OpenLegislation

Appendix Annex (i) to Draft Annual Programme 2005

United Kingdom

Original text. Later amendments are not shown.

In view of the responsibility of the Member State to manage projects supported by the ERF in accordance with Article 12(2)(c) of Decision 2004/904/EC. Please describe the implementing system put in place in order to (a) ensure co-ordination and consistency of actions, (b) select projects and ensure that the selection procedure is transparent and (c) manage, monitor, check, evaluate and audit projects.

The implementing system shall respect the implementing rules adopted by the Commission according to Article 13(5) of Decision 2004/904/EC.

For your description of the implementing system, please make use of the questionnaire attached. Please submit this questionnaire together with the proposal for the 2005 annual programme.

Please note that an updated description of management and control systems should be provided to the Commission whenever substantial changes are made to the systems and procedures.

Date:

1.

ACTION FRAMEWORK

1.1.

Legal framework

(Indicate the legislation and national rules applicable to management and control procedures for ERF actions).

National legislation applicable to ERF management

…

…

…

…

…

…

Specific national rules adopted for ERF management

…

…

…

…

…

1.2.

Responsible authority and delegated body

The responsible authority within the meaning of Article 13 of Decision 2004/904/EC

(Attach the official document designating the public body in question as the ‘responsible authority’ for managing the ERF).

Name: …

Address: …

Name of person responsible: …

Contact person: …

Function of contact person: …

Tel.: …

Fax: …

E-mail: …

Delegated body within the meaning of Article 13 of Decision 2004/904/EC (where appropriate)

(Attach the official document whereby the responsible authority delegated responsibility for implementing ERF actions to the intermediary).

Name: …

Address: …

Name of person responsible: …

Contact person: …

Function of contact person: …

Tel.: …

Fax: …

E-mail: …

2.

STRUCTURE AND RESOURCES OF THE RESPONSIBLE AUTHORITY/DELEGATED BODY

Attach a detailed organisation chart including a brief description of functions. If implementation of the ERF has been delegated, attach an organisation chart and a brief description of functions for the delegated body.

2.1.

Status of the responsible authority/delegated body

What is the legal status of the responsible authority?

Public bodyPublic law establishment or agency

What is the legal status of the delegated body?

Public bodyPublic law establishment or agency
Private bodyOther (please specify) …

2.2.

Staff list

Responsible authority (key members of staff involved in managing ERF funds)

FunctionNameStatus

Delegated body (where appropriate)

FunctionNameStatus

2.3.

Use of external bodies

(Please specify whether the responsible authority/intermediary uses external bodies to carry out one or more tasks entrusted to it and, where applicable, specify the arrangements made for that purpose).

…

…

…

…

3.

DESCRIPTION OF DUTIES INHERENT IN MANAGEMENT AND CONTROL SYSTEMS

3.1.

Distribution of tasks

Indicate external consultants where applicable.

NB: Verifications to be performed by the responsible authority or under its responsibility (external auditors, public bodies) for control purposes (Article 25(a)), i.e. not directly linked to the monitoring of day-to-day project management (analysis and decision, payment applications), etc.
TasksUnits/Departments/persons responsible
Preparation of the national multi-annual and annual programme
Publication of calls for proposals (grants)
Receipt and registration of proposals
Administrative analysis of proposals (eligibility)
Financial analysis of proposals
Evaluation of proposals
Technical analysis of proposals
Selection of proposals (decision)
Notification of decisions to grant applicants
Preparation of related grant agreements
Signing of grant agreements
Monitoring of project implementation
Receipt of payment applications/invoices
Analysis of recipients’ payment applications/invoices
Authorisation of payments
Checks on projectsf1
Payment function
Preparation and publication of Call for Tender
Receipt and registration of tender offers
Administrative analysis of tenders
Financial analysis of tenders
Technical analysis of tenders
Tender Award Procedure
Signing of contracts
Drafting annual implementation report
Drafting of expenditure statements by the Member State sent to the European Commission
Drafting of payment applications by the Member State sent to the European Commission
Sending of payment applications from the Member State to the European Commission
Audit of management systemsf2
Evaluation

3.2.

Segregation of duties

(If management, payment and control duties are carried out within the same unit (department), please specify how these activities are clearly segregated).

