Practical Guide to
Operation
Preparation
under the
HUMAN RESOURCES DEVELOPMENT
OPERATIONAL PROGRAMME
Ministry of Labour and Social Security
European Union Coordination Department
Yıldızevler Mahallesi 713. Sokak No:4 Çankaya, 06550, Ankara
Tel:+90 312 440 99 02 - Faks:+90 312 212 11 48
www.ikg.gov.tr - info@ikg.gov.tr
PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
TABLE OF CONTENTS
Abbreviations.....................................................................3
Why a Practical Guide?......................................................4
What is an Operation?
What is the difference compared to grant projects?.........4
How to design an Operation in technical terms?...............6
1. Title of the Operation...........................................................................6
2. Operating Structure.............................................................................6
3. Organization responsible for the
implementation of the Operation........................................................7
4. Compatibility and coherence with the Operational Programme........7
4.1 Title and number of the Programme.................................................................. 7
4.2 Title of the priority axis........................................................................................ 7
4.3
Title of the measure............................................................................................ 8
5. Description of the Operation...............................................................9
5.1 Contribution to the achievement of the Operational Programme....................... 9
5.2
Overall objective................................................................................................. 9
5.3 Operation purpose........................................................................................... 10
5.4Location(s)....................................................................................................... 10
5.5Duration............................................................................................................ 10
5.6
Target group(s)................................................................................................. 11
5.7 Description of the Operation and background................................................. 12
5.8 Results with measurable indicators.................................................................. 14
5.9Activities........................................................................................................... 19
6. Implementation arrangements..........................................................20
6.1
Institutional framework...................................................................................... 20
6.2
Proposed monitoring structure and methodology........................................... 20
6.3
Required procedures and contracts for the implementation
of the Operation and their sequencing............................................................ 20
7. Risks and assumptions.....................................................................20
8. Expected impact of the Operation
on the target group and multiplier/spill over effects.........................22
9. Sustainability......................................................................................23
10. Horizontal issues.............................................................................24
Equal opportunities for all (men/women as well as disadvantaged persons)....... 24
Sustainable development and environmental protection...................................... 25
Good governance and participation of civil society.............................................. 25
11. Links with other IPA component measures.....................................26
How to make resource plan?...........................................29
The resource plan helps you identify the:.......................................29
The resource plan also helps you to:.............................................30
How to plan the budget?..................................................30
12. Requested financing from the European Commission...................30
13. Co-financing.....................................................................................30
14. Budget breakdown..........................................................................31
Service contracts (estimation of required budget)................................................ 31
Supply contracts (estimation of required budget)................................................. 34
Grant scheme (estimation of required budget)..................................................... 34
Ineligible expenditures.......................................................................................... 35
15. Cash flow requirements by source of funding................................35
What next?........................................................................35
ANNEX 1..........................................................................37
ANNEX 2..........................................................................39
PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
Abbreviations
CCI......................................................... Common Code of Identification
CfO......................................................... Call for Operation
CfP.......................................................... Call for Proposals
EC . ........................................................ European Commission
EOP........................................................ Environment Operational Programme
EU........................................................... European Union
EUD........................................................ Delegation of the European Union
HRD OP . ............................................... Human Resources Development Operational Programme
İŞKUR .................................................... Turkish Employment Agency
MoLSS.................................................... Ministry of Labour and Social Security
OB.......................................................... Operation Beneficiary
OIS......................................................... Operation Identification Sheet
OS.......................................................... Operating Structure
RCOP..................................................... Regional Competitiveness Operational Programme
RDOP..................................................... Rural Development Operational Programme
TA .......................................................... Technical Assistance
TOP........................................................ Transport Operational Programme
ToR......................................................... Terms of Reference
3
Why a Practical Guide?
The aim of this ‘Practical Guide for Operation
Preparation’ is to help the organisations willing to design
an operation financed under the Human Resources
Development Operational Programme (HRD OP) under
IPA-IV. Beneficiaries of operations called ‘Operation
Beneficiaries’ are selected by the HRD OP Operating
Structure either through a negotiation procedure or
through a ‘Call for Operation’. The Operating Structure
of the HRD OP is the European Union Coordination
Department of the Ministry of Labour and Social Security.
In order to support potential OBs to prepare sound, reliable, cost effective and well justified
operations that successfully attract EU financing, this guideline aim to provide guidance and share
some practical tricks on the technical design and budgetary planning of operations. Well designed
and prepared OIS ensure successful implementation and increase IPA funds absorption capacity
in Turkey.
Preparation of OIS is the key to success in applications for IPA funding and you should follow the
structure and requirements of the key documentation (e.g. OIS, log frame) and instructions. The
proposal in OIS is also the framework for implementation.
Main criteria of the successful preparation of Operations:
• Coherence and synergy between the policy framework and the operational programme
• Understanding and commitment at all levels of responsibility
• Interactive and close co-operation with relevant stakeholders
• Logical relationship between problems and objectives
• Realistic and feasible purposes with SMART indicators1
• Flexible / open but effective style of management
• Interactive approach – working and learning from other partners
• Grounded financial and budget planning in line with the activities and resource planning
It is aimed to support the potential operation beneficiaries in preparation of succesfull operations.
What is an Operation? What is the
difference compared to grant projects?
An operation comprises a project or a group of projects to be funded with EU funds under the
HRD and co-funded with national public initiated or initiated and implemented by one or more final
beneficiaries, allowing achievement of the goals of the measure and/or the priority axis to which it
relates. In our particular case this objective must be in line with priority axis and measure identified
under the HRD OP to be eligible for EU financing. An operation addresses different components,
1 Smart indicator: Specific, Measurable, Available, Relevant, Time-bound. See Section 5.8.
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PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
namely service, supply and grant. The operations include projects which have larger scope and
budget than grant projects.
Typical components under an operation are:
• Service component: Technical Assistance
• Supply component: Supply of equipment
• Grant component: Grant Scheme
‘Technical Assistance’ is a form of external aid funded by international donor organisations
such as in this particular case the European Commission. Technical Assistance contracts are
implemented by consultancy firms, often by a consortium of several consultancy firms selected
through a procurement procedure.
The objective is to provide expertise to the institutions benefiting from Technical Assistance in order
to promote development and building of capacities.
The main difference between a grant project and Technical Assistance is the following:
• In case of a grant project non-refundable financial support is provided directly to the beneficiary
organisation for implementing themselves the project activities aiming at achieving a specific
project objective;
• In case of a TA project non-refundable financial support is provided to the beneficiary
organisation for procuring external consultancy services aiming at supporting the beneficiary
with expertise in implementation of the project activities done by the beneficiary and aiming
at achieving a specific project objective, which in most cases is the development of the
beneficiary institution and building its capacities.
In some cases institution building requires also the development of technical infrastructure of
an institution. In well justified cases supply of the necessary equipment may also be an eligible
component under the operation. Supply component covers the purchase of products. As a rule
defined in the HRD OP, only 15 % of the funds allocated for each measure can be used for supply
contracts. Besides, supply contracts under the Operations should have a well-justified ground. In
fact, a supply component cannot be a standing alone operation, it has to be linked to a service
component.
Under a ‘Grant Scheme’, non-refundable grants are provided to pre-defined eligible organisations
through ‘Call for Proposals’. The aim of a grant is to provide financing to projects implemented by
eligible organisations under a grant scheme and aiming at contributing to the goal(s) identified for
the operation.
In case the operation will be selected by the OS, the Operation Beneficiary will be responsible for
the day-to-day management and monitoring of the grant projects implemented under the grant
component of the operation. Therefore an OB may only plan a grant scheme component under
the operation, in case it clearly demonstrates in the application that it has sufficient capacities to
manage and monitor the implementation of the planned grant scheme.
In case operations are selected through a Call for Operation, the eligibility of a grant component
may be restricted in the ‘Guideline for Call for Operation’. Therefore please consult the
‘Guideline for CfO’ before designing a Grant Scheme component.
5
How to design an Operation in
technical terms?
Operations are presented through a document
called “Operation Identification Sheet”. OISs must
follow a standard template designed and provided
to potential OBs by the OS in the CfO package at the
website of OS. In case of a CfO, the OIS template
also serves as the ‘Application Form’.
Based on the quality of the OISs prepared by the
potential OBs, the OS and the European Commission
decides whether or not to finance the planned
operation after the evaluation process.
The OIS is a general reference document which aims to provide all basic information, conditions
and requirements regarding the planned operation, its components and activities under each
component.
Let’s follow the structure of the standard OIS template and see how to address the headings under
it!
1. Title of the Operation
You are requested to select a title for your operation.
What is a good title? – Short, striking and reflects the content of your operation.
