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Aspects
of Project Assessment, Evaluation & Selection
(Technical & Financial Quality)
Local Partnership for Employment, Croatia
Workshop Structure & Method
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Welcome
Presenter & participant introductions,
roles & expectations
Domestic arrangements & logistics
Active
participation
&
sharing
of
experience
Clarification of issues through:
questions
&
answers,
discussion,
participant & trainer feedback
Local Partnership for Employment, Croatia
Aims of Training Workshop
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To fully understand roles & use of Evaluation
Grid, Evaluation Criteria & Project Scoring.
To examine key elements in Technical
Quality Assessment of proposals.
To examine key elements in Financial
Quality Assessment of proposals.
To fully understand roles in assisting in
Project Selection & Award by the Evaluation
Committee.
Local Partnership for Employment, Croatia
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Eligibility & Role of Assessors
To be eligible, an assessor should
- not have been involved in preparatory
work for any projects that s/he may be
required to assess;
- nor should they offer their services
under a sub-contract to successful project
that they have assessed.
Local Partnership for Employment, Croatia
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Eligibility & Role of Assessors
All assessors should
Sign
a
standard
declaration
of
impartiality & confidentiality;
- Attend a training session to aquaint
them with specific aspects of evaluation
& assessment;
- Assess a number of small-scale project
proposals
(which
have
passed
Administrative & Eligibility Compliance);
Local Partnership for Employment, Croatia
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Eligibility & Role of Assessors
All assessors should
- Use an Evaluation Grid & forms following a
format recommended by PRAG (with each project
assessed by at least 2 assessors working
separately & producing their own independent
assessment);
- Be available to the Evaluation Committee
should the committee require further explanation
of points made by assessors in evaluated projects;
- Strictly follow the Evaluation Grid & scoring
system, including the 5- point scale (very poor to
very good) given to them (EC Phare requirement).
Local Partnership for Employment, Croatia
Eligibility & Role of Assessors - Summary
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Technical & Financial Quality Assessment
- Requires from assessors a declaration of
impartiality & confidentiality;
- Uses an evaluation grid, selection &
award criteria based upon a pre-defined
scoring system;
- Produces a list of all proposals ranked by
score for award by the Evaluation
Committee.
Local Partnership for Employment, Croatia
Eligibility & Role of Assessors
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Practical Exercise
- Consider your role as an assessor.
- Have you been involved in any
preparatory
work
for
any
LRDGS
projects?
- Are you prepared to sign a standard
declaration
of
impartiality
&
confidentiality?
- Clarification, Discussion, Q & A.
Local Partnership for Employment, Croatia
DECLARATION OF
IMPARTIALITY AND CONFIDENTIALITY
PUBLICATION REF:____________________
I, the undersigned, hereby declare that I agree to participate in the evaluation of the abovementioned [ tender procedure / call for proposals ]*. By making this declaration, I confirm
that I have familiarised myself with the information available to date concerning this [ tender
procedure / call for proposals ]*. I further declare that I shall execute my responsibilities
honestly and fairly.
I am independent of all parties which stand to gain from the outcome of the evaluation
process. To the best of my knowledge and belief, there are no facts or circumstances, past
or present, or that could arise in the foreseeable future, which might call into question my
independence in the eyes of any party; and, should it become apparent during the course of
the evaluation process that such a relationship exists or has been established, I will
immediately cease to participate in the evaluation process.
I agree to hold in trust and confidence any information or documents ("confidential
information") disclosed to me or discovered by me or prepared by me in the course of or as a
result of the evaluation and agree that it shall be used only for the purposes of this
evaluation and shall not be disclosed to any third party. I also agree not to retain copies of
any written information or prototypes supplied.
Confidential information shall not be disclosed to any employee or expert unless they agree
to execute and be bound by the terms of this Declaration.
*Delete as applicable
Local Partnership for Employment, Croatia
Overall Context 
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Supports implementation of
Operational
Programme
–
Basic
Infrastructure,
National
Development
Plan & Single Programming Document
NUTS II, Objective 2.
Three areas of activity - Strands A, B, C.