…

…

…

…

…

…

…

Entry of ERF revenue and expenditure in the accounts

3.2.1.

Accounting arrangements

What accounting instrument is used to record ERF appropriations?

Specific budget line in the national budgetNon-budget item
Specific special bank accountOther (please specify) …

3.2.2.

Description of the circuit whereby funds are made available and sent from the account in the Member State into which they are paid to the specific account of the final recipient

LevelsAccount namePerson responsible
Arrival of funds paid by the EC
Final recipient

Is the authorisation circuit for ERF payments similar to that for payments made under the national budget?

YesNo

If not, please describe the differences, stating the underlying reasons:

…

…

…

…

…

…

3.2.3.

Description of the rules (if in use) for carrying over ERF appropriations and national co-financing appropriations where public funds are involved

…

…

…

…

…

…

…

…

4.

ANALYSIS OF THE MANAGEMENT PROCESS — DESCRIPTION OF CIRCUITS AND PROCEDURES

4.1.

Preparation of the multi-annual and annual programme

Who prepares the multi-annual and annual programme to be submitted to the Commission?

…

…

…

…

In particular, how are the financial plans included in these programmes?

…

…

…

…

…

…

Do these preparations entail contacts with appropriate partners to establish the multi-annual work programme or with potential recipients prior to establishing the annual programme, (call for expression of interest, call for proposals, tender procedures?

…

…

…

…

4.2.

Calls for proposals and selection of proposals/tender procedures

Have documents (manuals, circulars, guides to procedures) laying down the procedures described below been adopted by the responsible authority/delegated body?

YesNo

4.2.1.

Establishment of calls for proposals/Call for Tender

  • Preparation and validation of the calls for proposals/Call for Tender

    Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)Documents to be attached
    2005 call for proposals (including application forms); Call for Tenders

  • Who is consulted before the calls for proposals/Call for Tender are finalised?

    Other departments
    Other national authorities
    European Commission
    Other (please specify) …

4.2.2.

Publication of call for proposals/Call for Tender

Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)
—Publication arrangements:
—National Official Journal and the Official Journal of EC (if required under procurement procedure)
—specific internet sites
—general press
—specialist press
—brochures and folders
—Other (please specify) …

4.2.3.

Assistance for applicants in preparing proposals/tenders (i.e. documents or services explaining calls for proposals/tenders, such as guides for applicants, etc.)

Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)Documents to be attached
Existing documents or drafts

4.2.4.

Receipt and registration of proposals/Tender Documents

Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)

  • Receipt of the proposal/Tender is confirmed by:

    —acknowledgement of receipt
    —letter/fax/e-mail
    —other (please specify) …
    —no confirmation

  • Verification of compliance with dispatch/receipt dates and that proposals/tender documents received are complete:

    Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)

4.2.5.

Analysis of proposals/Tender documents

  1. (a)

    Administrative analysis

    (information on applicants, checks on eligibility criteria, etc.)

    Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)
  2. (b)

    Technical analysis

    (analysis in the light of the selection and award criteria as defined in the call for proposals/Tender specifications)

    Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)

    Have precise selection and award criteria been defined?

    YesNo

    If so, are they set out in a document (analytical checklist, etc.)?

    YesNo
  3. (c)

    Financial analysis

    Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)

    Have precise criteria been defined (reference values/ceilings per type of expenditure)?

    YesNo

    If yes, are they set out in a document (checklist, etc.)?

    YesNo

4.2.6.

Relation with other Community initiatives or programmes

Are checks carried out for any possible overlap with actions/projects funded in your Member State within the framework of other Community initiatives or programmes, for example EQUAL?

Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)

4.2.7.

Evaluation and selection of proposals/Tender Award Procedures

Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)

(Describe the parties involved (internal evaluation, external assessors, evaluation committees) in assessing proposals/tenders submitted).

…

…

…

…

…

4.2.8.

Decision to select/reject proposals/tenders

Who is officially responsible for deciding whether to select or reject proposals?

Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)

4.2.9.

Notification of decisions to reject proposals/tenders

Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)

Is a letter indicating the grounds for rejection sent to the applicant/tenderer?