Practical tricks: Though this is the first heading in the OIS template it is suggested to leave the
selection of the title of the operation as last step. Design the operation fully and
only then select the right title. While you are developing your operation further and
further, you will understand your goals and the logic of your operation more and
more. You will see it is much easier to mobilise your creativity and select a really
good title at the end. In any case, try to avoid long, describing type of titles.
2. Operating Structure
This part shall be filled as:
Ministry of Labour and Social Security (MoLSS)
European Union Coordination (IPA Management) Department
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PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
3. Organization responsible for the implementation of the
Operation
Here the official name of your organisation shall be written together with address and web site
information (if applicable). Please also provide detailed information on contact details, like telephone
and fax numbers as well as e-mail address, of the person who will represent your organisation in
contractual terms and has the right of signature.
4. Compatibility and coherence with the Operational
Programme
Under this part you are requested to provide clear reference to the Operational Programme under
which the planned operation will be financed.
Also a clear reference shall be made to the relevant priority axis and measures of the OP financing
the planned operation.
You will have to consult and refer to the Human Resources Development Operational Programme,
which you may find under the following link: http://ikg.gov.tr/web/tr-tr/oppr.aspx
4.1 Title and number of the Programme
This paragraph will be filled in by the OS. Please leave this part blank.
4.2 Title of the priority axis
You are requested to provide here the title of one of the priority axis of the HRD OP. A direct link must
be established between the priority axis given under this heading and the planned operation. Please
note that if the planned actions of your operation will not fit the priority axis indicated under this title,
it will not be eligible.
The HRD OP has four thematic priority axes plus the priority axis on ‘Technical Assistance’ financing
the management, implementation and monitoring of the Operational Programme.
One of the following priority axes, in line with the planned operation shall be specified under this
heading:
PRIORITY AXIS 1: To attract and retain more people in employment, particularly by increasing
labour force participation of women, and decrease unemployment rates, especially for young
people.
PRIORITY AXIS 2: To enhance investment in human capital by increasing the quality of education,
improving the linkage between education and the labour market, and raising enrolment rates at all
levels of education, especially for girls.
PRIORITY AXIS 3: To increase adaptability of workers, enterprises and entrepreneurs, in particular
by promoting lifelong learning and encouraging investment in human resources by enterprises and
workers.
PRIORITY AXIS 4: To promote an inclusive labour market with opportunities for disadvantaged
people, with a view to their sustainable integration into the labour force and combat all forms of
discrimination in the labour market.
7
Please write exactly the same name of the Priority Axis listed above under this section.
Please note that in case operations are selected through a CfO, the eligibility of priority axes may
be restricted in the ‘Guideline for CfO’ available under www.ikg.gov.tr. Therefore please consult
the ‘Guideline for CfO to design an operation only for an eligible priority axis.
4.3 Title of the measure
You are requested to provide here the title of one of the measures under the HRD OP priority axis as
given under 4.2. The title of the measure must be quoted exactly as written in the HRD OP.
Priority Axis 1:To attract and retain more people in employment, particularly by increasing labour
force participation of women, and decrease unemployment rates, especially for young people
Measure 1.1 To promote women’s participation into the labour market, and increase female
employment, including those formerly employed in agriculture
Measure 1.2 To increase employment of young people
Measure 1.3 To promote registered employment
Measure 1.4 To improve the quality of public employment services
Priority Axis 2:To enhance investment in human capital by increasing the quality of education,
improving the linkage between education and the labour market, and raising enrolment rates at all
levels of education, especially for girls
Measure 2.1 To increase employment rates particularly for girls with a view to develop female
human resources and access to labour market
Measure 2.2 To improve the content and quality of vocational and technical education
Priority Axis 3:To increase adaptability of workers, enterprises and entrepreneurs, in particular by
promoting lifelong learning and encouraging investment in human resources by enterprises and
workers
Measure 3.1 Promoting the development and implementation of coherent and comprehensive
strategies for life-long learning
Measure 3.2 To increase adaptability of employees and employers by investing more in human
capital Priority Axis 4: To promote an inclusive labour market with opportunities for disadvantaged people,
with a view to their sustainable integration into the labour force and combat all forms of discrimination
in the labour market
Measure 4.1 To increase employability of disadvantaged persons, facilitate their access to
labour market, and eliminate barriers for their entrance into labour market
Measure 4.2 Better functioning and coordination among the institutions and mechanisms in
the field of labour market and social protection particularly in order to facilitate
the integration of disadvantaged persons into the labour market
Please note that in case operations are selected through a CfO, the eligibility of priority axes
and/or measures may be restricted in the ‘Guideline for CfO’. Therefore please consult the
‘Guideline for CfO’ to design an operation only for an eligible priority axis or and/or measure.
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PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
5. Description of the Operation
Under this part you are requested to provide justification for the need for the planned operation (5.1
and 5.7) and also detailed information on its technical content (5.2, 5.3, 5.4, 5.5, 5.6, 5.9).
5.1 Contribution to the achievement of the Operational Programme
Under this part you are requested to provide information on how the planned operation will contribute
to the achievement of the general objectives of the HRD OP. Provide information regarding the
linkages between the operation and relevant measure of the OP. You will have to consult and refer to
the Human Resources Development Operational Programme including the indicators.
Please note that this section is very important. The more convincing you are that your operation will
greatly contribute to the achievements of the strategic priorities of the OP, the more likely is that your
operation will be selected. The length of this paragraph shall be limited to two pages as a maximum.
Practical tricks: Whenever possible quote and provide direct references to the HRD OP especially to
the description, specific objectives and indicators of the related measure.
5.2 Overall objective
You are requested to provide under this heading the overall objective of your operation. There shall
be only one overall objective, which shall be formulated as one sentence.
The overall objective of the operation shall be in line with the priority axis
under which the operation is planned to be implemented.
The Overall Objective of the Operation should be explain why the operation
is important to society, in terms of longer-term benefits to the beneficiaries
and the wider benefits to the other groups. It should also show how the
operation fits into the HRD OP. The Overall Objective should be wider than
one (or more) Operation purpose.
Priority Axis 1:
To attract and retain more people in employment, by ... <please quote the objective of the Priority
Axis 1 of the OP as appropriate and relevant>
Priority Axis 2:
To enhance investment in human capital, by ...<please quote the objective of the Priority Axis 2 of
the OP as appropriate and relevant>
9
Priority Axis 3:
To increase adaptability of ... <please indicate here the target group of the operation as appropriate
and relevant> in particular by promoting lifelong learning and encouraging investment in human
resources by ...<please indicate here the target group of the operation as appropriate and relevant>.
Priority Axis 4:
To promote an inclusive labour market with opportunities for ... <please indicate here the
disadvantaged target group of the operation as appropriate and relevant>, with a view to their
sustainable integration into the labour force and combat all forms of discrimination in the labour
market.
Please note that in case operations are selected through a CfO, the eligibility of priority axes may
be restricted in the ‘Guideline for CfO’. Therefore please consult the ‘Guideline for CfO’ to
design an operation only for an eligible priority axis.
5.3 Operation purpose
The relevant measure of the OP should be quoted or operation purpose(s), compatible with the
relevant measure shall be written under this heading. The operation purpose should address the
core aim and be defined in the terms of the benefits to be received by the operation beneficiaries or
target group as a result of utilising the activities delivered by the operation.
5.4 Location(s)
You are requested to indicate here the implementation
location of the planned operation. Please provide
information on the region(s) and provinces(s) covered
by the activities under the planned operation.
If there are more components (service, supply, grant)
in the operation location(s) of each of the components
should be listed separately. If pilot provinces are selected
it should be explained also the selection criteria and the relevance of the selected provinces clearly.
Please note that HRD OP can be implemented in all Turkey by considering the geographical
concentration approach defined in the HRD OP. The operation proposals should be prepared in
accordance with this geographical concentration approach.
Please note that in case operations are selected through a CfO, the eligibility of priority axes
and/or measures may be restricted in the ‘Guideline for CfO’. Therefore please consult
the ‘Guideline for CfO’ to design location in line with the eligible priority axis and/or measure
determined in the Guideline.
5.5 Duration
You are requested to provide information on the planned
duration of the operation. The duration of the operation
shall be given in months. Duration is counted from
the signature of the contract(s). The contract(s) will be
signed after the approval of the OIS and the successful
management of the tendering procedure which could
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PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
mean at least 6-12 months. All the activities should be finished before the final closure date of the
OIS.
Practical tricks: The duration of the operation can be easily defined after preparing a schedule of the
activities implemented under the operation. Realistic time demand is necessary to
plan for each of the activities. Gantt chart is suggested to prepare for the operation
taking into account the parallel and following acvities together with the critical path.
Please note that in case operations are selected through a CfO, the duration of the operations
may be restricted. Therefore please consult the ‘Guideline for CfO’ to design an operation only
within the limits identified in the ‘Guideline for CfO’.
