Transcript THE LISBON STRATEGY 2007-2013

EuropeAid
EUROMED HERITAGE IV
Rules governing
the restricted call for proposals
EuropeAid/126266/C/ACT/Multi
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Information session
Brussels, 10.12.2007
DEFINITION: what is a grant?
EuropeAid
• a payment of a non-commercial nature to a
specific recipient
• for the achievement of an objective forming
part of a European Union policy
• to support the implementation of an action
= YOUR PROJECT
DEFINITION: what is a grant?
EuropeAid
Therefore a GRANT is:
• a project proposed by a potential Beneficiary
• with a co-financing from the Beneficiary of
min. 20% of the total eligible costs
• the EC contribution is for the reimbursement
of the actual eligible costs incurred
• the Grant Beneficiary is autonomous and
owner of the action & its results
• No retroactivity
DEFINITION: what is a “beneficiary”?
EuropeAid
The term “BENEFICIARY” is used with
different meanings:
• the recipient of an awarded grant
(from Applicant to Beneficiary)
• to identify the Beneficiary country with
which the EC has an agreed programme of
co-operation for the benefit of its population
• to identify the final beneficiaries, i.e. those
who will benefit from the project in the long
term at the level of the society or sector at
large
Changes adopted in EC practice to
promote better quality projects
o
o
o
o
o
EuropeAid
Attitudes and approaches to ‘ownership’,
‘control’ and ‘visibility’
Focus on results over longer term
Knowledge and skills of staff
Working relationships with partners and other
donors
Streamlining of procedures
(increased flexibility)
DIFFERENCE BETWEEN A CALL FOR
TENDERS AND A CALL FOR PROPOSALS
GRANT
EuropeAid
PROCUREMENT
(SUBVENTION)
(SERVICES,SUPPLIES
& WORKS)
supporting an
initiative by giving a
financial contribution
purpose
buying things
Beneficiary
ownership of results
Contracting Authority
% shared costs
financial contribution
agreed price
call for proposals
procedure
call for tenders
grant agreement
legal form
contract
NON-PROFIT
FOR PROFIT
HOW TO PREPARE YOUR PROPOSAL
EuropeAid
• Verify the general and specific objectives of Euromed
Heritage IV in article 1.2 of the guidelines
 Are these objectives in line with your project?
• Verify the eligibility of proposed actions of Euromed Heritage
IV in article 2.1.3 of the guidelines
 Is the scope of your proposed activities in line with the
eligible actions defined in the guidelines?
BUDGET and SIZE OF GRANTS
EuropeAid
The overall indicative amount is EUR 13.500.000
(ENPI-South regional action plan).
EUR 500.000 ≤ requested EC grant ≥ EUR 1.500.000
Maximum EC co-financing: 80% of the total eligible costs
No double financing: the balance must be financed from the
applicant's or partners' own resources, or from sources other
than the European Community budget or the European
Development Fund.
LOCATION and DURATION
EuropeAid
Euromed Heritage is a regional programme: the majority of
project activities must take place in at least two of the
Mediterranean partner countries and territories (corresponding
to minimum 40% of the budgeted costs).
Within the projects, punctual actions, such as meetings, seminars, or
training sessions, etc. may nevertheless be carried out in the EU, as
well as in other Mediterranean countries.
The planned duration of an action must be
between 24 to 48 months.
HOW TO PREPARE YOUR PROPOSAL
EuropeAid
• Verify the eligibility criteria of the Applicant in article 2.1.1 of
the guidelines
 Can you be the applicant?
• and those of the partners in article 2.1.2 of the guidelines
 Can you be a partner?
 Do your partners fulfil the eligibility criteria?
PARTNERSHIPS: requirements
EuropeAid
In article 2.1.2 of the guidelines:
“Partnerships must be composed of at least one organisation
from a EU Member State and at least one organisation from a
Mediterranean partner country or territory.”
Partnerships are mandatory, with the minimum requirement:
1 EU + 1 Med.
A same entity cannot participate more than once, either as
leader or as partner.
The partners participate in designing and implementing
the action, and the costs they incur are eligible in the same
way as those incurred by the grant Beneficiary. They must
therefore satisfy the same eligibility criteria as the applicants.