YesNo

Does the letter indicate the grounds for rejection?

YesNo

4.2.10.

Acceptance of the project/funding decision/award of tender

Accounting arrangements for selected projects

Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)

Who signs the funding agreement/tender award decision on behalf of the responsible authority/delegated body?

(attach a copy of a model agreement and specimen reports sent to recipients)

Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)Documents to be attached
Specimen funding agreement(s)

4.3.

Management and payment of grant

4.3.1.

Payment arrangements as defined in the funding agreement(s) with the recipient

PaymentAmount(% of total)Payment condition(reports to be presented by recipients)Scheduled date(in relation to project completion)
First pre-financement
Second pre-financing
Balance

Have specimen progress reports and final assessment reports for use by recipients been drawn-up? (attach specimen progress reports and assessment reports)

YesNo

Have specimen financial reports/payment applications for use by recipients been drawn-up? (attach specimen financial reports and payment applications)

YesNo

4.3.2.

Monitoring of project implementation

Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)

Does this monitoring include on-the-spot project inspection visits?

YesNo

If yes, what arrangements apply (frequency, checks on project activities/financial aspects, etc.)?

…

…

…

…

4.3.3.

Receipt and analysis of payment applications submitted by projects

Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)

Does the analysis of payment applications include the following checks:

First pre-financement(Y/N)Second pre-financement(Y/N)Final(Y/N)
Whether the amount applied for tallies with the amount specified in the agreement
Whether the applicant is the correct person and whether the bank account to which the funding is to be paid is valid
Whether the project has been completed in accordance with the provisions of the funding agreement
Exhaustive, detailed list of project expenditure
Checking of calculations in the recipient’s expenditure statement
Whether declared expenditure tallies with the budget forecast
Supporting evidence for declared expenditure
Percentage of declared expenditure checked against supporting evidence: … %
Certification of expenditure by an external body (accountant, auditor, etc.)
Whether declared expenditure complies with the rules laid down in Commission Decision …

4.3.4.

Initiating payment/recovery from beneficiaries

Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)

4.3.5.

Payment/recovery order

Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)

4.3.6.

Implementation of payment/recovery

Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)

Does implementation of payment/recovery include the following checks:

First pre-financement Advance(Y/N)Second pre-financement Interim(Y/N)Final(Y/N)
Existence of a valid legal commitment for the project (funding agreement)
Valid payment/recovery order authorisation (checklist)
Payment/recovery order duly signed by the authorised signatory
Recipient’s exact legal status and banking data
Correct accounting entry for the payment/recovery demand

4.3.7.

Means of payment

How are recipients paid?

Bank transferChequeOther

4.3.8.

Monitoring of recovery

(What arrangements are made to monitor, and ensure repayment of, recovery orders issued in respect of projects?)

…

…

…

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…

4.3.9.

Reallocation procedures for funds repaid within the framework of the ERF (where appropriate)

…

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…

…

…

…

…

…

4.4.

Expenditure statements and payment applications from the Member State

4.4.1.

Expenditure statement

Which department/entity draws-up the expenditure statements sent to the European Commission

Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)

Which authority certifies the expenditure statements sent to the European Commission

Is provision made for this?Y/N/NAIndividual/Entity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)

4.4.2.

Request for payment

Which department draws-up the request for payment sent to the European Commission (Article …)

Is provision made for this?Y/N/NAEntity/Department responsibleForm of procedure (manual, circular, guide to procedures, checklists, etc.)

5.

CHECKS, CONTROL AND AUDIT

5.1.

Departments responsible for project checks (as defined in Article 25(a))

Indicate also cases where external body used to carry out checks.
Is provision made for this?Y/N/NAEntity/Department responsiblef3 Form of procedure (manual, circular, guide to procedures, checklists, etc.)

5.2.

Features of project checks

IndicatorsYesNo
Structure of checks:

—

centralised

—

decentralised

—

externalised

Number of persons carrying out checks
Types of checks:
Checks based on risk analysis?

