Ministry of European Integration Cross Border Cooperation Directorate Romania and Ministry of Regional Development and Public Works Bulgaria Guidelines for Applicants to Call for Proposals 2001 and 2002 Applicable to Joint Small Projects Fund RO0103.05 - BG0107.04 And RO2002/000-625-04 BG2002/000-623-04
Table of Contents 1. THE JOINT SMALL PROJECTS FUND PROGRAMME...3 1.1 Historical Background...3 1.2 Objectives of the Programme 2001 and 2002 and Priority Issues...4 1.3 Amount available for financial support by the Contracting Authority...5 2. RULES CONCERNING THE PRESENT CALL FOR PROPOSALS...7 2.1 Criteria for eligibility...7 2.1.1 Eligibility of Applicants: who may apply...7 2.1.2 Partnership and Eligibility of Partners...8 2.1.3 Eligibility of projects: projects for which an application may be made...9 2.1.4 Eligibility of costs: costs which may be taken into consideration for the grant...11 2.2 How should an application be made and the procedures followed..12 2.2.1 Application form and supporting documents...12 2.2.2 Where and how to send the applications...13 2.2.3 Deadline...14 2.2.4 Further Information...14 2.2.5 Acknowledgement of receipt...14 2.3 Evaluation and Selection of Applications...15 2.4 Information concerning the Contracting Authority s decision on the award of grants18 2.5 Conditions applicable to project implementation following the Contracting Authority s decision to award a grant...18 3. LIST OF ANNEXES...21 Annex A: Grant Application Form (Word format)...21 Annex B: Budget (Excel format)...21 Annex C: Logframe (Excel format)...21 Annex D: Daily Allowance Rates (per diems) as of 30 July 2001 (Word format)...21 Annex E: Standard Contract (Word format)...21 2
1. THE JOINT SMALL PROJECTS FUND PROGRAMME 1.1 HISTORICAL BACKGROUND In December 1998 the European Commission issued the Phare CBC Regulation (1596/2002) to provide a clear framework within the Phare programme for the implementation of activities to support cross-border cooperation. Within the CBC Regulation there was specific reference to the setting up of small project funds to strengthen the involvement of local and regional actors in cross-border cooperation. Such funds would be used to enhance the capabilities of local actors from the border regions to identify and develop joint small-scale actions. On the basis of the Phare CBC Regulation, and within the Joint Co-operation Committee, the Governments of Romania and Bulgaria agreed with the European Commission to allocate a percentage of the Romania - Bulgaria CBC Programme to a Joint Small Projects Fund. Flexible funding mechanisms like Small Project Funds aiming to support small-scale interventions addressing identified local needs are an efficient instrument due to their popularity among local/regional actors and a relatively quick implementation period. The first allocation of EUR 500.000 per country was made from the Phare 2000 programme for each country. Both parties will assure a national contribution to the JSPF in total amount of 50.000 EUR, each. Out of the allocated Phare funds available for this JSPF, the Phare contribution may finance indirect (overheads) costs up to 7% of total amount eligible costs (maximum EUR 35.000 for each country) regarding the administrative support for operating the fund. This Joint Small Projects Fund will build upon the pilot approach adopted with the Multi-Country CREDO programme, which supported a number of small-scale cross-border projects between Bulgaria and Romania in 1997 and 1998. It is also being developed in response to the demand from the border regions for a common instrument to enable joint activities in a range of priority sectors. It will form a key part of the approach being adopted by Romania and Bulgaria in the Joint Programming Document for Phare CBC currently being developed. In addition the Phare 2001 Joint Small Projects Fund and the Phare 2002 Joint Small Projects Fund follows similar operations like those carried out under the RO 0002.04 Phare 2000 Joint Small Projects Fund Their success has greatly contributed to the positive image that the Phare Programme enjoys among the population in the target region. In this context, these Guidelines for Applicants are based on: The 2001 Financing Memoranda for Joint Small Project Funds signed between the Romanian Government and the European Commission RO 0103 and between the Bulgarian Government and the European Commission BG 0107. The 2002 Financing Memoranda for Joint Small Project Funds signed between the Romanian Government and the European Commission RO 2002/000-625 and between the Bulgarian Government and the European Commission BG 2002/000-623. The Practical Guide for Phare, ISPA and SAPARD contract procedures (PRAG). The Commission Regulation (EC) 1596/2002 of 6 September 2002 concerning the implementation of a programme for cross-border co-operation in the framework of the Phare programme. 3