5.6 Target group(s)
You are requested to provide information on the target
group of the planned operation. Target group(s) will
be directly and indirectly affected by the operation at
the operation purpose level. Please note that target
group(s) should not be confused with beneficiary and
final beneficiary.
Under ‘Target group(s)’ the group(s) of people
is(are) meant whom the activities within the operation
address. You shall identify your target group(s) in line
with your planned activities. For each target group
there shall be activities in the operation addressing
their needs.
The target group(s) of the operation shall be compatible with one or more of the possible target
groups defined under the relevant measures of the OP. However, it is not compulsory to design the
activities of the operation in a way to include all the target groups under the relevant measure of
the OP. The operation may aim to reach some of the target groups mentioned under the relevant
measure of the OP.
Example:
The target groups for measure 1.1 are:
• long-term unemployed women due to care responsibilities;
• women out of the labour force living in urban areas including those formerly employed in
agriculture.
You may want to focus your operation exclusively on ‘women above 40 years of age who are out of
the labour force and living in urban areas’.
Practical tricks: You do not have to select several or very broad target groups. Different segments of
the same target group have different needs. If you choose a very broad, or several
target groups you have to meet the needs of all with your operation.
11
5.7 Description of the Operation and
background
Under this part you are requested to provide justification
for the need supported by the latest statistical data
and reports or strategic documents for the planned
operation.
Please clearly state the current state of affairs in the intervention area of the operation which includes:
• national/local policies and strategies and/or economic data for the sector or institutional area;
• the origin and immediate history of present organisational structures, institutions and operating
systems in the sector or institutional area;
• the problems that will be addressed in the operation.
Provide information and justification in accordance with latest statistical data, reports or strategic
documents on why the operation is necessary; why and how the target group of the operation was
selected; how the planned activities under the operation respond to the needs of the selected target
group and those of the geographical area covered by the operation.
Please note that this paragraph is one of the most important ones, showing the reasons behind the
intervention with an operation, which will directly influence the funding decision of the OS and EC.
Please give attention to all important points, but be brief and structured at the same time. The length
of this paragraph shall be limited to three pages as a maximum.
Please also give justification for all activities planned in the Operation and give explanation of the
relevance and the contribution to the achivement of the operation purpose and the overall objective.
Please note that one operation will not be able to resolve all the problems of the targeted area/target
group(s) and this paragraph should reflect the identified problem and possible solution model with
establishing exact links with the HRD OP.
A proposed structure for minimum content under this paragraph is as follows:
1. Description of the environment of the operation and needs arising from the operation environment.
2. Description of the target group(s) and the needs of the target group(s):
2.1. Why and how the target group(s) was(were) selected? How the selection of the target
group(s) is(are) linked to the economic and social problems in the intervention area and
also in the in the geographical location of the operation?
2.2. Introduction of the size (number) and main characteristics of the target groups
2.3. Introduction of the education and employment situation and recent tendencies of the
selected target group(s) in the geographical location of the operation (please indicate the
figures for both men and women separately)
2.4. What are the actual needs of the target group(s), what problems, hinder their labour market
participation that needs action
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PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
3. Justification of the operation based on needs of the operation environment and needs of the
target group(s):
3.1. How does the planned operation contribute to the implementation national/sectoral/
regional policies?
3.2. How does the planned operation reflect to the needs of the operation environment and
needs of the target group(s)?
Here below there are some links where you may find relevant statistical data for your study:
www.tuik.gov.tr (TURKSTAT – for any kind of statistical data about Turkey such as employment,
social security, education and etc.)
http://www.iskur.gov.tr/LoadExternalPage.aspx?uicode=statikistatistikindex (İŞKUR – for statistics
on employment)
www.meb.gov.tr (Ministry of National Education – for data on vocational education, girls enrolment,
life-long learning and etc.)
http://sgb.meb.gov.tr/istatistik/ (Ministry of National Education – for educational data)
www.sanayi.gov.tr (Ministry of Science, Industry and Trade- for sectoral data-)
http://www.invest.gov.tr/tr-TR/Pages/Home.aspx (Investment Support and Promotion Agency for
new investment areas)
http://www.dpt.gov.tr/Kalkinma.portal (Ministry of Development - for a. plans and programmes of
Turkey b. Regional plans developed by Regional Development Agencies. )
www.oecd.org (Organization for Economic Co-Operation and Development – for statistics about
employment, education, social inclusion and etc.)
http://epp.eurostat.ec.europa.eu/portal/page/portal/eurostat/home/ (EUROSTAT – for collecting
statistical data of EU and candidate countries)
http://www.aile.gov.tr/sites/e-kutuphane/tr/ (Ministry of Family and Social Policies – for data on
disadvantaged groups)
http://www.ozurluveyasli.gov.tr/tr/html/172/Bilgi+Bankasi (Administration for Disabled People – for
data on disadvantaged groups)
http://www.kadininstatusu.gov.tr/tr/ (Directorate General on the Status of Women – for data about
women employment, projects and etc.)
http://www.tepav.org.tr/tr/yayin (Economic Policy Research Foundation of Turkey – for researches on
employment, entrepreneurship, vocational education and etc.)
http://www.sgk.gov.tr/wps/portal/tr/kurumsal/istatistikler (Social Security Institution - for statistical
data on social security system)
http://ekutup.dpt.gov.tr/plan/plan9.pdf (Ministry of Development – for the 9th Development Plan for
Turkey)
Practical tricks: It is advisable to carry out a preliminary assessment of needs of the target group and
refer to the findings of that under this heading. You may also refer to any research
studies carried out as part of the preparation process or publicly available. Take in
consideration that usually more information is available than is used. Include also
some official statistical data indicating their date and the source of information.
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5.8 Results with measurable indicators
Under this part you are requested to identify your
indicators (output and result indicators), which later
will be used to assess the progress made within
the implementation of your planned operation and
the results achieved after the implementation of the
operation.
First of all it is important to understand what ‘indicators’
are. There are several definitions in the context of
development co-operation.
According to OECD/DAC, an indicator is:
“A quantitative or qualitative factor or variable that provides a simple and reliable means to measure
achievement, to reflect changes connected to an intervention, or to help assess the performance of
a development actor”1
According to the definition adopted by USAID, an indicator is:
“a variable, which purpose it is to measure change in a phenomena or process”
The European Commission describes (planning) indicators as:
“description of the project’s objectives in terms of quantity, quality, target group(s), time and place”2
These definitions also illustrate two existing views on indicators. While in one interpretation the
indicator equals the “variable(s)”, a European interpretation often results in including also a timeframe
and a base and target value to the variable. In this last interpretation, the indicator is (also) used to
elaborate the objectives further.
Here below is a quote that makes the interpretation of the technical definitions clearer:
“An indicator is a marker. It can be compared to a road sign which shows whether you are on the right
road, how far you have travelled and how far you have to travel to reach your destination. Indicators
show progress and help measure change.”
What are the criteria to select your indicators? In project management context it is said, indicators
must be SMART. SMART is a mnemonic comprised of: ‘Specific’, ‘Measurable’, ‘Achievable’,
‘Relevant’ and ‘Time-bound’.
So the indicators you select must be:
• ‘Specific’ enough to measure progress towards the result, including clear targets focusing
on one task; for example, using the indicator ‘10% increase in the placement rate of registered
unemployed people ’ may reflect a ‘more effective public employment service’.
• ‘Measurable’ in terms of quantity or quality; can be statistically verified;
• ‘Achievable’ at an acceptable cost with consistency between the activities and budget; i.e.
can be achieved realistically;
• ‘Relevant’ to your operation and also to the HRD OP measure under which you will implement
your operation;
• ‘Time-bound’ to be produce in due time to be useful for operation management; i.e. it has a
time dimension; the quantity or quality of the indicator can be monitored in time (for example
1
DAC Glossary of Key Terms in Evaluation, May 2002
2
Source: Manual Project Cycle Management, March 2001
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PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
in every 6 months of implementation in progress reports); it provides an early warning of
potential problems/delays.
There are three types of indicators:
• output indicators;
• result indicators;
• impact indicators. (Under HRD OP impact indicator presently not requested)
Output indicators are always quantifiable (‘How much?’ ‘How many?’
‘How often things happen?’) and represent the products of the activities
of the operation. Output indicators are monitored throughout the
implementation of the operation, assessed regularly and their values are
regularly reported to the OS.