ELIGIBILITY of applicants and partners
EuropeAid
Applicants and partners must :
• be legal persons, and
• be non profit making, and
• be organisations such as: non-governmental organisations,
cultural associations, private or public sector operators,
research institutes, universities, relevant local or regional
public administrations, international (inter-governmental)
organisations as defined by Article 43 of the Implementing
Rules to the EC Financial Regulation, and
• work in the field of culture, and
• be directly responsible for the preparation and management
of the action, not acting as intermediaries, and
ELIGIBILITY of applicants and partners
EuropeAid
• be nationals of:
- a Member State of the European Union
(27 countries)
- a country or a territory beneficiary of the European Neighbourhood
and Partnership instrument
(Algeria, Armenia, Azerbaidjan, Belarus, Egypt, Georgia, Israel, Jordan,
Lebanon, Libya, Moldova, Morocco, Palestinian Authority of the West Bank and Gaza Strip, Russian Federation, Syria,
Tunisia, Ukraine)
- a country that is a beneficiary of an Instrument for Pre-Accession
Assistance
(Albania, Bosnia, Croatia, the former Yugoslav Republic of Macedonia, Montenegro, Serbia, including
Kosovo, Turkey)
- a Member State of the European Economic Area
(Iceland, Lichtenstein, Norway)
- any other country than those referred to above, where the reciprocal
access to external assistance has been established
.
(no country for the time being)
ASSOCIATES
EuropeAid
Other organisations may be involved in the action. Such
associates play a real role in the action but may not receive
funding from the grant with the exception of per diems
or travel costs.
Associates do not have to meet the eligibility criteria referred
to in article 2.1.1.
SUBCONTRACTORS
Subcontractors are subject to the procurement rules set out in
Annex IV to the standard grant contract.
Associates and Sub-contractors are not partners
and do not have to sign the “partnership statement”.
HOW TO APPLY: administrative info
EuropeAid
Applications must be submitted using the
“Euromed Heritage IV Grant Application Form”
annexed to the Guidelines
(to be published in the coming days on:
http://europa.eu.int/comm/europeaid/cgi/frame12.pl)
At this stage, fill in and submit ONLY PART A:
- Concept note (max. 4 pages)
- Checklist for concept note
- Declaration by the applicant for concept note (to be
signed)
HOW TO APPLY: administrative info
EuropeAid
• Language: English or French
• 1 original and 3 copies + electronic format
(The electronic format must contain exactly the same proposal
as the paper version enclosed. Do not use PDF format)
• Prior registration in PADOR is not obligatory.
HOW TO APPLY: deadline
EuropeAid
The deadline for the receipt of applications is:
Friday 15 February 2008, 16:00 CET
Any application received after the deadline will
automatically be rejected even if the postmark
indicates a date preceding the deadline or if the
delay is due to the private courier service.
No submission via e-mail!
CONCEPT NOTE
EuropeAid
The Concept Note must answer the 4 sections in a maximum
of 4 pages (each section must be answered on maximum 1
page - the font size cannot be smaller than Arial 10)
Any Concept Note not meeting those basic requirements will
be rejected without appraisal...
CONCEPT NOTE
EuropeAid
1. Summary of the action
Brief description of the proposed action (and the following questions)
2. Relevance:
2.1
How relevant is your proposal to the needs and constraints of the
target country(ies) or region?
2.2
What are the problems to be resolved and the needs to be met?
2.3
Who are the actors involved (final beneficiaries, target groups)?
2.4
What are the objectives and expected results?
2.5
What is the added value of the action (what adds the action by
reference to (central or local) government action and actions
implemented by non state actors)?
3. Methodology and Sustainability:
3.1
What are the main project activities?
3.2
Who will be your main implementing partners, what is the length of
your relationship with them and how will they be involved in the project?
3.3
How will the project achieve sustainability?
3.4
Will it have multiplier effects?
4. Operational capacity and expertise:
4.1
What is the experience of your organisation in project management?
4.2
What is the experience of your organisation and your partner(s) of
the issues to be addressed?
STEP 1: Opening session and
administrative check
EuropeAid
Use the checklist!!!
If any of the requested information is missing or is
incorrect, the proposal may be rejected on that
sole basis and the proposal will not be evaluated
further.
STEP 2: evaluation of the Concept Note EuropeAid
Max.
points
1. Relevance:
1.1 Relevance of the problems to needs and constraints of the
country/region to be addressed in general, and to those of the target
groups and final beneficiaries in particular
1.2 Relevance to the priorities and objectives mentioned in the Guidelines
2. Effectiveness and Feasibility of the action:
(15)
5
10
(25)
2.1 Assessment of the problem identification and analysis
5
2.2 Assessment of the proposed activities (practicality and consistency in
relation to the objectives, purpose and expected results).
10
2.3 Assessment of the role and involvement of all stakeholders and
proposed partners.
10
3. Sustainability of the action:
(10)
3.1 Assessment of the identification of the main assumptions and risks,
5
before the start up and throughout the implementation period.
3.2 Assessment of the identification of long-term sustainable impact on the
target groups and final beneficiaries.
TOTAL
5
50
STEP 2: evaluation of the Concept Note EuropeAid
1. Assessment by HQ and delegations:
Minimum of 12 points in the category "Relevance”, and
minimum total score of 30 points to be considered for preselection.