Funded under EC Phare 2004 programme
& will operate over the period 2005-2007.
Local Partnership for Employment, Croatia
The Three Strands of LRDGS
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Strand A – Strategies & Partnerships
= elaboration of local & regional economic
strategies (grant award: EUR 10,000 - 50,000).
Strand B – Local Development Organisations
= promotion & stimulation of local development
activities (grant award: EUR 10,000 - 50,000).
Strand C – Project Development
= technical preparation of locally significant
infrastructure projects (grant award: EUR
50,000 - 100,000).
Local Partnership for Employment, Croatia
PRAG – Main Principles
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Fair competition (to avoid conflicts of
interest – e.g., those who programme,
manage or administer contract award
procedures are excluded from bidding).
Transparency & impartiality (must apply
to all contract award procedures).
Best
value
for
money
(most
technically/economically
advantageous
offers to be selected).
Local Partnership for Employment, Croatia
PRAG – Grants (6)
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6.2.3 Equal Treatment
- Grant award process must be completely
impartial.
- Selected by Evaluation Committee with
advice of assessors using published
eligibility & evaluation (selection & award)
criteria.
Local Partnership for Employment, Croatia
PRAG – Grants (6)
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6.2.4 Non-Cumulation
- No single beneficiary may receive more
than 1 (EC funded) grant for a given
action.
- A beneficiary may be awarded only 1 (EC
funded) operating grant per financial year.
Local Partnership for Employment, Croatia
PRAG – Grants (6)
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6.2.5 Non-Retroactivity
- Only cover costs incurred after the date
on which the grant contract is signed.
- No grant may be awarded for actions
already completed.
- Expenditure incurred before grant
application was lodged are not eligible for
financing.
Local Partnership for Employment, Croatia
PRAG – Grants (6)
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6.2.7 Non-Profit
- Grants may not have the purpose or
effect of producing a profit for the
beneficiary.
- Profit is defined as:
(a) a surplus of aggregate receipts over
costs when request is made for final
payment;
(b) a surplus on the operating budget of a
body in receipt of an operating grant.
Local Partnership for Employment, Croatia
EU Practical Guide
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Practical Exercise
- Consider the information on EU
PRAG.
- Is everything clear to you?
- Clarification, Discussion, Q & A.
Local Partnership for Employment, Croatia
Aspects
of Project Assessment, Evaluation & Selection
(Technical & Financial Quality)
Selection Process – Main Process & Flow Chart
Local Partnership for Employment, Croatia
Selection Process – Main Principles
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Evaluation
Committee
appointed
by
contracting
authority
carries
out
assessment of project proposals.
Contracting
authority
&
Technical
Secretariats responsible for undertaking
Administrative & Eligibility Compliance.
Evaluation Committee appoints assessors
to undertake Technical & Financial
Quality Assessment.
Local Partnership for Employment, Croatia
Selection Process – Main Principles cont.
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Contracting authority contracts selected
projects on the basis of Evaluation
Committee recommendations.
Approved
projects
are
sent
for
endorsement by EC Delegation.
Contracting authority signs contracts for
approved projects with beneficiaries.
Local Partnership for Employment, Croatia
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Selection Process – Main Principles cont.
A formal process conducted in camera &
confidential, in which total number of
applications received & their compliance
with grant scheme requirements is
established.
No
information
about
examination,
clarification, evaluation & comparison of
proposals, or decisions about contract
award can be given to anyone not
involved.
Local Partnership for Employment, Croatia
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Selection Process – Main Principles cont.
All Evaluation Committee members must
sign a declaration of impartiality &
confidentiality.
Any committee member with existing or
past link with any applicant must declare
it & immediately withdraw from the
selection process.
If needed, an independent observer from
EC Delegation may be present at
Evaluation Committee meetings.