Output indicators of the HRD OP are the followings:
Priority Axis 1:
Measure 1.1:
Number of women who participated in entrepreneurship courses for women
Number of women who benefited from internship/apprenticeship programs
Number of women who participated in employment oriented courses and guidance and
counseling services
Measure 1.2:
Number of young people who participated in entrepreneurship courses
Number of young people who participated in employment oriented courses
Number of young people who participated in internship and apprenticeship programs
Number of young people having benefited from guidance and counselling services, including
career guidance services
Measure 1.3:
Number of established local partnerships between SSI and social partners
Number of SSI staff at central and local level who participated in trainings
Number of bilateral projects on promoting registered employment between relevant partners
Number of people participated in various trainings for supporting registered employment
Measure 1.4:
Number of monitoring mechanisms developed
Number of ISKUR and MoLSS staff who participated in PES trainings
Number of job clubs
Number of New ISKUR Model Offices
Priority Axis 2:
Measure 2.1:
Number of educational staff having participated in vocational guidance services trainings
Number of parents who are given trainings
Number of families individually visited to persuade to send their daughters to school
Schools and dormitories equipped
15
Measure 2.2:
Number of developed/revised and implemented modular programs in secondary and post secondary
vocational schools
Number of comprehensive and scheduled awareness raising events organised with the cooperation
of private sector to increase awareness among the sector
Number of partnership protocols between vocational institutions, social partners and the private
sector
Number of universities with improved capacity and programs
Number of staff of VET institutions and universities participated to training in line with the newly
updated curricula
Priority Axis 3:
Measure 3.1:
Number of participants certified and tested in terms of vocational knowledge and skills
Number of Cumulative Occupational Standards and Qualifications endorsed by authoritised bodies
Number of participants certified on basic skills courses
Number of accredited education and training institutions
Number of people and experts/staff having participated in the activities regarding the dissemination
of LLL culture
Number of teachers trained on new methods of monitoring (including developing indicators),
evaluation and measurement for LLL
Measure 3.2:
Number of employees who participated in trainings on work organisations following training needs
analysis
Number of employers who participated in trainings organized following a training needs analysis
Number of institutions which benefited from consultancy services on the improvement of adaptability
Number of employers improved their work organisations, technique etc.
Number of employees who increased their work- related knowledge skills and abilities
Priority Axis 4:
Measure 4.1:
Number of disadvantaged people having participatedor directed to public employment, guidance,
counseling and rehabilitation services
Number of actions for elimination of stereotypes and prejudices against disadvantaged persons
Number of awareness raising activities for informing disadvantaged people about means to access
public services
Measure 4.2:
Number of staff of social protection institutions and other relevant institutions who participated in
trainings on services related to the disadvantaged persons
Number of common monitoring and analysis system established
Number of disadvantaged persons registered to central database, monitoring and analysis systems
Result indicators represent changes in terms of quality that is the immediate effect of the
implementation of the operation. What did we achieve with the implementation? What functions
better? How can we compare the change to the situation at the start of implementation? Result
indicators are only assessed at the end of the implementation of the operation and reported to the
OS in the final report.
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PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
Result indicators of the HRD OP are the followings:
Priority Axis 1:
Measure 1.1:
Number of women established their own job
Number of women participated to labour market as result of
vocational training or awareness raising activity
Number of women participated to labour market as a result
of entrepreneurship, internship, apprenticeship activities
Number of women participated to labour market as a result
of employment oriented courses, guidance and counseling
services
Measure 1.2:
Number of people employed following the employment oriented courses
Number of people employed following the internship and apprenticeship activities
Number of people employed following the guidance and counselling activities
Number of young people established their own job
Measure 1.3:
Number of people to become registered employees who were previously registered as unregistered
Measure 1.4:
Number of unemployed people counselled
Placement of unemployed people benefited from counseling services within this priority
Priority Axis 2:
Measure 2.1:
Number of girls accessed to secondary education as a result of programme intervention
Number of early-school leavers accessing education again as a result of programme intervention
Priority Axis 3:
Measure 3.1:
Number of people who found a job after completing an employability course
Priority Axis 4:
Measure 4.1:
Number of disadvantaged persons entered into labour market following the services under the
measure
Number of disadvantaged people established their own job after benefiting from the services under
this measure
Measure 4.2:
Number of disadvantaged people accessed to services through central database, monitoring and
analysis systems
The indicators of your operation shall be defined in accordance with the indicators listed under
the relevant measure of the OP. The values of the indicators (if they are natural persons) must be
provided by gender (how many men and how many women) at all times.
Please note that in case operations are selected through a CfO, please check the specific rules
regarding indicators in the ‘Guideline for CfO’.
17
It is suggested to first select at least two output indicators for each of your main activities
and identify the baseline (at the beginning of the implementation) figure of these indicators. In many
cases the baseline figure will be 0 as you just start the operation. In some cases though, the baseline
figure may be different from 0. For example if you want to achieve an increase in an already existing
service provided to a certain target group. After identifying the output indicators and their baseline
figures you have to identify the values of the indicators you want to achieve by the end of the
implementation. During the implementation period of the project you will be requested to regularly
report on the actual value of the output indicators in your progress reports. Therefore the source of
verification for output indicators will always be the Operation Beneficiary’s report to the Operating
Structure on the progress related to the implementation of the operation.
As the last step you will identify your result indicator(s). Please provide the source of verification
for the result indicator(s) in line with the method you choose for the evaluation. At the end of the
operation you will be requested to report on your result indicator(s) in your final report.
Following the introduction of your expected outputs and result(s), you are requested to present your
indicators in a table format as below:
Indicator
Baseline
(at the
beginning of
implementation)
Target
(at the end of
implementation)
Output 1
Define the
indicator
Give baseline figure
Give expected end
target figure
...
...
...
...
Output ‘N’
Define the
indicator
Give baseline figure
Give expected end
target figure
Define the
indicator
Give information
on baseline quality/
status
Give information
on expected end
quality/status
Type of
indicator
Result
Source of verification
Reports on the implementation of
the operation
Please specify
(report on internal and/or
independent external evaluation;
survey results; research report(s),
etc.)
Source of verification describes the source of information will be used to measure the indicator.
When the indicators are selected you should consider the appropriate source of evidence for each
indicator as it is:
• Available – if you want to use secondary data, will you be able to gain permission to access
it? Will it be available?
• Low cost – will the information be on best value for money and not too expensive to collect?
• Timely – will you be able to collect all the information when you will need it? If you want to use
secondary data, will it have been collected at the right time? Sometimes government or macro
level statistics are not released until some months after the data was collected because it
takes time for them to be analysed.
If the evidence document is not available at low cost at the right time, the indicator should be
changed to one which can be measured more effectively. Try to build on existing system and source
of information before establishing new ones and make sure the information used can be trusted.
If primary data needs to be collected, make sure this is added to the activity objectives and to the
activity list and budget.
Example for documents of source of verification: regular/evaluation reports, minutes of meetings,
attendance sheet, surveys, researches, participatory evaluations, certificates, accounts, official
statistics.
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PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
Practical tricks: With the indicators of your operation you will have to contribute to the indicators
of the relevant measure of the Operational Programme. Therefore please always
keep a copy of the HRD OP at hand while designing your operation and check the
indicators identified for the measure under which you are designing your operation.
Select your operation’s indicators and their values in a way that you can contribute
to the OP indicators sufficiently.
5.9 Activities
Under this heading you are requested to provide
detailed technical information on the planned
components of the operation, as well as on the
planned activities under each of the components.
Activities should be compatible with the objectives
of the operation and should be designed in a way
to contribute to the achievement of the objectives
defined for the operation. Activities are planned and
implemented to achieve results. The link between
the activities and the results is important in respect
of functional efficiency. Activities that do not clearly
contribute to the results are not functional for the
operation. Non-functional or insufficient activities
result in a loss of efficiency: they do not lead to the desired result or lead to an at least partially
undesirable result. All the activities selected for financing under the programme demonstrate a
positive contribution to the achievement of the expected outputs and results under each measure
and are eligible under IPA rules and regulations.
The description for the activities shall provide an outline of the methodology to be followed during
their implementation. Please note that the details of the description of the activities shall provide
sufficient information to justify the budget items. Check if all sub-activities are budgeted and if your
budget does not include any item to which none of the sub-activities is linked.
Please explain the complementaries of the activities with other (relevant/previous) programmes/
policies. Please also present the role of the partners/associates involved in the operation.
The direct quantifiable outputs of the activities contribute to achievement of the project results and
contribute to the indicators determined for the each measure under HRD OP.
Each activity should be a clear link between method of implementation with activities & expected
results, which makes it easy to follow the logic behind. If the operation covers more than one region/
province, the location of the activities should be clearly described in this part activity by activity and
location by location.
Please note that if you make the activity plan with a detailed list of activities in the OIS further you
cannot make any changes in the ToR.
In case operations are selected through a CfO the planned activities may be restricted and must
be compatible with the eligible actions defined for each measure in the CfO, therefore consult the
‘Guideline for CfO’.
Practical tricks: Please make sure that the explanation of the activities follows the order and
numbering of the activity plan/time-schedule attached.