2. Ranking: according to the total average score
The list of Concept Notes will be reduced in accordance to the
ranking to those whose sum of requested contributions
amounts to twice the available budget for this Call for
proposals.
3. Information: invitation of pre-selected applicants to submit
full proposals and information of non-selected applicants
STEP 3: Evaluation of full proposal
EuropeAid
Euromed Heritage IV Grant Application Form,
PART B
(not to be submitted at this stage)
I. THE ACTION
1. DESCRIPTION (including logical framework)
2. BUDGET FOR THE ACTION (including expected sources of
funding)
3. EXPERIENCE OF SIMILAR ACTIONS
II. THE APPLICANT: identity, profile, capacity to manage and
implement actions, list of the management board/committee of the
organisation
STEP 3: Evaluation of full proposal
EuropeAid
Euromed Heritage IV Grant Application Form,
PART B
III. PARTNERS OF THE APPLICANT PARTICIPATING IN THE ACTION:
description of the partners, Partnership Statement
IV. ASSOCIATES OF THE APPLICANT PARTICIPATING IN THE ACTION
V. CHECKLIST
VI. DECLARATION BY THE APPLICANT
VII. ASSESSMENT GRID
BUDGET: eligibility of costs
Only “eligible costs” can be taken into
account for a grant.
It is therefore in the Beneficiary's interest
to provide a
realistic and cost-effective budget.
EuropeAid
BUDGET: eligibility of costs
Costs must:
- be necessary for carrying out the action
- have actually been incurred during the
implementation period
- be recorded in the Beneficiary's or the Beneficiary's
partners' accounts or tax documents
- be identifiable and verifiable, and be backed up by
originals of supporting documents
- and be paid for before final report verification
EuropeAid
BUDGET: eligibility of costs
Make sure that your budget is readable and in line
with the proposed action
Delete all budget lines which are not used
Lump sums are not acceptable (indicate provisions)
EuropeAid
BUDGET: 15% flexibility rule
Variations in the budget are allowed provided that they:
- they do not affect the basic purpose of the action; and
- the financial impact is limited to a transfer between items within
the same main budget heading including cancellation or
introduction of an item, or a transfer between main budget
headings involving a variation of 15% or less of the amount
originally entered in relation to each concerned main heading for
eligible costs.
 inform the EC in writing and without any delay (no addendum).
 not for administrative costs or contingency reserve.
EuropeAid
BUDGET: item 1: Human resources
• indicate whether unit rates are maximum or average
• indicate full or part-time utilisation (and its percentage)
• indicate if staff are in-house, external collaborators or
external contractor expertise/sub-contracted (if subcontracted move to item 5)
• verify ratio between administrative staff and item 10
• per-diem: clarify that these are average and how web-site
applicable rates will be utilised for reporting
• reduce number of budget lines based on similar
activities/unit rates (both for per-diem and travels)
EuropeAid
BUDGET: item 1: Human resources
In budget item 1, only staff recruited by the Beneficiary and
its partners with an employment contract (and related
payment of salaries) is eligible.
Staff recruited with a service contract (and related invoices)
is to be considered as “sub-contractors”. Procurement
rules apply. They should be included in budget item 5.
Salaries are not in-kind contributions, provided they are
paid by the Beneficiary and/or its partners, and they are
supported by appropriate proves of payment.
EuropeAid
BUDGET: item 2: Travel
Flights only in economy class
• clarify if unit rates are maximum or average
• clarify modalities for local transport
EuropeAid
BUDGET: item 3: Equipment and
Supplies
Type of expenditure eligible
only if deemed necessary by the EC
for the Euromed Heritage IV Programme.
No reinforcement of the capacities of the beneficiary /
partners unless duly justified.
• Indicate/clarify procurement planning and procedures
(remember art 7 of GC)
3.1 if just rental (delete purchase)
3.5 Other (please specify) means they have to specify!
• Transfer to local partners and/or the final recipients at the
latest by the end of the implementation of the Action
• Certificates of origin
EuropeAid
BUDGET: item 4: Local office
Type of expenditure eligible
only if deemed necessary by the EC
for the Euromed Heritage IV Programme.
No need to set-up a specific office for a project,
unless duly justified.
(cf. 7% for overheads)
EuropeAid
BUDGET: item 5: Other costs,
services
EuropeAid
• do you have a procurement planning?
and procedures to follow?
5.2 modalities of such studies and their related
management
5.3 Expenditure verification: the only sub-contract
without procedures
5.4 external evaluations, if included clarify
modalities/ procedures
5.6 no need for bank guarantee = no bank charges
5.7 seminars, etc.: clarify link with 1.3.3
5.8 visibility action: no lump sum, modalities should
be provided in the action description
BUDGET: item 6: Other
Please detail
and, if related to other items, move these
costs to correct budget lines
EuropeAid
BUDGET: item 8: contingency reserve
A contingency reserve not exceeding 5% of the direct eligible costs
may be included in the Budget of the Action. It can only be used
with the prior written authorisation of the Contracting Authority.