—

ex ante

—

during project implementation

—

ex post

An annual programme is drawn-up taking account of the sampling methods defined in Article 7

Do checking activities include:

YesNo
Ensuring that project selection procedures are complied with
Checking that the project’s aims tally with the objectives set out in the ERF national implementation programme
Checking that the expenditure carried over by funding recipients tallies with the supporting documents
Checking that expenditure corresponds to Community requirements, the requirements specified during the national selection procedure, the terms of the contract or instrument granting the funding and the works actually executed
Checking that national co-financing is actually provided
Checking compliance with procedures and circuits defined by the responsible authority/intermediary as regards the analysis, authorisation and implementation of payments to recipients
Checking that the amount of funding respects the limits laid down in Article 23 of Decision 2004/904/EC
Checking that funding has actually been paid to recipients
Checking the audit trail
Checking that accepted project expenditure and revenue tallies with the amounts of expenditure and revenue declared by the responsible authority in the expenditure statements submitted to the European Commission

5.3.

Follow-up for checks

  1. (a)

    To whom are reports sent?

    1. the recipients of checked projects

    2. the responsible authority’s management board

    3. the responsible authority’s internal audit department

    4. the national audit authorities

    5. other (please specify) …

  2. (b)

    What follow-up is given to these reports:

    • in terms of the projects concerned (financial corrections, checks on other projects launched by the same recipients, etc.)

      …

      …

      …

    • in terms of the responsible authority/intermediary (amendments and corrections to procedures/manuals of procedures, checklists, etc.)

      …

      …

      …

      …

      …

5.4.

Audit of the responsible authority/intermediary

Is the responsible authority/intermediary subject to audit?

YesNo

Which departments or authorities have the capacity to carry out this audit?

  1. Internal audit department of the responsible authority/intermediary

  2. Audit department of another body

  3. National audit body (Court of Auditors)

Has an audit of that type been carried out since the entry into force of the Council Decision 2004/904/EC

YesNo

If so:

On what date? …

By which authority? …

Is/are the report(s) available? …

What action has been taken on this report?

…

…

…

…

…

…

…

6.

AUDIT TRAIL

Where are the following documents kept?

DocumentsUnit/Department responsibleHow long for?
National multi-annual and annual programme
European Commission decision on multi-annual and annual programme
Call for proposals/Call for tenders
Applicant files/Contract files
Administrative, technical and financial analysis of proposals received (evaluation grids) and evaluation committee reports
Funding decision or rejection
Project funding agreement
Financial commitment decisions corresponding to projects
Progress reports and final reports submitted by funding recipients
Financial reports and payment applications submitted by funded projects
Supporting documents for expenditure and revenue for funded projects
Payment/recovery authorisations for funding (checklists)
Payment/recovery orders for funding
Proof of payment/recovery of funding
Reports on checks carried out on projects
Reports on checks carried out at national level on management and control systems
Expenditure statements sent to the European Commission
Payment requests sent to the European Commission
Final implementation reports sent to the European Commission
Proof of payment received from the European Commission

7.

EVALUATION

7.1.

Departments responsible for evaluation

Also indicate external consultants where appropriate.
Is provision made for this?Y/N/NAEntity/Department responsiblef4 Form of procedure (manual, circular, guide to procedures, checklists, etc.)

7.2.

Evaluation schedule

How often are ERF actions to be evaluated?

Mid-term evaluationFinal evaluation

7.3.

Indicators

Have indicators been established for the purpose of monitoring and evaluation of projects and of national programmes, and are they collected during the management phase?

YesNo

Have detailed indicators been established for each type of action provided for in Articles 4, 5, 6 and 7 of Decision 2004/904/EC?

Resources and project completion indicators(mark X if yes)Action completion indicators(mark X if yes)Action result indicators(mark X if yes)Action impact indicators (consequences)(mark X if yes)

1.

Reception conditions and asylum procedures

—

help for individuals

—

structural assistance

2.

Integration

—

help for individuals

—

structural assistance

3.

Voluntary return

—

help for individuals

—

structural assistance

Annotations

Footnotes

f1

Indicate external consultants where applicable.

f2

NB: Verifications to be performed by the responsible authority or under its responsibility (external auditors, public bodies) for control purposes (Article 25(a)), i.e. not directly linked to the monitoring of day-to-day project management (analysis and decision, payment applications), etc.

f3

Indicate also cases where external body used to carry out checks.

f4

Also indicate external consultants where appropriate.