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6. Implementation arrangements
6.1 Institutional framework
Please use the relevant annex to fill this part.
Please provide information about the name of the proposed members/stakeholders (at least
organisational level) of the steering committee of the operation.
In case operations are selected through a CfO, please provide information about your
operational capacity, project experiences, and financial capacity. Please find the financial and
operational capacity table in Annex 2 and please fill in for the evaluation of institutional capacity of
operation beneficiary.
6.2 Proposed monitoring structure and methodology
Please use the relevant annex to fill this part.
6.3 Required procedures and contracts for the implementation of
the Operation and their sequencing
This paragraph will be filled in by the OS.
7. Risks and assumptions
Under this heading you have to indicate your assumptions and identify
the risks you foresee.
What are ‘Assumptions’?
In terms of project planning an ‘assumption’ is an assertion about some
characteristic of the future that underlies the current operations or plans
of your institution. Assumptions can be interpreted as pre-conditions
you take as guaranteed and key external factors which are critical for
the success of the operation.
Some examples for assumptions:
• The legislation establishing a new institutional structure to be developed during the operation
has been put into force.
• Effective and efficient cooperation and coordination amongst all the stakeholders/parties.
• Target groups are willing to take part to the activities of the operation.
• The stakeholders are committed to the operation.
What are ‘Risks’?
‘Risks’ are about events where the probability of occurrence is uncertain and out of your control.
These events, when triggered, cause problems in the implementation of the operation. Hence, risk
identification can start with the source of problems, or with the problem itself.
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PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
Risks can be defined as all the factors that do not exist for the time being, but it is known that they
will affect the implementation of the operation adversely if they bring about. Every activity involves
risks. If they happen, some risks will affect the activity more than the others.
Risk assessment helps to identify the potential risks and consider the likelihood of them happening
and their likely impact. Aim of risk assessment is to minimise the risks on operation level.
Risk is neither bad nor good. It is simply a measure of deviation from the expected. Risk consequences
can be either bad or good:
• Bad risk consequences drain resources, cause delays and interfere with an entity’s ability to
fulfil its mission;
• Good risk consequences produce better than expected results or unexpected opportunities.
Some examples for risks:
 Any major change in the legislative background of an operation may lead to a risk.
 Any major change in the institutional set up related to the operation may be considered as a
risk.
 Any major delays in the implementation of the operation may lead to the risks that some of the
activities cannot be implemented any more or not in the same way.
 Periodical changes in the workload of staff may be considered as a risk as they may not be
available for training (as an example) in peak periods.
 Unwillingness/lack of interest/lack of commitment of the target groups/stakeholders/final
beneficiaries/partner organisations during the implementation of the opearation.
 Lack of coordination and/or cooperation of operation activities.
 Insufficient participation in the activities.
You are also requested to provide information on how these risks will be taken into consideration in
the implementation of the operation and provide information on your risk mitigation plans.
Please note that risks are written as negative statements about what might be wrong while assumptions
are written as positive statements. They are conditions that need to be met if the operation is to
continue. Avoid mixing risks and assumptions. There will normally be fewer assumptions at activity
level and the degree of uncertainty will be increase for the operation purpose. This is because we
have less control over higher levels. It is easier to change activities or add new ones to reduce the
risks. It is harder to take action against some of the risks that threaten the use of outputs to achieve
the purpose or the way in which the purpose contributes the overall objective.
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8. Expected impact of the operation on the target group and
multiplier/spill over effects
Under this heading you are requested to provide clear
information on what positive effect the implementation
of the planned operation will have on the selected
target group(s).
You will have to answer two simple questions:
• What will be better in the end of the implementation
of the operation in comparison to the initial
situation?
• How the situation of the target group will be
improved by the operation?
Multiplier or spill over effects are externalities of an activity or processes that affect those who are
not directly involved.
You are requested to present under this heading what indirect positive effects the implementation of
the operation might have to other target groups; what lessons can be learnt that can be utilised as
models for other sectors/institutions/regions etc.
Some examples for spill over effects:
• The success of the implementation of operations related to promotion of women employment
may result in increased enrolment rates for girls into schools as a spill over effect. This is
because mothers who have gained qualifications and employment through the project see
the importance of education in relation to access to the labour market is concerned their
daughters to school more than before.
• Establishing financial schemes for promoting entrepreneurship may result in increased youth
employment as a spill over effect.
• Good practices for social assistance to disadvantaged people which proved to be efficient
and useful for promoting social inclusion in region
• A. may serve as model for region;
• B. Resulting in a multiplier effect.
• Capacity and institutional development in institution A. may trigger development initiatives in
institution B.
Please be realistic while expressing expected impact of the operation on the target group. Please
avoid unnecessary information and identify expected impact in line with the selected impact indicator
at operation level.
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PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
9. Sustainability
Please introduce under this heading how the activities
carried out under the operation will be maintained/
continued/endured after the completion of the
operation. There are two aspects of sustainability that
shall be tackled here
a) institutional sustainability and
b) financial sustainability.
One of the most important components of all operations
is institutional development. On institutional
sustainability we understand that the development
made in the frame of the operation will be sustained by
the Operation Beneficiary following the completion of
the project and mainly relates to the skilled human resources developed. In general, mainstructures
established during the implementation of the operation will be sustained and financed by the
beneficiary after the completion of the operation.
Some examples on what is meant by institutional sustainability:
• If a completely new institution was set up as part of the operation, this institution will not be
closed down after the completion of the operation but will operate further.
• If new structures were developed in an existing institution as part of the operation, these will
remain after the completion.
• If new operational modes and/or procedures and/or methods were developed, as part of
the operation, these will be implemented and maintained following completion. You are also
requested to provide information on how and by whom the implementation of the new model/
procedure/method will continue after the end of operation.
• If a new type of service was established in the frame of the operation, you have to demonstrate
that this service will be further provided by the beneficiary of the operation after completion
of the operation. You have to provide information how and by whom these services will be
provided further.
• If the capacities of the staff of the institution have been developed via training as part of the
operation, you have to demonstrate that this staff will remain with the institution and can
utilise the training further in their positions following the completion of the operation. You may
also provide information on how further training of newcomers will be ensured. A training of
trainers programme is always a good tool to ensure institutional sustainability in this regards.
• If the operation contains supply component the necessity of the purchasing should be
explained together with ensuring the maintenance of the equipments. You should demonstrate
how you will use the equipments after the period of the operation for the same purpose.
On financial sustainability it is meant that the necessary financial resources will be available to
finance further the sustaining and maintenance of the development made as part of the operation.
Therefore the financial sustainability relates to the income generating capabilities of the entity. You
are also requested to provide information on how and from what sources the financial resources
required sustaining and maintaining the development will be ensured:
As some examples:
• If new staff was hired and trained as part of the operation there will be enough resources to
23
finance the salaries of these staff members, so that they can remain in their positions.
• If a new service was launched as part of the operation there will be enough resources to
finance the further provision of these services.
• If a new web-site was created as part of the operation there will be enough resources to
finance the operation and maintenance of this web site.
• If some equipment were purchased as part of the operation there will be enough resources to
finance the operation and maintenance of these equipments.
While providing information on sustainability arrangements, please make clear references to the
institutional and financial sustainability issues. Please note that the OS may request a sustainability
declaration to be signed by the beneficiary organisation. Promise only what you can keep.
Practical tricks: Please do not forget the fact that EU would like to spend its money on sustainable
operations whose effects will be felt and seen after the completion of the operation.
Pay attention to this part and demonstrate that both institutional and financial
sustainability will be ensured.
10. Horizontal issues
Under this heading you are requested to provide information on how your operations tackle
‘horizontal issues’.
What are ‘horizontal issues’?
We call ‘horizontal issues’ issues that are not sector specific, or priority/measure specific within and
Operational Programme, but relevant and dealt with under each priority axis and measure. The HRD
OP tackles the below horizontal issues as listed under chapter 3.3. of the OP:
• Equal opportunities for men and women;
• Sustainable development and environmental protection;
• Participation of civil society;
• Geographic, sectoral and thematic concentration;
• Concerns of disadvantaged persons;
• Good governance.
Please explain the contributions of the planned operation to the above horizontal issues indicated in
the OP. Here below we introduce some examples that can give you some ideas.
Equal opportunities for all (men/women as well as disadvantaged persons)
Some examples on how you can tackle sustainable
development and environmental protection in operations
are mentioned hereunder:
• For example an operation for measure 1.1 or measure
2.1 will by nature promote equal opportunities for women
by improving their employability and/or employment
situation. Please give detailed information on why and
how the operation will improve the employability and/or
employment situation of women;
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PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
• An operation under measure 4.1 will by nature promote equal opportunities for disadvantaged
people. Please specify the disadvantaged target group you will deal with in your operation
and describe how the operation will improve their situation.
