Ministry of Transport
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OP
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J01
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Managing Authority under
CF 1164/94
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Communication to Head of PAying authority on Irregularities
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Version : 5
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Date : October 2008
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Page: /
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Purpose
To establish the procedure for preparing and transmitting to the Head of Paying Authority (HPA) reports on Irregularities (i.e. communication on Irregularities in connection with the implementation of the CF 1164/94 (ex- ISPA) Programme).
Background
All suspected and/or actual cases of fraud and/or irregularity as well as measures related thereto taken must be reported to the HPA. All irregularities will continue to be included in an updated version of the reports to be submitted to the HPA on a quarterly basis, until the irregularities are resolved.
Procedure
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Action
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Function / Person responsible
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Timing / Deadline
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Standard Form / Template
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In the process of day-to-day operations, and particularly in the context of monitoring project activities, encounters potential and/or actual irregularity(ies)
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Collects related documentation
Note : in principal, original documentation (if original documentation must be released obtains certified copy) required to evidence the Irregularity(ies)
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Managing Authority CF 1164/94 staff
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If the suspected irregularity does not involve the Irregularity Officer and/or MA Director:
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Informs in writing the relevant Irregularity Officer and the Director of the MA CF 1164/94 on his/her finding
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Transmits to the relevant Irregularity Officer the documentation collected
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If the suspected irregularity involves the Irregularity Officer and/or MA Director:
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directly informs the Head of MA in writing on his/her finding including information on description of the Irregularity(ies) and impact
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Transmits to the Head of PA the documentation collected
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Performs the review / analysis of the information received
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Discusses with MA Director [or the HMA depending on circumstances] the irregularity and any relevant issue (i.e. type of irregularity and impact, verification of the information received, need for requesting further information, actions to take, etc…)
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Irregularity Officer
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Date of receipt of information
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If the information on the suspected irregularity justifies a communication to the HPA, contacts the PA to obtain an identification number.
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Prepares a Communication of Irregularities in connection with the implementation of CF 1164/94 (ex-ISPA) Measures as required in Annex III.5 of CF 1164/94 (ex-ISPA) FM
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JO1 - 01
[Quarterly] Communication of Irregularities in connection with the implementation of CF 1164/94 (ex-ISPA) Measures as required in Annex III.5 of CF 1164/94 (ex-ISPA) FM
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Prepares a check-list Control of report from HMA to HPA on detection of irregularity(ies)
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Formalises controls / comments on the check-list
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Ensures that Irregularities Register / Fiche and Irregularity file are created / updated
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Transmits to MA Director
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Irregularity Officer
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Date of preparation of report
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JO1 - 03
Check list : Control of report from HMA to HPA on detection of irregularity(ies)
JO1 - 04
Register of Irregularities
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MA Director
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Date of receipt
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Ensures the transmission of the Report to Head of PA
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Irregularity Officer
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Within 5 WD after discovery of the existence of actual facts leading to suspect the irregularity
This applies to: Irregularities discovered or supposed to have occurred which may very quickly have repercussions outside Bulgaria and/or show that a new fraudulent mal-practice has been employed
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Ensures the regular updating of the Irregularity(ies) records (Files and Register)
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On going process
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If applicable, transmits to the Senior Accountant information / documents required for recording debt(s)/receivables relating to the Irregularity(ies)
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Applies Accounting procedure OP I01 Accounting
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Accountant
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Date of receipt
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Ensures that the PA is informed of the Record
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Irregularity Officer
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Maximum 5 days after record has taken place
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EVERY QUARTER