1.2 OBJECTIVES OF THE PROGRAMME 2001 AND 2002 AND PRIORITY ISSUES The overall purpose of the Joint Small Projects Fund, both on 2001 and 2002, is to support small scale, "people-to-people ' exchanges and "soft" local development activities of a cross-border nature, involving local actors from the border regions. The ultimate objective will be to enhance the capability of the local and regional authorities to develop and implement joint projects within the border region, in the field of economic, cultural and social life of the border area. Non-profit, decentralised organisations such as professional and special interest associations in the regions are shown to have a positive impact on creating a number of long-term direct links. The JSPF proves to remain a flexible instrument, managed at local level to ensure maximum level of subsidiary. Key issues for the JSPF include: encouragement and support for the creation of sustainable co-operation networks between local and regional actors in the border region; assistance with the development of the capability and capacity of local organisation to develop and implement projects within the border region; development the common project implementation structure, which unified historic and cultural different regions. In pursuing these objectives, the JSPF provides a flexible approach to funding smaller scale actions, which are defined on the basis of local/regional needs, and which have a cross-border impact. Immediate objectives The JSPF shall support development, in particular in the field of small-scale people-to-people activities across the border, according to the Commission Regulation 1596/2002, Article 5.1 and 5.2. Therefore it will support co-operation initiated in the following fields: local economic development, including tourism, measures to promote co-operation in health, particularly the sharing of resources and facilities on a cross-border basis, the development or establishment of facilities and resources to improve the flow of information and communications between border regions, including support for cross-border radio, television, newspapers and other media, cultural exchange, local employment, education and training initiatives, agricultural and rural development measures with particular attention for facilitating cross border cooperation projects promotion of business cooperation, enterprise development, financial cooperation and cooperation between institutions representing the business sector (e.g. chambers of commerce) In overall terms the JSPF will seek: the development of cultural co-operation between neighbouring regions on both sides of the border; the support and increase in numbers of cross border meetings of various groups of the population, especially of youth; the support of educational activities for institutions and individuals involved in local/regional development, in local government and in organisations of public interest; the raising of the level of public awareness and information on cross-border co-operation affairs and on the process of European integration. to encourage local involvement in the Phare CBC Programme and to support small-scale actions which may form the basis for larger cross-border co-operation projects; 4
to build and develop the specialist resources of local and regional institutions involved in regional development, groundwork and implementation of cross-border projects in line with EU practice; stimulation and support to the creation of permanent structures among the local and regional organisations in the border region in question, particularly organisations with membership for both sides of the border; to enhance possibilities for cross-border tourism attraction and linkages between the tourism support infrastructures on either side of the border; to develop and enhance co-operation between the communities on either side of the border with a view to joint improvement of economic development, living conditions and on-going contact. 1.3 AMOUNT AVAILABLE FOR FINANCIAL SUPPORT BY THE CONTRACTING AUTHORITY The global indicative amount available under the present Call for Proposals is 930,000 EUR, where: 2001 programme, 465,000 EUR, under the 2001 Romanian Cross-Border Co-operation Programme with Bulgaria (and respectively available for Bulgaria 465,000 EUR under the 2001 Bulgarian Cross-Border Co-operation Programme with Romania) 2002 programme, 465,000 EUR, under the 2002 Romanian Cross-Border Co-operation Programme with Bulgaria (and respectively available for Bulgaria 465,000 EUR under the 2002 Bulgarian Cross-Border Co-operation Programme with Romania.) Size of grants The following minimum and maximum amounts apply to the grants for the individual projects, which may be financed under the programme: minimum amount : 10,000 EUR maximum amount : 100,000 EUR Moreover, a grant may not exceed 90 % of the total eligible project costs (see also 2.1.4. below). Only the beneficiary s or the beneficiary s eligible partners own resources may be taken as part of the cofinancing/own contribution, or from sources other than the European Community budget. The applicant and/or partners from the applicant s country must finance at least 10 % of the total project cost. This may be only IN CASH. The salaries provided by the eligible applicants, following the human resources item in the Project Budget table will observe the respective Romanian legislation in force the date of the launching the Call for Proposal such as: Urgence Ordinance no. 24/2000 Ordonanta de Urgenta nr. 24/2000 privind sistemul de stabilire a salariilor de baza pentru personalul contractual din sectorul bugetar and Law no. 383/2001 Legea nr. 383/2001 pentru aprobarea Ordonantei de Urgenta nr. 24/2000 privind sistemul de stabilire a salariilor de baza pentru personalul contractual din sectorul bugetar including any supplements and modifications, Law nr. 154/1998 Legea privind sistemul de stabilire a salariilor de baza in sectorul bugetar si a indemnizatiilor pentru personalul care ocupa functii de demnitate publica including any supplements and modifications; Legislation regarding collective and individual labour agreements; Provisions of the Civil Code, Labour Code. 5
