASSISTANCE CONTACT INFORMATION: ZOEY WEST EXTERNAL FUNDING TEAM LEADER NICK ALAMANOS BLACK COUNTRY ERDF PROGRAMME MANAGER KAYE DAVIES PROJECT DEVELOPMENT OFFICER Tel: Mobile: Tel: Mobile: Tel: Mobile: Address: Walsall MBC Civic Centre Darwall Street Walsall, WS1 1TP HOW TO REGISTER: To book your place on one or more of the capacity building workshops please and include details of any special requirements. You will receive a preworkshop questionnaire which you will need to complete and return immediately in order to confirm your booking. Please note that although these workshops are free of charge, failure to attend on the day of the session may result in a small charge. The team produces regular updates to partners in the Black Country on new developments, events and capacity building opportunities. If you would like to receive these updates in the future please send an request to davieskaye@walsall.gov.uk or call

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