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If no irregularity is reported to the Head of IB/PIU:
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the Head of IB/PIU submits to the Director of the MA Declaration on (Nil) Irregularities in connection with the implementation of CF 1164/94 (ex-ISPA) Measures by the IB/PIU supplemented by original Declaration on Irregularities for IB/PIU Staff for each newly recruited IB/PIU staff
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the Director of the MA forwards the Declarations submitted by/through the Heads of IB/PIUs to the Irregularity Officer
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Heads of IB/PIU
Director of MA
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Within 5 WD after each quarter
Date of receipt
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JO1 – 02-A
Declaration on irregularities from IB/PIU
JO1 – 07
Declaration on irregularities for IB/PIU Staff
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the Head of each department of the MA CF 1164/94 submits to the Irregularity Officer original Declarations on Irregularities for MA CF 1164/94 Staff signed by each newly recruited staff of the department
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Heads of Departments in MA CF 1164/94
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Within 5 WD after each quarter
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JO1 – 06
Declaration on irregularities for MA CF 1164/94 Staff
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If no irregularity is reported the Irregularity Officer prepares:
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a Declaration on irregularities in connection with the implementation of CF 1164/94 (ex-ISPA) Measures supplemented by Declaration on Companies Submitting Wrong and/or Misleading Information to the MA CF 1164/94 within the MoT
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Irregularity Officer
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Within 1 month after each quarter
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JO1 – 02
Declaration on irregularities
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If an irregularity was reported (Step 7 of the procedure) the Irregularity Officer prepares a Quarterly Communication of Irregularities in connection with the implementation of CF 1164/94 (ex-ISPA) Measures
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Irregularity Officer
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Within 1 month after each quarter
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JO1 – 01
[Quarterly] Communication on Irregularities in Connection with the Implementation of CF 1164/94 (ex-ISPA) Measures as Required in Annex III.5 of the ISPA Financing Memorandum
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Prepares a check-list Control of report from HMA to HPA on detection of irregularity(ies)
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Formalises controls / comments on the check-list
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Ensures that Irregularities Register / Fiche and Irregularity file are created / updated
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Transmits to the Director of the MA
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Irregularity Officer
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Date of preparation of report
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JO1 - 03
Check list : Control of report from HMA to HPA on detection of irregularity(ies)
JO1 - 04
Register of Irregularities
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Performs a review of the whole package
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Formalises controls / comments on the check-list
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Provides for visa and/or gets HMA signature as relevant
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Transmits the whole package to the Irregularity Officer
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Director of the MA
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Date of receipt
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Ensures the transmission of the Report to HPA
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Irregularity Officer
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Within 1 month after cut-off date
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Ensures the regular updating of the Irregularity(ies) records (Files and Register)
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On going process
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Prepares a report from the HMA to HPA on staff recruitment and training
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Transmits to the Director of the MA
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Head of Ex-Ante Control Department
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On a quarterly basis, within 1 month after cut-off date
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Performs a review of the whole package
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Provides for visa and/or gets HMA signature as relevant
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Transmits the whole package to the Head of Ex-Ante Control Department
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Director of the MA 1164/94
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Date of receipt
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Ensures the transmission of the Report to HPA
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Head of Ex-Ante Control Department
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Within 1 month after cut-off date
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JO1 – 05
Quarterly Declaration from HMA to HPA on staff recruitment and training
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Ministry of Transport
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J01 - 01
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Managing Authority under
CF 1164/94
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Standard format – [QUARTERLY] COMMUNICATION OF IRREGULARITIES IN CONNECTION WITH THE IMPLEMENTATION OF CF 1164/94 (ex-ISPA) MEASURES AS REQUIRED IN ANNEX III.5 OF THE CF 1164/94 (ex-ISPA) FINANCING MEMORANDUM
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Version : 5
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Date : October 2008
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CONFIDENTIAL Case No: BG/XX/XXX/IS/X11
