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.

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

1

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 2014-2020 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.

2

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 half-day 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):

28th August 2014 (9:30am – 13:00pm), ASAN The Workspace, All Saints Road, Wolverhampton WV2 1EL. Or

30th September 2014 (9:30am-13:00pm), The Brambles, 2 Priory Road, Dudley, DY1 1HH.

Managing State Aid Workshop (half day session):

28th August 2014 (13:30pm – 16:00pm), ASAN The Workspace, All Saints Road, Wolverhampton WV2 1EL. Or

30th September 2014 (13:30pm-16:00pm), The Brambles, 2 Priory Road, Dudley, DY1 1HH.

3

ERDF PUBLIC PROCUREMENT & STATE AID

ERDF Public Procurement in Practice

P R O G R A M M E – HALF DAY SESSION

9.30 am Registration

9.45 am Welcome and Introductions

Course objectives confirmed

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

11.00 am Break

11.20 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

12.30 pm Plenary

Any questions

12.45 pm Close

4

ERDF PUBLIC PROCUREMENT & STATE AID

Managing State Aid in ERDF Projects

P R O G R A M M E – HALF DAY SESSION

1.15 pm Registration

1.30 pm Welcome and Introductions

Course objectives confirmed

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

2.30 pm Break

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

Group discussion and opportunity for mapping Project activities with State Aid conditions

3.45 pm ̀ Plenary

Any questions

4.00 pm Close

5

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 2007 – 13 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):

27th August 2014 (9:30am – 13:00pm), Linden House (Newbridge Room), 211 Tettenhall Road, Wolverhampton WV6 0DD.

ERDF Financial Management Workshop (one day session - open):

4th September 2014 (9:30am -16:00pm), Dudley and Kingswinford Rugby Club, Swindon Road, Wall Heath, Kingswinford, West Midlands, DY6 0AW.

6

ERDF FINANCIAL MANAGEMENT

Black Country ERDF Operational Team Meeting

ERDF Financial Management (Invitation Only)

P R O G R A M M E – HALF DAY SESSION

9.30 am Registration

9.45 am Welcome and EUSIF 2014-2020 Update - Zoey West, Black Country Technical Assistance Team

10.00am Welcome and course objectives confirmed - Anne Eastwood, Kalliopi Associates

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

11.00 am Break

11.20 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

12.30 pm Plenary

Any questions

12.45 pm Close

7

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

11.00 am Break

11.20 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

12.30 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

8

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): 16th September 2014 (9:30am-16:00pm), Newhampton Arts Centre, Dunkley Street,

Wolverhampton WV1 4AN.

Or ERDF Monitoring and Audit Workshop (one day session):

8th October 2014 (9:30am- 16:00pm), Holiday Inn Express Oldbury, Birchley Island, Oldbury, West Midlands, B69 2BD.

9

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.

11.00 am Break

11.15 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

12.30 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

10

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): 24th September (9:30am – 16:00pm), Walsall Deaf Centre 59a Lichfield Street, Walsall,

WS4 2BX. Or,

ERDF Project Closure and Exit Strategy Workshop(one day session): 14th October 2014 (9:30am – 16:00pm), Newhampton Arts Centre, Dunkley Street,

Wolverhampton WV1 4AN.

11

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

11.00 am Break

11.15 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

12.30 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.

3.45 pm Plenary

Any questions

4.00 pm Close

12

BLACK COUNTRY TECHNICAL ASSISTANCE CONTACT INFORMATION:

HOW TO REGISTER:

To book your place on one or more of the capacity building workshops please email

davieskaye@walsall.gov.uk and include details of any special requirements. You will receive a pre-

workshop 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 e-mail request to davieskaye@walsall.gov.uk or call 01922 650934.

www.walsall.com/blackcountrytechnicalassistance/

ZOEY WEST EXTERNAL FUNDING TEAM LEADER

NICK ALAMANOS BLACK COUNTRY ERDF PROGRAMME MANAGER

KAYE DAVIES PROJECT DEVELOPMENT OFFICER

Tel: 01922 655998

Email: westz@walsall.gov.uk

Mobile: 07944250004

Address:

Walsall MBC

Civic Centre

Darwall Street

Walsall, WS1 1TP

Tel: 01922 654379

Email: alamanosn@walsall.gov.uk

Mobile: 07940735693

Tel: 01922 650934

Email: davieskaye@walsall.gov.uk

Mobile: 0790816138