• In all operations, ensuring gender responsive training atmosphere, child care facilities etc.
can be ways of ensuring equal opportunities for all.
Some operations do not tackle equal opportunities directly. Also in these cases you may consider
how you will tackle with your operation equal opportunities for women or disadvantaged people
indirectly.
• Your operation tackles youth employment. You may consider how your operation will tackle
equal opportunities for men and women, for example by ensuring that you will offer vocational
training and employment possibilities to both genders.
• You may also consider how your operation will tackle equal opportunities of disadvantaged
people for example by ensuring that you will offer vocational training and employment
possibilities for also young people with low qualification level or for disabled youth.
• Your operation tackles adaptability of labour force. You may consider how your operation will
tackle equal opportunities for men and women in selecting the participants who will receive
training.
Sustainable development and environmental protection
In case of all operations their effect to the environment shall be assessed.
In some cases a direct environmental effect can be realised, in some
cases the effect is more indirect. In any case it shall be demonstrated that
the implementation of the operation will ensure sustainable development
and will in no way harm the environment.
Some examples on how you can tackle sustainable development and
environmental protection in operations:
• In operations aiming at promoting employment you may consider promoting sustainable
development by proving vocational education and employment in professions directly related
to environment protection.
• If you are providing vocational training in professions where there will be waste at the end of
the training sessions, you may describe how you will handle that waste in an environment
friendly way.
• You may also provide information on health and safety arrangements during training or
employment.
• If there is a supply component in your operation, you may emphasise that environment friendly
or less energy consuming equipment will be of preference.
• In the operation of the project office you may also emphasise arrangements for protection
of environment like minimising paper consumption via re-utilising paper printed on one side,
and using electronic filing and archiving systems to the extent possible.
Good governance and participation of civil society
Under this heading you are requested to provide information on how you will ensure the transparency
of spending of EU funds and also on co-operation with the civil society.
25
Some examples on how you can tackle good governance in operations:
 You may provide information on how you will separate the activities and funding of the
operation from the day-to-day activities of your organisation and from the funding, which aims
to finance these day-to –day activities.
 You can provide detailed information on information and publicity arrangements to ensure
transparency of spending of EU funds.
 You may introduce the civil organisations you will establish co-operation with in the
implementation of the operation. Please provide information also on the content of the cooperation.
 You may provide information on networking with other organisations implementing similar or
related operations.
You are not requested to provide information in the OIS about geographical, thematic and sectoral
concentration, as this issue will be dealt with by the OS on the level of the HRD OP.
11. Links with other IPA component measures
Under this heading you are requested to provide
information on possible links between the planned
operation and other Operational Programmes
already implemented or in the process of
implementation under different components of IPA,
introducing also how this link can be established.
IPA has five components of which ‘Human Resources Development’ is component IV. The
components of IPA are as follows:
• Transition Assistance and Institution Building – Component I: supports public institutions to adopt and implement EU law.
This
component
• Regional and Cross-Border Co-operation – Component II: This component is based on the
principle of “common benefit”.
• Regional Development – Component III: This component supports measures to reduce gaps
between Turkey’s regions.
• Rural Development – Component V: This component supports rural development.
To be able to identify any links with other IPA component measures you have to check the measures
of the Operational Programmes of components II, III and V as well as the Project Fiches under IPA
I component.
For further information, you can visit http://www.abgs.gov.tr/index.php?p=
26
PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
The below table provides you with information on complementarities and synergies with assistance
under other IPA components:
IPA I
RCOP
Measure 1.1
X
Measure 1.2
X
Measure 1.3
X
Measure 1.4
X
Measure 2.1
X
Measure 2.2
X
Measure 3.1
X
Measure 3.2
X
EOP
TOP
RDOP
X
Priority I.
X
HRD OP
Priority II.
Priority III.
Measure 4.1
X
X
Measure 4.2
X
X
Measure 5.1
X
Measure 5.2
X
X
Priority IV.
Technical
Assistance
Measure 5.3
27
The following table summarises complementarities of the HRD OP measures with those of RC OP.
Please analyse complementarities of the HRD measure relevant for your project with the RC OP
measure indicated in the below table:
COMPLEMENTARITIES WITH HRD OP and RC OP
Priority /
Measure
Explanation
Priority /
Measure
Explanation
P1: Improvement
of Business
Environment
M1.1:
Development
of Industrial
Infrastructure
The measure will serve to improve
employment by increasing the
occupancy ratio inside the business
sides. Women, young unemployed
& disadvantaged persons are
mentioned under the project
selection criteria and will be favored.
P1: Attract and
retain more people
in employment
P1: Improvement
of Business
Environment
The measure will enable the startup
of new business and to increase
the employment capacity of the
existing ones by providing the
necessary financial instruments. As
a result will serve on the increase of
employment.
P1: Attract and
retain more people
in employment
The creation and development
of financing instruments will
provide the target group of HRD
OP women, young unemployed,
former agriculture workers, and
disadvantaged persons) to have
more access on the financial
instruments for a startup.
The measure will strengthen
the links between business and
universities, while creating skill
demanding jobs. As a result
will contribute to the HRD OP
which aims to establish better
links between the labour market
and education and increase the
employment.
P1: Attract and
retain more people
in employment
(M.1.2)
One main target group under the
employment priority of the HRD OP
is the young unemployed. Figures
show that the labour market is not
creating qualified jobs sufficiently.
Measure 1.3 of the RC OP will help
to create more qualified jobs in that
sense and will meet the needs of
the university graduates.
M1.2: Creation
and Development
of Financing
Instruments
P1: Improvement
of Business
Environment
M.1.3:
Improvement of
R&D, Innovation
and Technology
and ICT
Environment and
Infrastructure
Measure 1.1; 1.2;
1.3; 1.4
P 2: Improve the
linkage between
education and
labour market (M
2.2)
P 3: Increase
adaptability
of workers,
enterprises and
entrepreneurs (M
3.2)
Improving the employability of
the target groups (women, young
unemployed & disadvantaged
persons) will assist on the
improvement of Business
environment by providing a
more skilled labour force. The
improvement of public employment
services will serve Business
Centres and OIZ’s by facilitating
to meet their labour force needs.
Promoting registered employment
will also serve for a better business
environment by reducing unfair
competitiveness among enterprises.
Priority 2 of the HRD OP aims
to improve the linkage between
education and labour market and
will enable the necessary basis to
train the labour force needed in
the field of R&D, Innovation and
Technology and ICT.
The target group for priority 3
measure 3.2 will also benefit by the
activities carried out for ICT in the
sense of adaptability.
P1: Improvement
of Business
Environment
M1.4:
Improvement
of Tourism
Infrastructure
28
The measure will increase the
employment opportunities in
the tourism sector in applied
regions. Thus will serve the HRD
OP which will provide vocational
trainings in the Tourism area for the
unemployed target groups.
P1: Attract and
retain more people
in employment
(M 1.1; 1.2)
Measure 1.1, 1.2 under P1 enable
vocational training for the target
groups, vocational trainings on
tourism sector will be focus on the
regions where RC OP improves the
tourism infrastructure.
PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
COMPLEMENTARITIES WITH HRD OP and RC OP
Priority /
Measure
P2: Strengthening
Enterprise
Capacity & Foster
Entrepreneurship
M2.1: Providing
Basic Information,
Consultancy
and Investment
Support for
Enterprises
Priority /
Measure
Explanation
The measure aims to improve the
entrepreneurial skills of SMEs and
to assist the new establishment
of works, this will create more
employment opportunities which will
contribute to the HRD OP.
P1: Attract and
retain more people
in employment (M
1.1; 1.2)
P3: Increase
adaptability
of workers,
enterprises and
entrepreneurs (M
3.2)
Explanation
The HRD OP includes
entrepreneurship trainings for
the target groups under the
employment priority. The trained
target groups would be able to
be supported by the RC OP to
start up their business and on
the development of the business
plans. In order to avoid duplication
the HRD OP will only provide
entrepreneurship trainings to the
specific unemployed target groups
and won’t take any activities such
as seminars etc.
The activities under P3 M3.2
aiming improvement of adaptability
of workers, enterprises and
entrepreneurs will support RC OP
on improvement of entrepreneurial
skills of SMEs.
How to make resource plan?
Based on the activity/time schedule for a realistic
budget making a resource plan is important.
The resource plan should identify all of the resources
required to complete your operation successfully.
Using this Resource Plan, you will be able to identify the
quantity of labor, equipment and materials needed to
deliver your operation.