No resources, which have been assisted by Phare, other EU support or other Ministry support may be taken into account as own contribution. (A project should not be financed by another Phare, EU or Ministry source.) 6
2. RULES CONCERNING THE PRESENT CALL FOR PROPOSALS The present guidelines set out the rules for the submission, selection and implementation of projects for the above-mentioned programme and are in application of the Practical Guide to Phare, Ispa & Sapard (PRAG), section 6 on Grants. See also: http://europa.eu.int/comm/europeaid/tender/gestion/index_en.htm 2.1 CRITERIA FOR ELIGIBILITY There are three sets of eligibility criteria, which concern: the organisations which may request a grant (applicant and its partners), the projects for which a grant may be awarded, the types of cost which may be taken into account for the amount of the grant. 2.1.1 Eligibility of Applicants : who may apply Applicants must comply with the following conditions in order to be eligible for a grant: be non-profit-making; be local and regional authorities; associations of local and regional authorities; Euro regions; chamber of commerce; professional associations; trade union associations; non-governmental organizations; schools, colleges, universities within the defined border regions. have their headquarters within the eligible border region of Romania. For Romania this includes the areas of the following counties: Mehedinti, Olt, Dolj, Teleorman, Calarasi, Giurgiu and Constanta. or local branch offices of national organisations that have a clear role in the border region. Documents to state the statute of the branch office must be attached to the application (Statutes and/or Articles of Association, or Rules of Organisation and Operation). In the this case the local branch office must submit the application. be directly responsible for the preparation and management of the project, not acting as an intermediary; have stable and sufficient sources of finance to ensure the continuity of their organisation throughout the project and, if necessary, to play a part in financing it; be experienced and able to demonstrate their capacity to manage activity corresponding with the size of the project for which a grant is requested; eligible applicants must have one partner on the other side of the border, who must fulfil the same eligibility criteria that the applicant. 7
Potential applicants are not entitled to participate in Calls for Proposals or be awarded grants if: they are bankrupt or being wound up, are having their affairs administered by the courts, have entered into an arrangement with creditors, have suspended activities or are in any analogous situation arising from a similar procedure provided for in national legislation or regulations; they are the subject of proceedings for a declaration of bankruptcy, for winding-up, for administration by the courts, for an arrangement with creditors or for any similar procedure provided for in national legislation or regulations; they have been convicted of an offence concerning professional conduct by a judgement which has the force of res judicata (i.e., against which no appeal is possible); they are guilty of grave professional misconduct proven by any means which the contracting authority can justify; they have not fulfilled obligations relating to the payment of social security contributions in accordance with the legal provisions of the country where they are established; they have not fulfilled obligations relating to the payment of taxes in accordance with the legal provisions of the country where they are established; they are guilty of serious misrepresentation in supplying the information required by the contracting authorities as a condition of participation in a Call for Proposals or contract; they have been declared to be in serious breach of contract for failure to comply with obligations in connection with another contract with the same contracting authority or another contract financed with Community funds; they have attempted to obtain confidential information or influence the committee or contracting authority during the evaluation process of current or previous Calls for Proposals. Profit-making organisations and political parties are not eligible. 2.1.2 Partnership and Eligibility of Partners 1. Compulsory partnership: Applicants must act in partnership with other organisations from the border region as specified hereafter: Applicant organisations must have at least one project partner from the other side of the border (i.e. Vidin, Vratza, Montana, Veliko Tarnovo, Pleven, Rousse, Silistra and Dobrich) Organisations without any partners from the other side of the border will also not be eligible. The partners of the applicants must satisfy the same eligibility criteria as those for applicants (where applicable). 8