Local Partnership for Employment, Croatia
Selection Process – Flow Chart
PROJECT APPLICATIONS
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PHASE I – CONFORMITY CHECK
PHASE II – ELIGIBILITY CHECK
PHASE III – TECHNICAL AND FINANCIAL EVALUATION
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PHASE IV – PROJECTS RANKING
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PHASE V – DECISION ON THE AWARD OF GRANTS
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PHASE VI – ENDORSEMENT OF GRANT AWARDS
Local Partnership for Employment, Croatia
Aspects
of Project Assessment, Evaluation &
Selection
(Technical & Financial Quality)
Evaluation Grid, Evaluation Criteria
& Project Scoring
Local Partnership for Employment, Croatia
Evaluation Grid, Evaluation Criteria &
Project Scoring
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Scoring
Financial & Operational Capacity
20
Relevance
25
Methodology
30
Sustainability
15
Budget & Cost Effectiveness
10
Maximum Total Score
100
Local Partnership for Employment, Croatia
Evaluation Grid, Evaluation Criteria &
Project Scoring
Evaluation criteria are divided into sections
& sub-sections.
- Each sub-section is given a score from 1 to
5 as follows:
1 = very poor, 2 = poor, 3 = adequate,
4 = good, 5 = very good
Priority given to highest scoring applications.
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Local Partnership for Employment, Croatia
Evaluation Grid, Evaluation Criteria &
Project Scoring
Section 1 – Financial & Operational Capacity
- If total score lower than ‘adequate’ (12
points),
OR
Section 2 – Relevance
- If total score lower than ‘good’ (20 points),
…The proposal will be eliminated by the
Evaluation Committee…
Local Partnership for Employment, Croatia
Maximum
Score
Section
Application
form
1. Financial and operational capacity
20
1.1 Do the applicant and partners have sufficient experience of
project management?
5
II.4.1 and
III.1
1.2 Do the applicant and partners have sufficient technical
expertise?(notably knowledge of the issues to be
addressed.)
5
II.4.1 and
III.1
1.3 Do the applicant and partners have sufficient management
capacity?
(including staff, equipment and ability to handle the budget
for the action)?
5
II.4.2 and
III.1
1.4 Does the applicant have stable and sufficient sources of
finance?
5
II.4.2
Local Partnership for Employment, Croatia
Maximum Application
Score
form
Section
2. Relevance
25
2.1 How relevant is the proposal to the objectives and one or more of the
priorities
of
the
call
for
proposals?
Note: A score of 5 (very good) will only be allocated if the proposal
specifically addresses at least one priority.
5
I.1.6(a)(b)
2.2 Is the proposal in accord with the Operational Programme – Basic
Infrastructure, National Development Plan and Single programming
document NUTS Objective 2, and economic and social development
program of the region in accordance
5
I.1.6(c)
2.3 How clearly defined and strategically chosen are those involved
(intermediaries, final beneficiaries, target groups)?
5
I.1.6(e)
2.4 Have the needs of the target groups proposed and the final
beneficiaries been clearly defined and does the proposal address them
appropriately?
5
I.1.6 (c)(f)
2.5 Does the proposal contain specific elements of added value, such as
innovative approaches, models for good practice, strong and evident
local/regional impact, are the proposal ready for implementation?
5
Passim
Local Partnership for Employment, Croatia
Maximum
Score
Section
Application
form
3. Methodology
30
3.1 Are the activities proposed appropriate, practical, and
consistent with the objectives and expected results?
5
I.1.7
3.2 How coherent is the overall design of the action?
(in particular, does it reflect the analysis of the problems involved,
take into account external factors and anticipate an evaluation?)
5
I.1.8
3.3 Is the partners' level of involvement and participation in
the action satisfactory?
Note: If there are no partners the score will be 1.
5
I.1.8(e)
3.4 Is the target groups' and final beneficiaries' level of
involvement and participation in the action satisfactory?
5
I.1.8(e)
3.5 Is the action plan clear and feasible?
5
I.1.9
3.6 Does the proposal contain objectively verifiable indicators
for the outcome of the action?
5
I.2.1
Local Partnership for Employment, Croatia
Maximum
Score
Section
Applicatio
n form
4. Sustainability
15
4.1 Is the action likely to have a tangible impact on its target
groups?
5
I.2.1
4.2 Is the proposal likely to have multiplier effects? (including
scope for replication and extension of the outcome of the action
and dissemination of information.)