The resource plan helps you identify the:
• Types of experts required for the operation (key/non-key; long-/short-term; senior/junior;
international/local)
• Roles and key responsibilities for each type of experts (in line with the activities)
• Number of experts required to fill each role
• Items of equipment to be used and their purposes (can be financed by operation under
eligible costs – incidentals/supply contract)
• Types and quantities of equipment needed (service – incidental costs/supply contract)
• Total amount of materials needed (service - incidental costs/supply contract)
29
The resource plan also helps you to:
 Plan the dates for using the resources
 Identify the amount of resource required by activities
 Create a detailed resource utilization schedule
Practical tricks: Resource plan is suggested to complete after the activity planning and before
budget planning. You should calculate realistic required number of expert days for
each of the activities. Key experts are suggested to perform most of the activities
and specific activities can be executed by short term/non-key experts. The strategic
level activities can be prepared by senior (international/local) experts and you can
calculate junior (international/local) experts for administrative tasks.
How to plan the budget?
12. Requested financing from the European Commission
First you are requested to plan your budget breakdown
and total budget as described under item 14.
The financing rate of the Human Resources
Development Operational Programme by the European
Commission is fixed as 85%. Following the identification
of the budget breakdown and the total budget of the
planned operation, you are requested to indicate 85%
of the total budget of the planned operation under this
heading.
13. Co-financing
First you are requested to plan your budget breakdown and total budget as described under item
14.
The national co-financing rate of the HRD OP is fixed as 15%. Following the identification of the
budget breakdown and the total budget of the planned operation, you are requested to indicate 15%
of the total budget of the planned operation under this heading. The amount of co-financing has to
be ensured by your organisation as OB.
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PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
14. Budget breakdown
Under this heading you are requested to plan the budget breakdown and the total budget of your
operation.
Please provide the information in table form as follows (fill in as relevant):
Components
EU Contribution (85%)
Co-financing (15%)
Total (100%)
in EUR
in EUR
in EUR
Institutional Building (i.e.
Technical Assistance)
(Service)
Equipment
(Supply)
Grant
Total in EUR
To be able to plan your budget breakdown you have to estimate the budget of your service and
supply contracts and if the operation also contains a grant component, also the amount of the grant
scheme.
The budget estimates for service, supply and grant components shall be submitted together with
the OIS. Supporting documentations, such as the results of the preliminary market research and
technical specifications (where appropriate) shall be submitted together with the budget estimates.
Here below you will find some guidance on how to estimate your budget for service, supply and
grant components.
Service contracts (estimation of required budget)
What is the difference between fee-based and global price service contracts?
First you have to clarify whether you are going to apply fee-based or global price service contract.
You will follow the budget planning method of the fee-based service contract if the outputs of the
services are unpredictable, or where the workload to achieve the specified output is impossible to
quantify in advance. Therefore the services are provided on the basis of a fixed daily fee rate for the
expert days. Furthermore the budget consists of a fixed provision for incidental expenditure which
covers all actual expenses incurred by the consultant which are not included in the fees.
Examples for fee-based activities: technical assistance, preparation of projects, feasibility studies,
technical studies, evaluations, audits.
In case of global price service contact the specified outputs are defined. The service will be paid
on the basis of the delivery of the specified outputs. Examples of global price activities: Studies,
evaluations, audits, organisation of events such as conferences, trainings, drafting a legal document,
evaluations and audits.
If you apply global price service contract detailed budget planning is also required to OIS. In this
case you can follow the fee-based service contract planning process.
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The fee-based service contract budget planning method is the following:
First of all you have to identify how many and what kind of experts you will need.
There are the following types and categories of experts:
 team leader;
 key experts;
 non-key experts.
The team leader will be responsible for the overall co-ordination and implementation of the technical
assistance contract.
Experts, whose input to the implementation of the technical assistance project exceeds 6 months
over the implementation period of the contact, are considered as ‘key experts’.
Experts, whose input to the implementation of the technical assistance project does not exceed 6
months over the implementation period of the contract, are considered as ‘non-key experts’.
Experts can be categorised as:
 senior experts;
 junior experts.
Key and non-key experts can be both seniors and juniors.
As next the required input, in terms of working days over the duration of the contact, of each type
and category of experts has to be identified. Based on the foreseen workload and tasks to be
implemented by the team leader and the key experts, you have to make estimation for their required
input over the implementation period of the contract.
Key experts may be:
 full time;
 part time;
depending on their required input over the implementation period of the contract.
One working month is generally calculated as 20-22 working days. The annual leave entitlement of
a full time expert shall be between 30-60 calendar days. Therefore the yearly input of a full time key
expert can be calculated as 200-220 working days/calendar year.
Key experts, whose input is less than 200 working days/calendar year can be considered as part
time.
After you identified the required input from key experts, you also have to make estimation for the
required total input for senior and junior non-key experts. This can be estimated based on the
workload and tasks not covered by key experts.
After you have identified the estimated input required for each type and category of experts, you can
start to make estimation for the budget required to implement the contract.
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PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
The budget of fee based service contracts is presented as the following table:
All figures in EUR
Estimated no. of
working days
Fee rate per
working days
Amount
Fees (including overheads):
Key experts:
team leader
1.250
- senior experts
1.200
- junior experts
800
Non-key experts:
- senior experts
800
- junior experts
650
Total fees (including overheads):
Provisions for incidental expenditure:
Provisions for expenditure
verification:
MAXIMUM CONTRACT VALUE:
You put the estimated number of working days for each type and category of experts into the second
column of the above table.
There are some amounts given in the third column for the fee rates per working days for each type
and category of experts. These are based on statistics from contracts under implementation in 2011.
Fee rates include also overheads which are:
 administrative costs of employing the relevant experts, such as relocation and repatriation
expenses, accommodation, expatriation allowances, leave, medical insurance and other
employment benefits accorded to the experts;
 costs related to the project office including running costs and insurance;
 costs related to the project director and the project administrative and support staff including
interpretation and translation costs related to experts;
 costs related to office equipment and their maintenance;
 financial charges related to the implementation of the contract.
Based on the estimated number of working days for each type and category of experts multiplied
with the relevant estimated fee rates, you will calculate the estimated fee budget.
As next step you will have to make estimation for the provision of incidental expenditure. Incidental
expenditure covers all those direct costs related to the implementation of the contract activities that
will be invoiced and reimbursed at actual cost.
First of all you have to think over very carefully the activities of your planned operation and list all
direct expenses that will occur during the implementation of the contract, but which are not covered
by the overheads included in the fees.
33
Some typical incidental examples are listed below, which should not be considered as an all
inclusive list. The headings under the incidental expenditure have to be identified individually for
each operation, depending on their specific activities.
Some typical examples for incidental expenditure:
 travel costs (international and inter-city) from base of operation and back and subsistence
allowances for experts for missions undertaken as part of the contract;
 costs related to the organisation and delivery of specific events such as training, seminars,
workshops, conferences, project fairs, competitions, etc. such as: renting costs of premises
as well as necessary equipment and installation, travel costs, accommodation and catering
costs for participants;
 interpretation and translation costs related to operation activities and outputs;
 visibility costs in line with EU visibility requirements.
Subsistence allowances for experts depend on the country where the operation activity will take
place. The rates cannot exceed the actual per diem rates identified by the European Commission
and published under the following link:
http://ec.europa.eu/europeaid/work/procedures/implementation/per_diems/index_en.htm
For estimating other costs you have to carry out a preliminary market research. Ask for dummy
offers, search for prises on web sites or in catalogues and make a realistic estimation.
As final step you will have to make estimation for provision for expenditure verification. The provision
for expenditure verification relates to the fees of the auditor who will be responsible to verify the
expenditure under the contract in order to proceed with the payment of further pre-financing
instalments and/or interim payments. The expenditure verification 8%.
The cost of the auditor will depend on the contract amount to be verified. To estimate this cost, ask
for dummy offers from auditors based on the total amount of fees plus incidental expenditures. As a
rough estimation 1 % of the total of fees plus incidental expenditures may be appropriate.
Supply contracts (estimation of required budget)
First of all you have to identify the needs of your operation as regards to purchase of equipment
is concerned. Please note that equipment can only be purchased if they are directly related to the
institutional building component and its activities and if the supply is well justified in the OIS.
Compile the list of equipment you plan to purchase and compose lots of similar type and categories
of equipment that can be purchased from the same supplier. Compile preliminary technical
specifications for each lot and type of equipment and carry out some preliminary market research.
Ask for dummy offers, search for prices on web sites or in catalogues and make a realistic estimation.
Based on the preliminary market research you can make estimation for the total amount of the
planned supply.
Grant scheme (estimation of required budget)
In case your operation will also have a grant component, you may estimate the total amount of the
grant scheme as the arithmetical product of the estimated average project size and the estimated
number of grant projects you may want to finance and manage.
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PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
The volume of the grant scheme shall be proportionate to the problem you want to tackle with the
scheme. Most importantly it must be in line with the management and monitoring capacities of your
institution. Please consider what capacities you can provide to manage and monitor the scheme.