The partners (both Romanian and Bulgarian) may submit mirror project proposal to the equivalent Call for Proposals of the other country. Mirror projects: Two applicant organisations (one on each side of the border) can apply for the Joint Small Projects Fund of their country at the same time and get mirror financing for their common project (mirror projects). For example, an organization in Bulgaria can apply for EUR 100,000 and its partner organization in Romania can apply for EUR 100,000 (or a different amount) in order to finance their common initiatives (mirror activities on the two sides of the border). The same activities cannot receive funding from both mirror projects (neither from EC funding, nor from own contribution). Each submitted proposal must be viable and able to be implemented on its own. Activities presented in the application must not overlap each other, they should complement or supplement each other. 2. Optional partnership The applicant organisation may also have partnership with other organisations of the applicant s country. The partners of the applicants must satisfy the same eligibility criteria as those for applicants. The applicant will be the lead organisation and, in case of selection, the contracting party (the Beneficiary ). 2.1.3 Eligibility of projects: projects for which an application may be made Size of Projects Amount: there is no restriction concerning the total project cost. However, the EC grant requested must respect the minimum and maximum amounts indicated in I.1.3. Duration: The duration of a project may not exceed 12 months. Sectors or themes According to the Romania Bulgaria Phare CBC Joint Programming Document 2003, and also for 2003, approved by the Joint Co-operation Committee on the April 4, 2003 in Giurgiu and the Regional Development Concept and Programme for the Romanian-Bulgarian Border Region the cross-border co-operation activities have to be related to the following priority areas: Economic development and co-operation, including tourism, Institutional development, institutional co-operation, planning and development studies, Human resource development, cultural co-operation, local democracy, Environmental protection, water management. Geographical areas Activities must take place in the bilateral border region between Romania and Bulgaria, namely in counties Mehedinti, Olt, Dolj, Teleorman, Calarasi, Giurgiu and Constanta on the Romanian side and counties Vidin, Vratza, Montana, Veliko Tarnovo, Pleven, Rousse, Silistra and Dobrich on the Bulgarian side. 9
Activities taking part outside the mentioned area are not eligible for Phare funding. Experts from non- EU and non-phare 1 countries cannot be funded from the Phare grant. Type of activities Support can be given to finance sustainable small projects in the following areas: In accordance with the Project Fiche, the Joint Small Projects Fund will support small-scale peopleto-people actions across the priority areas. Cultural Exchanges: Those cultural exchanges that already exist and that are being newly established between local groups on both sides of the border region. Meetings and exchanges among youth; artistic and supporting activities; folk events and similar actions with the emphasis on the establishment of traditions and long-term co-operation. Local Democracy: Schemes will be supported that help create and intensify the skills of organisational structures in local and regional public administration and other elements of a democratic society (local and regional authorities; associations of local and regional authorities; Euro regions; chamber of commerce; professional associations; trade union associations; non-governmental organizations; schools, colleges, universities). Relevant training courses and information will be provided supporting exchange visits, project preparation and procedural matters. Joint projects may also involve the elaboration of materials for distance learning and so forth. Exchange of know-how and experience in education and health at various levels will also be supported. Planning and development studies: Projects providing a basis for planning within a border region. Projects can be supported that create the preconditions for joint planning in a border region, for framing joint research programmes, for drawing up joint strategies for regional development in a border area with the aim to jointly define the development priorities and so forth. Development of project applications, feasibility studies are also included. Economic Development: Support for small projects focusing on economies, which enhance the economic base of the border region. For example, proposals for the development of small-scale enterprise, marketing initiatives, markets, exhibitions and advertising events, and so forth; the creation of cross-border co-operation structures and partnerships among supporting organisations. Environment: Projects focusing on specific problems of the environment of the region, such as the drafting of studies, assessment of problems, environmental training, and actions aimed at increasing public environmental awareness and so forth. Tourism: The JSPF will provide funding for a range of soft actions for tourism development - studies, planning, institutional strengthening measures, specific SME training and related Human Resources Development programmes. The following types of activities are ineligible: Small scale infrastructures; construction, building rehabilitation works; Individual sponsorships for participation in workshops, seminars, conferences, congresses; Individual scholarships for studies or training courses. Export aid focussed on specific enterprises and comprising investment funds. However, soft support (e.g. marketing plans, training etc.) can be supported; Complex financial instruments. Number of proposals per applicant 1 Phare countries: Bulgaria, the Czech Republic, Estonia, Hungary, Latvia, Lithuania, Poland, Romania, the Slovak Republic, Slovenia and Hungary. 10
An applicant can submit more than 1 (one) project proposal. 2.1.4 Eligibility of costs: costs, which may be taken into consideration for the grant IMPORTANT: Please mark clearly in your budget the Phare contribution and your own contribution! Only eligible costs can be taken into account for a grant. These costs are specified in detail below. Therefore, the budget is both an estimate of the costs and the maximum ceiling of the eligible costs. The attention of the applicant is drawn to the fact that the eligible costs must be real costs and cannot take the form of lump sums. Proposals are always recommended for a grant subject to the condition that the checking process, which precedes the signing of a grant contract, does not reveal problems, which necessitate changes to the budget. This check may result in requests for clarification and, where appropriate, may lead the Contracting Authority to impose reductions. It is therefore in the interest of the applicant to provide a realistic and cost-effective budget. Eligible direct costs To be considered eligible in the context of the project, costs must: be necessary for carrying out the project, be provided for in the Contract annexed to the present Guidelines (Annex E) and comply with the principles of sound financial management, in particular value for money and cost-effectiveness; have been incurred during the duration of execution of the project and following the signature of the contract (as defined in Article 2 of the Special Conditions); have actually been incurred, be recorded in the Beneficiary s or Beneficiary s partners' accounts, be identifiable and verifiable, and be backed by originals of supporting evidence. The following direct costs are eligible: the cost of staff assigned to the project, corresponding to actual salaries plus social security charges and other remuneration-related costs; salaries and costs must not exceed those normally borne by the Beneficiary, and rates must not exceed those generally accepted on the market in question; travel and subsistence costs for staff taking part in the project, provided they correspond to market rates and do not exceed the scales generally accepted by the Contracting Authority (including economy-class air fares) ; purchase costs for equipment and services (transport, rent, etc.), provided they correspond to market rates; costs of consumables and supplies; expenditure on subcontracting or expenditure incurred by the Beneficiary's partners; costs deriving directly from the requirements of the Contract (dissemination of information, specific evaluation of the project, audit, translation, reproduction, insurance, targeted training for 11
those involved in the project, etc.) including financial service costs (in particular the cost of transfers and financial guarantees); taxes, without prejudice to the terms of Article 14(4) of the general conditions All supplies and equipment purchased from Phare budgets must originate in the EU or in an eligible country, as defined in the Practical Guide to Phare, Ispa & Sapard contract procedures. Eligible indirect costs (overhead costs) A fixed percentage of the Beneficiary's overheads, up to a maximum of 7% of the total amount of eligible direct costs, are eligible as indirect costs. Indirect costs are eligible provided that they do not include costs assigned to another heading of the budget provided for by the Contract. Indirect costs are not eligible where the Contract concerns the financing of a project conducted by a body, which is already receiving an operating grant (running costs) from the Contracting Authority. Contingencies A contingency reserve of no more than 5% of total eligible costs, which can be used only with the prior written (by letter) authorisation of the Contracting Authority. Ineligible costs The following are ineligible costs: provisions for possible future losses or debts; interest owed; purchases of land or buildings costs of preparatory studies or other preparatory activities currency exchange losses, without prejudice to the terms of Article 15(7) of the general conditions; VAT which the