5
I.2.2 & I.2.3
4.3 Are the expected results of the proposed action sustainable:
- 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 action? Will there be local
“ownership” of the results of the action?)
- at policy level (where applicable) (what will be the structural
impact of the action — e.g. will it lead to improved legislation,
codes of conduct, methods, etc?)?
5
I.2.4
Local Partnership for Employment, Croatia
Maximum
Score
Section
Application
form
5. Budget and cost-effectiveness
10
5.1 is the ratio between the estimated costs and the expected
results satisfactory?
5
I.3
5.2 Is the proposed expenditure
implementation of the action?
5
I.3
necessary
for
the
Local Partnership for Employment, Croatia
Evaluation Grid,
Project Scoring
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Evaluation
Criteria
&
Practical Exercise
- Consider the Evaluation Grid.
- Understand the selection & award
criteria.
- Clarification, Discussion, Q & A.
Local Partnership for Employment, Croatia
Aspects
of Project Assessment, Evaluation & Selection
(Technical & Financial Quality)
Technical Quality Assessment
Local Partnership for Employment, Croatia
Technical Quality Assessment
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Considers specifically…
Section 2 (Relevance)
Section 3 (Methodology)
Section 4 (Sustainability)
of the Evaluation Grid.
Be aware of what the Eligible Actions &
Activities are under Strands A, B, C.
Local Partnership for Employment, Croatia
Eligible Actions & Activities
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Must take place in Slovakia & meet the
following conditions:
- Have a strong & evident local/regional
impact;
- Be financially assessed as realistic &
transparent;
- Be ready for implementation;
Local Partnership for Employment, Croatia
Eligible Actions & Activities continued
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&
- Be in accordance with Operational
Programme – Basic Infrastructure, National
Development Plan & Single Programming
Document,
Objective
2,
long-term
development plans of municipalities or
regions;
- Contain innovative approaches;
- Comply with the maximum & minimum
levels of project support.
Local Partnership for Employment, Croatia
Aspects
of Project Assessment, Evaluation &
Selection
(Technical & Financial Quality)
Financial Quality Assessment
Local Partnership for Employment, Croatia
Financial Quality Assessment
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Considers specifically…
Section 1 (Financial & Operational Capacity)
&
Section 5 (Budget & Cost-Effectiveness)
of the Evaluation Grid.
Be aware of what the Eligible Costs are.
Local Partnership for Employment, Croatia
Eligible Costs
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These costs must:
- Be necessary for carrying out the project, be
provided for in the budget & comply with the
principles of sound financial management (i.e.,
value for money & cost-effectiveness;
- Be incurred in the course of the execution of
the project & following signature of the contract;
- Be actually incurred, be recorded in project
promoter’s accounts, be identifiable & verifiable
& be backed by originals of supporting evidence.
Local Partnership for Employment, Croatia
Eligible Costs continued
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Direct costs deemed eligible are:
- Cost of staff assigned to the project.
- Travel & subsistence costs for participating
staff.
- Purchase costs for equipment (new or used).
- Cost of consumables & supplies.
- Expenditure on sub-contracting.
- Costs derived from the contract (e.g.,
dissemination, translation, audit etc).
Local Partnership for Employment, Croatia
Eligible Costs continued
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Indirect costs deemed eligible are:
- A lump sum not exceeding 7% of the
direct eligible costs may be claimed as
indirect costs to cover the administrative
overheads incurred.
- Provided they do not include costs
assigned to another heading of the
project budget.
Local Partnership for Employment, Croatia
Aspects
of Project Assessment, Evaluation & Selection
(Technical & Financial Quality)
Local Partnership for Employment, Croatia
Summary & Conclusions
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Appointed
assessors
must
be
wholly
independent, be impartial & maintain
confidentiality.
EU PRAG rules & formats, Guidelines &
Evaluation Grid, Selection & Award Criteria &
Project Scoring must be strictly applied.
Technical Quality Assessment should be
carried out systematically & diligently
(Sections 2, 3, 4).
Financial Quality Assessment should be
carried out carefully & accurately (Sections
1, 5).
Local Partnership for Employment, Croatia