How many full time staff will be available for managing and monitoring of the scheme? As a rough
estimation you can calculate with one full time staff to manage and monitor 20-30 grant projects.
If grant projects are big in terms of budget and complex in nature the number of projects/staff
members shall be increased.
Ineligible expenditures
In line with the provision of Article 34 (3) and Article 152 of the IPA Implementing Regulation, the
ineligible expenditures should be taken to consider during the budget planning.
In case operations are selected through a CfO please check the ‘Guideline for CfO’.
15. Cash flow requirements by source of funding
This paragraph will be filled in by the OS.
What next?
If you have reached so far, there is nothing more left than to submit your
designed operation in form of a fully elaborated Operation Identification Sheet
and annexes to the Operating Structure.
Please do not forget to send together with the fully elaborated OIS the following
documents:
 budget estimate for the service component together with detailed estimations for the provision
of incidental expenditure and expenditure verification;
 budget estimate for the supply component (if any) together with detailed calculations for the
estimate;
 budget estimate for the grant component (if any) together with calculations for the estimate.
Please respect the deadline for submission of OISs identified by the OS directly or in the ‘Guideline
for Call for Operation’, in case operations are selected through a Call for Operation.
After the submission, the OIS and its annexes, as well as the supporting documentation provided
by the potential OBs, will be checked by the Procurement Unit of the OS. In case operations are
selected via a Call for Operation the OS Procurement Unit will evaluate the OISs submitted and will
take a decision on pre-selected OISs. OISs selected directly as well as OISs pre-selected via Call
for Operation will be checked by the Quality Assurance and Control Unit of the Operating Structure
as well.
Following checking by the Quality Assurance and Control Unit, the OS may provide comments
and may return the OIS for revisions. Potential OBs will be requested to make those revisions and
35
resubmit the OISs to the OS in 10 calendar days1. In addition to the revised OIS, potential OBs
shall also submit a table which demonstrates the comments of the OS and the actions taken by the
potential OB to meet those comments. Additional comments by the OS, if any, are to be addressed
by the potential OBs within 5 calendar days.
The EUD may also provide comments or request revisions to the document. Potential OBs will then
be required to return the revised OIS to the Operating Structure who will forward it to the EUD for
final approval. As mentioned before, potential OBs shall also submit a table which demonstrates
the comments of the EUD and the actions taken by the potential OB to meet those comments. It
is strongly recommended that the potential OBs comply with the time limits defined above for the
revisions. The operation can be started once EUD grants final approval to its OIS.
After approval of the OIS by EUD the OB will prepare the Terms of Reference for the Service
Component and the Technical Specification and Market Research for the Supply Component if
any. In case the operation will also contain a grant scheme, the Guideline for Applicants and the
Application Package will be prepared by the OB. The OB will also be responsible for preparing all
tender documents (service, supply and grant, if any) related to the operation. The OS will guide the
OBs in this process and ensure quality check and approval of all documents.
1 If the revisions necessitate a deadline, which is more than 10 calendar days, the OS has right to extend this period in
consultation with the potental OB. However potential OBs shall pay great importance to respect the deadlines indicated,
otherwise, the operation may be suspended by the OS.
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PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
ANNEX 1
INSTRUMENT FOR PRE-ACCESSION ASSISTANCE
HUMAN RESOURCES DEVELOPMENT COMPONENT
OPERATION IDENTIFICATION SHEET
1. Title and number of the Operation:
2. Operating Structure: Ministry of Labour and Social Security (MoLSS)-EU Coordination (IPA
Management) Department
3. Organisation Responsible for the Implementation of the Operation: insert contacts,
including contact person
4. Compatibility and coherence with the Operational Programme
4.1 Title and number of the Programme: Human Resources Development Operational
Programme - CCI No. 2007TR05IPO001
4.2 Title of the priority axis
4.3 Title of the measure
5. Description of the Operation
5.1 Contribution to the achievement of the Operational Programme: Describe how the
operation contributes to the achievement of the objectives of the Operational Programme
(provided quantified indicators where possible) linked with the appropriate measure.
5.2 Overall Objective: Explain in one sentence
5.3 Operation Purpose:
5.4 Location(s): Please keep in mind the eligible regions
5.5 Duration:
5.6 Target group(s):
5.7 Description of the Operation and background:
5.8 Results with measurable indicators:
5.9 Activities:
6. Implementation arrangements1
6.1 Institutional framework: institutional arrangements foreseen for the implementation of
the operation, e.g. operation coordination unit, steering committee, regional and/or provincial
authorities, technical assistance team
Please provide information about your operational capacity, project experience, financial capacity.
6.2 Proposed monitoring structure and methodology: who will be responsible for monitoring
of the operation, how will the operation be monitored, what will be the workflow and reporting lines?
6.3 Required procedures and contracts for the implementation of the operation and their
sequencing: list the type of procedures (call for proposals, direct implementation by national
institutions without prior call for proposals, direct agreements with international organisations,
etc) and the corresponding contracts (grant contracts, contribution agreements with international
organisations, services, supplies, works, etc) for the proposed activities, together with their
sequencing
1 In this part of the OIS the applicant should prove that it has enough capacity to implement and monitor the
operation; upon the selection of the OIS, this part will be developed in accordance with priorities of the OS
and the needs of the operation. Furthermore, it is important to use the standart text of the OS regarding the
implementation arrangements and Guideline in Annex-IV, which are attached as an annex to this guideline.
37
(Please provide detailed chronogram for preparatory states, tendering, contracting and starting of
operations.)1
7. Risks and assumptions:
8. Expected impact of the operation on the target group and multiplier/spill over effects:
9. Sustainability:
10. Horizontal Issues:
Please provide information about which of the following issues the operation will take into consideration;
equal opportunities, sustainable development, environmental protection, participation of civil society,
geographic, sectoral and thematic concentration, concerns of disadvantaged persons, good
governance (According to HRD OP Horizontal Issues Chapter 3.3).
11. Links with other IPA component/national programmes/policies:
12. Requested financing from the European Commission:
The Community contribution shall not exceed the ceiling to 85 % of the eligible expenditure at the
level at the priority axis.
(No operation shall benefit from a higher co-financing rate than the one relating to the priority axis
concerned (Article 149.3 and 153.3 of IPA Implementing Regulation).
13. Co-financing: (please identify expected total contribution by the Ministry of Labour and Social
Security)
14. Budget breakdown2:
(Indicative, per operation component if applicable, including estimated total cost, EU contribution,
co-financing)
EU Contribution
Co-Financing
Total3
Institutional Building (i.e.
Technical Assistance)
Equipment
Grant
Total
15. Cash flow requirements by source of funding4:
1 This part related to chronogram will be filled after selection of OISs.
2 These headings in the table (Equipment purchasing and Institutional building) could be adapted according to the proposed
components of the operation. Non applicable parts could be deleted.
3 Please note that, EU contribution is the 85% of the budget and co-financing is the 15% of the budget which will be provided
by the Ministry of Labour and Social Security except national public bodies.
4 This part will be filled after selection of OISs.
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PRACTICAL GUIDE TO OPERATION PREPARATION
under the Human Resources Development Operational Programme
ANNEX 2
Financial and Operational Capacity Tables
Please provide the following information, if applicable, on the basis of the profit and loss account and
balance sheet of your organisation, amounts in thousands Euros
Year
Turnover or
equivalent
Net earnings
or equivalent
Total balance
sheet or
budget
Shareholders’
equity or
equivalent
Medium and
long-term debt
Shortterm debt
(<1 year)
N1
N-1
N-2
Project Experience
Please provide a detailed description of actions managed by your organisation over the past three
years.
This information will be used to assess whether you have sufficient and stable experience of
managing actions in the same sector and of a comparable scale to the one for which an operation
is being requested:
Project title:
Location of
the action
…
Sector
Cost of the
action (EUR)
…
Lead manager
or partner
Donors to the
action (name)2
…
…
Amount
contributed
(by donor)
…
Dates (from
dd/mm/yyyy to
dd/mm/yyyy)
…
Objectives and results of the
action
1 N = previous financial year.
2 If the Donor is the European Union or an EU Member State, please specify the EU budget line, EDF or EU Member State.
39
Notes:
www.ikg.gov.tr
Ministry of Labour and Social Security
European Union Coordination Department
Human Resources Development Operating Structure
Yıldızevler Mahallesi 713. Sokak No:4 Çankaya, 06550, Ankara, Turkey
Tel:+90 312 440 99 02 - Faks:+90 312 212 11 48
www.ikg.gov.tr - info@ikg.gov.tr
This publication is funded by the European Union and The Republic of Turkey. The content of this
publication is the sole responsibility of Consortium led by WYG
and in no way reflect the views of the European Union and The Republic of Turkey.