Beneficiary is able to reclaim; costs of preparatory studies or other preparatory activities; inputs which are subject of a contribution in kind (land, immovable property, durable capital goods, raw material, unpaid charity work) 2.2 HOW SHOULD AN APPLICATION BE MADE AND THE PROCEDURES FOLLOWED 2.2.1 Application form and supporting documents Applications must be submitted with the application form annexed to the present Guidelines (Annex A) also available on the JSPF CBC web-site http://www.fsfg.go.ro for Romania. Carefully respect the application format and follow the page order, including the Budget table. Applications must be bound, together with the annexes (more than one volume is allowed if necessary). Annex B ( Project Budget, and Sources of Funding), must be also enclosed in electronic format. 12
Applicants must apply in Romanian language, providing a summary of the project proposal in English for Romania (a template is attached in the Application form). Also applicants from Romania must enclose a summary of the project proposal in Bulgarian. Please complete the application form carefully and as clearly as possible in order to facilitate its evaluation. Be precise and provide sufficient details to ensure clarity, particularly concerning how the aims of the project will be achieved, the benefit that will flow from the project and the way in which the proposed project is relevant to the programme s objectives. Hand-written applications will not be accepted. Applicants must verify that the project proposal is complete on the basis of the checklist attached to the application form (whether it is completed thoroughly) and if the signatures and official stamps are well visible and recognisable on both the original and the copies. Supporting documents Applications must be accompanied by the following supporting documents: Statutes or Articles of Association / Registration Act of the applicant organisation (not applicable for public authorities) signed, stamped and dated. Statutes or Articles of Association or Certificate of Legal Status / Registration Act of each of the partners (not applicable for public authorities) signed, stamped and dated. Latest annual report and accounts (annual balance sheet) of the applicant (not applicable for public authorities) signed, stamped and dated. CVs of applicants and partners, project manager(s), staff (involved in the project s implementation) and external experts. For supplies (where applicable) Technical Specifications and price quotations, for services (where applicable) Terms of References (ToRs),). 2.2.2 Where and how to send the applications Applications must be received in a sealed envelope by registered mail, by express messenger or by hand-delivery (a signed and dated certificate of receipt will be given to the deliverer) to the address indicated below: Address for postal, hand delivery and by private courier service: In Romania: Fundatia Sfantu Gheorghe Str. Mircea cel Batran Nr.21 8375 GIURGIU judetul Giurgiu Applications sent by any other means (e.g. by fax or by e-mail) or delivered at other addresses will be rejected. Applications (application form and annexes) must be submitted in one original, 5 copies and on electronic format. The original prevail over the copies and electronic format. 13
The envelope must bear the reference number of the notice of publication for the Call for Proposals, the full name of the applicant, the address of the organisation, and the words "Not to be opened before the opening session" in Romanian A nu se deschide inainte de sesiunea de deschidere, in Romania. Applicants must verify that the application is complete on the basis of the checklist in the application form. 2.2.3 Deadline The deadline for reception of applications is September 15, 2003 at 16.00 pm. Any application received after the deadline will be automatically rejected, even if the postmark indicates a date preceding the deadline. 2.2.4 Further Information Information sessions (info-days) with the aim of informing and assisting participants will be held by the Secretariats, in order to ensure a high level of transparency and good quality of proposals. (Information sessions shall be held in the county capitals (Mehedinti, Olt, Dolj, Teleorman, Calarasi, Giurgiu and Constanta in Romania and Vidin, Vratza, Montana, Veliko Tarnovo, Pleven, Rousse, Silistra and Dobrich in Bulgaria). During the info-days, a 1-2 hours presentation is to be held about the conditions of the applications for grants. After the presentation, an open-space for questions shall be offered. Information (date, place, agenda) about the info-days shall be publicised in regional/county newspapers and other media. Questions may be sent by e-mail or by fax up to 21 days before the deadline for submission of proposals to the addresses listed below, indicating clearly the reference of the Call for Proposals: Romania: E-mail address: sfgfnn@pcnet.ro or fax: + 4 0246 215 405 must reply at. Questions that may be relevant to other applicants, together with their answers, will be published on the internet sites www.mie.ro for Romania. Answers may be given at least 11 days before the deadline for submission of proposals 2.2.5 Acknowledgement of receipt Following the session for opening of proposals, the Contracting Authority will send an acknowledgement of receipt to all applicants, indicating whether or not the application was received prior to the deadline and informing them of the reference number of the application. 14