QUARTERLY COMMUNICATION OF IRREGULARITIES IN CONNECTION WITH THE IMPLEMENTATION OF CF 1164/94 (ex-ISPA) MEASURES AS REQUIRED IN ANNEX III.5 OF THE CF 1164/94 (ex-ISPA) FINANCING MEMORANDUM
IDENTIFICATION OF COMMUNICATION
Applicant Country : Bulgaria
Case Number: BG/XX/XXX/IS/01
Quarter: XX/XX2
Date Sent :
Administrative Department in Applicant Country:
Contact Point: Name: Phone:
Fax: e-mail:
DETAILS OF IRREGULARITY
1. Description of Operation
1.1 Name of Measure :
1.2 Commission Decision approving the programme :
1.3 Name of measure and title of project :
2. Provision Infringed
2.1 Community provision infringed:
________________
1 : With the exception of the last digit the case number remains the same and is composed of: candidate country’s initials/year/three digit case number/ IS for ISPA / 0 for initial communication under Annex III.5, Section 4. When communicating updates under Annex III.5, Section 4(2) and 6, please use 1 for first update, 2 for second update, etc. e.g. BG/02/001/IS/1
2 : Two digits for the year and two digits for the quarter eg. 0203, 0206, 0209, 0212
2.2 National provision infringed:
3. Date of First Information Leading to Suspicion of Irregularity :
3.1 Source of first information leading to suspicion of irregularity :
4. Manner in Which Irregularity was Discovered
5. Type of Irregularity
(Tick as relevant)
Qualification of Irregularity:
(a) Mistake/ error ( )
(b) Irregularity ( )
(c) Fraud (suspected) ( )
(d) Organised crime ( )
5.1 Practices employed in committing the irregularity:
5.2 Are these practices considered new? Yes ( ) No ( ) Not known ( )
5.3 If yes, has notification been sent to :
the Commission :
Yes ( ) Date and reference:
No ( ) Not known ( )
Members States/Candidate countries :
Yes ( ) Date and reference:
No ( ) Not known ( )
6. Are Other Countries Involved Yes ( ) No ( )
(Tick as relevant)
6.1. If yes, has notification been sent to the respective countries (Annex III.5 of CF 1164/94 (ex-ISPA) Financing Memorandum) :
Yes ( ) Date and reference:
No ( ) Not known ( )
7. Period of Irregularity
7.1 Date on which, or dates between which, the irregularity has been committed:
8. Authorities or Bodies
8.1 Authorities or bodies which drew up the official report on the irregularity:
8.2 Authorities or bodies responsible for administrative or judicial follow-up:
9. Date on Which the Official Report on the Irregularity was Drawn up:
10. Name and Address of Natural and Legal Persons Involved
10.1 Natural Persons:
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Name:
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First Name:
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Address:
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Postal Code:
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City:
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Country:
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Function:
10.2 Legal Persons:
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Name:
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Registered Office:
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Postal Code:
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Country:
FINANCIAL ASPECTS
11. Total Amount and Distribution Between Sources of Financing
11.1 Total amount of the operation:
11.2 Community financing:
11.3 Applicant country financing:
12. Nature and Amount of the Expenditure Found to be Irregular
12.1 Nature of the expenditure:
12.2 Total amount of the expenditure:
12.3 Community expenditure:
12.4 Applicant country expenditure:
13. Amount Which Would Have Been Wrongly Paid if the Irregularity Had Not Been Discovered:
14. Financial Consequences
14.1 Amount of expenditure under 12.2 not yet paid:
Community share:
Applicant country share:
15. Possibility of Recovery:
16. Total Amount Recovered:
16.1 Community share:
16.2 Applicant country share:
17. Total Amount to be Recovered:
17.1 Community share:
17.2 Applicant country share:
STAGE OF PROCEDURE
18. Action by Applicant Country
18.1 Interim measures:
19. Administrative Proceedings:
20. Judicial Proceedings:
21. Reasons for Any Abandonment of Recovering Proceedings:
21.1 Was the Commission notified before the decision to abandon the recovery procedure was taken?
Yes ( ) Date and reference:
No ( ) Not known ( )
22. Have Criminal Proceedings Been Abandoned
Yes ( ) No ( ) Not Known ( )
23. Termination of Procedures
23.1 Has the Commission been notified of administrative or judicial decisions or the main points thereof, concerning termination of proceedings (Annex III.5 of CF 1164/94 (ex-ISPA) Financing Memorandum):
Yes ( ) Date and reference:
No ( ) Not known ( )
24. Penalties Imposed (administrative and/or judicial):
25. Additional Observations:
CF 1164/94 Managing Authority on behalf of the
CF 1164/94 Managing Authority
(ex- Sectoral Authorising Officer on behalf of the ISPA Implementing Agency)>.
Ministry of Transport
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J01 - 02
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Managing Authority under
CF 1164/94
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Standard format – DECLARATION ON IRREGULARITIES IN CONNECTION WITH THE IMPLEMENTATION OF CF 1164/94 (ex-ISPA) MEASURES
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Version : 5
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Date : October 2008
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Declaration
on Irregularities or Recovery of Sums Wrongly Paid by the Managing Authority under CF 1164/94 (ex-ISPA) within the Ministry of Transport
I, the undersigned, ………, acting as the Head of Managing Authority under CF 1164/94 (ex-ISPA), hereby declare that:
For the period from ……… to ………there are no irregularities and sums wrongly paid under the following CF 1164/94 (ex-ISPA) Financing Memoranda:
No. of the FM
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Name of the FM
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[In the reported period there are (number) new and/or follow-up on irregularities registered under (number of the Financing Memorandum). Details, related to this/these irregularity (ies) are included in the Quarterly Communications on Irregularity by the HMA under CF 1164/94 (ex-ISPA) within the Ministry of Transport, attached herewith.]
This declaration contains (number) numbered pages.
Signed by ………….
Head of Managing Authority under CF 1164/94
(ex- ISPA Sectoral Authorising Officer):
(date)
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