BUDGET: item 10: overheads
The indirect costs incurred in carrying out the action may be
eligible for flat-rate funding fixed at not more than 7% of the total
eligible direct costs.
EuropeAid
PROCUREMENT
The provisions of Annex IV to standard
grant contracts apply mutatis mutandis to
contracts to be concluded by the
Beneficiary’s partners
Tender documents must be drafted in
accordance with best international
practice. If you do not have your own set
of documents, you may use EuropeAid
models.
EuropeAid
PROCUREMENT: thresholds
Artificial slicing in order to avoid threshold for publication is NOT
EuropeAid
ALLOWED!
Services
>200.000 euro
International
Restricted
Procedure
> 10.000 euro , < 200.000 euro
Rule: Competitive Negotiated Procedure
Exception: your Framework Contract
< 10.000 euro
Single offer
in addition, other
procedures:
competitive
dialogue
Supplies
Works
>150.000 euro
International
Open
Procedure
> 5.000.000
euro
1. International
Open
Procedure
2. International
Restricted
Procedure
(exceptional
cases)
> 60.000, < 150.000
euro
Local Open Procedure
> 300.000, <
5.000.000 euro
Local Open Procedure
10.000, < 60.000 euro
Competitive
Negotiated
Procedure
10.000, < 300.000
euro
Competitive
Negotiated
Procedure
< 10.000 euro
Single offer
and
dynamic
procurement
system
< 10.000 euro
Single offer
before utilisation
of above
procedures,
make sure you
get the prior
approval of the
EC
PROCUREMENT
All the public contracts funded (co-funded) by the
Commission have to respect the principles of transparency,
proportionality, equal treatment and non-discrimination.
Negotiated procedure: the cases where the contracting
authority addresses itself to an operator of its choice without
proceeding to competition are exceptional, and reserved for
well-defined, specific situations that require the prior written
approval of the Commission.
always fair competition
EuropeAid
RE-GRANTING
The Applicant may propose awarding “sub-grants”.
To be included in the proposal:
- justification for re-granting,
- types of activities which may be eligible for sub-grants
- total budget used for awarding sub-grants,
- minimum and maximum amount which may be paid to third parties,
- criteria for determining the exact amount for the sub-grant.
The maximum amount of sub-grant is limited to EUR 10.000
per third party of the while the total amount which can be
awarded as sub-grants to third parties is limited to EUR
100.000.
The Beneficiary shall remain the only counterpart of the EC
regarding the management of the sub-granted funds,
particularly as far as the eligibility of expenditure occurred by third
parties is concerned.
EuropeAid
OTHER IMPORTANT DOCUMENTS
In addition, pay attention to:
Annex II – General Conditions !!!!!!
Annex VI - Model narrative and financial report
Annex VII- Model report of factual findings and terms
of reference for an expenditure verification of an EC
financed grant contract for external actions
EuropeAid
Additional information:
to check regularly
until the deadline!
EuropeAid
EC contract procedures
EuropeAid
Standard documents
EuropeAid
Provisional timeline
EuropeAid
Second phase
of project preparation
Contract finalisation
and signature
Publication
of guidelines
Final evaluation
in HQ & EC Dels
INFO DAYS in Brussels on 10.12.07
(EN) and on 15.01.08 (FR)
+ in Damascus on 17.01.08 (EN)
+ in Rabat on 25.01.08 (FR)
October
07
Invitation of best concept
notes to submit a full
proposal
Deadline for
receipt of
concept notes
December 07
-January 08
Evaluation of
concept notes
Deadline 15.02.08
March 08
April 08
MayJune 08
BEGINNING OF PROJECTS...
First phase of project
preparation
JULY 2008
ANY QUESTIONS?
EuropeAid
1) Questions & answers session of this afternoon (14:30)
2) Questions may be sent by e-mail or by fax no later than
26/01/2008 to:
[email protected]
Fax: +32 2 29 21 002
Ref.: Euromed Heritage IV
Please, regularly check the EuropeAid website
http://ec.europa.eu/europeaid/cgi/frame12.pl (search with reference
n° 126266) in order to be informed of the latest news related to
this call as well as the published Q&A
N.B.: In the interest of equal treatment of applicants, the EC
cannot give a prior opinion on the eligibility of an applicant, a
partner or a proposed activities.
EuropeAid
Thank you for your attention
Please note that this document has been prepared for information
purposes only, official instructions are provided in the published
Guidelines and their related official documentation.