2.3 EVALUATION AND SELECTION OF APPLICATIONS Applications will be examined and evaluated by the Contracting Authority with the possible assistance of external assessors. All applicants' projects will be evaluated according to the following criteria: (1) Administrative compliance Verification that the application is complete in accordance with the checklist. (2) Eligibility of applicants, partners and projects Eligibility of the applicant, the partners, and the project, according to the criteria in section 2.1.1, 2.1.2 and 2.1.3. (3) Evaluation of quality of proposals and financial evaluation An evaluation of the quality of proposals, including the proposed budget, will be carried out in accordance with the evaluation criteria contained in the Evaluation Grid reproduced on the next page. The Cross-Border impact of the project will be assessed horizontally and applied to all criteria of the evaluation grid. Please note the following important information: Note on Section 1. Relevance If a total score lower than good (28 points) is obtained for section 1, the proposal will not be evaluated further. Note on Scoring The evaluation criteria are divided into sections and subsections. Each subsection will be given a score between 1 and 5 in accordance with the following guidelines: 1 = very poor; 2 = poor; 3 = adequate; 4 = good; 5 = very good. Priority will be given to applications, which have obtained the highest scores. 15
Evaluation Grid Section Maximu Application m Score Form 1. Relevance 35 1.1 How relevant to the particular needs and constraints of the target 5 I.1.6(a) region(s) is the proposal? (Including avoidance of duplication and synergy with other EC initiatives.) 1.2 How clearly defined and strategically chosen are the target groups? 5 I.1.6(c) 1.3 How relevant is the proposal to the needs of the proposed target 5 I.1.6(d) groups? 1.4 How relevant is the proposal to the CBC objectives (5) and one or 2x5 I.1.6(e)(f) more of the priorities (5)of the programme? Note: A score of 5 (very good) will only be allocated if the proposal specifically addresses at least one priority. 1.5 How coherent, appropriate and practical are the activities (including 5 I.1.7 CBC activities) proposed? 1.6 To what extent does the proposal contain specific elements of added value, such as innovative approaches, models for good practice, promotion of gender equality and equal opportunities? 5 general 2. Methodology 25 2.1 How coherent is the overall project design? 5 (Including CBC criteria and preparedness for evaluation.) I.1.8 2.2 How satisfactory is the level of involvement (5) and activity (5) of the 2x5 I.1.8(e) CBC partners? Note: If there is no partner on the other side of the border, the project is not eligible. 2.3 How clear and feasible is the plan of action (including the CBC 5 I.1.9 criteria)? 2.4 To what extent does the proposal contain objectively verifiable indicators for project outcomes? 5 Logframe 3. Sustainability 15 3.1 To what extent is the project likely to have a tangible impact on its 5 I.2.1 target groups? 3.2 To what extent does the proposal contain potential multiplier effects? 5 I.2.2 & I.2.3 (Including possibilities for replication and extension of project outcomes, dissemination of information.) 3.3 To what extent are the results of the proposed project sustainable (including CBC partnership): - financially (how will the activities be financed after the EC funding ends?) - institutionally (Will structures allowing the activities to continue be in place at the end of the present project? Will there be local ownership of project outcomes?) - at the policy level (where applicable) (what will be the structural impact of the 5 I.2.4 16
project e.g. will it lead to improved legislation, codes of conduct, methods, etc?) 4. Budget and Cost-effectiveness 10 4.1 To what extent is the budget clear and detailed? 5 I.3 4.2 To what extent is the proposed expenditure necessary for the implementation of the project? 5 I.3 5. Management Capacity and Expertise 15 5.1 How satisfactory is the previous project management experience of 5 II.4.1 the applicant? Note: If the applicant has no previous project management experience, the score will be 1. 5.2 How satisfactory is the technical expertise of the applicant? 5 II.4.1 (i.e. knowledge of the issues to be addressed.) 5.3 How satisfactory is the current management capacity of the applicant (including staff, equipment and its ability to handle the project budget)? 5 II.4.2 Maximum total score 100 17
2.4 INFORMATION CONCERNING THE CONTRACTING AUTHORITY S DECISION ON THE AWARD OF GRANTS Applicants will be informed in writing of the Contracting Authority's decision concerning their application. A decision to reject an application or not to award a grant will be based on the following grounds: The application was received after the closing date; The application is incomplete or otherwise non-compliant with the stated administrative conditions; The applicant or one or more partners are ineligible; The project is ineligible (e.g. the activity proposed is not covered by the programme, the proposal exceeds the maximum duration allowed, the requested contribution is higher than the maximum allowed, etc); The relevance and technical quality of the proposal is considered lower than that of the selected proposals; The financial quality of the proposal is considered insufficient. The Contracting Authority's decision to reject an application or not to award a grant is final. 2.5 CONDITIONS APPLICABLE TO PROJECT IMPLEMENTATION FOLLOWING THE CONTRACTING AUTHORITY S DECISION TO AWARD A GRANT Following the decision to award a grant, a contract will be proposed to the Beneficiary according to the Contracting Authority s standard contract annexed to the present Guidelines (Annex E). This contract will, in particular, provide the following rights and obligations: Final amount of the grant The maximum amount of the grant will be stipulated in the contract. As mentioned under 2.1.3 above, this amount is based on the budget, which is only an estimate. Therefore this amount only becomes final following completion of the project and presentation of the final accounts (cf. articles 17(1) and 17(2) of the General Conditions of the Contract). Failure to meet the objectives If the Beneficiary fails to implement the project as undertaken and agreed in the contract, the Contracting Authority reserves the right to interrupt payments, and/or to terminate the contract (cf. article 11 of the General Conditions). The Contracting Authority s contribution may be reduced, and/or the Contracting Authority may demand full or partial repayment of the sums already paid, if the beneficiary does not fulfil the terms of the contract. 18
Amendments to the contract and variations within the budget Any modification of the contract must be set out in a written amendment to the original contract (Article 9(1) of the General Conditions). However, some modifications (addresses, bank account, etc.) may simply be notified to the Contracting Authority (cf. article 9(2) of the General Conditions). Variations within the budget Budget items may vary from the original figures provided that the following conditions are met: (1) the variation does not affect the basic purpose of the project; and (2) the financial impact is limited to a transfer within a single budget heading or to a transfer between budget headings involving a variation of less than 10% of the original amount of the budget heading. In this case, the Beneficiary may apply the variation and must inform the Contracting Authority without delay. This method may not be used to amend the heading for indirect (overhead) costs or the contingency reserve, for which the prior approval of the Contracting Authority is still necessary (cf. Article 9(2) of the General Conditions). In all other cases, a written request must be made in advance to the Contracting Authority and a contract amendment will be required. Reporting Reports must be drafted in English. Technical and financial reports are to be supplied together with payment requests. A plan of action and budget for the next period of implementation must accompany reports submitted for interim payments. Additional information In accordance with Article 2.1 of the General Conditions, the Contracting Authority may request additional information. Payments An advance payment will be made to the beneficiary. If the total duration of the project does not exceed 12 months or the grant does not exceed 100,000 EURO, the advance payment is 80% of the grant amount. The final balance will be paid upon submission by the beneficiary of the final report together with the final audit report and approval by the Contracting Authority of these documents cf. article 15(1) of the General Conditions). Records and accounts of the Operation The Beneficiary must keep accurate and regular records as well as separate and transparent accounts of the implementation of the Operation (cf. article 16(1) of the General Conditions). The Beneficiary must keep records for five years after the end date of the project. 19
Audit The contract will must provide for the possibility of inspections to be carried out on documents and on the project site(s) by the Contracting Authority s services, Commission services, and the European Court of Auditors (cf. article 16(2) of the General Conditions). As an additional requirement to the provisions of Article 16(4) of the General Conditions, all grants (irrespective their size) shall be subject to a final audit, which will be carried out when the Operation ends. Publicity Appropriate visibility and credit must be given for the grant of the European Community, for example, in reports and publications made available as a result of the project or publicity displays associated with the project, etc. (cf. Article 6 of the General Conditions). 20
3. LIST OF ANNEXES ANNEX A: GRANT APPLICATION FORM (WORD FORMAT) ANNEX B: BUDGET (EXCEL FORMAT) ANNEX C: LOGICAL FRAMEWORK PLANNING MATRIX (EXCEL FORMAT) ANNEX D: DAILY ALLOWANCE RATES (PER DIEMS) AS OF 30 JULY 2001 (WORD FORMAT) ANNEX E: STANDARD CONTRACT (WORD FORMAT) 21