Programme funded by the
EUROPEAN UNION
Contracting Authority
Ministry of Regional Development and Tourism from Romania
(Joint Managing Authority)
Joint Operational Programme
Romania-Ukraine-Republic of Moldova 2007-2013
Guidelines for grant applicants
Priority 1 – Towards a more competitive border economy
Priority 2 - Environmental challenges and emergency preparedness
Reference: 2nd Call for proposals
Restricted call for proposals
Deadline for submission of Concept note: 30th of January 2012
2011
Guidelines for grant applicants P1 & P2
Notice
This is restricted Call for Proposals[1]. In the first instance, only Concept Notes must be submitted for evaluation. Thereafter, applicants whose Concept Notes have been pre-selected will be invited to submit a Full Application Form. Further to the evaluation of the Full Applications, an eligibility check will be performed for those which are provisionally selected. This check will be undertaken on the basis of the supporting documents requested by the Contracting Authority and the signed “Declaration by the Applicant” sent together with the application.
This Call for Proposals is launched under suspension clause linked to the approval of the European Commission on the derogations to PRAG. Any modifications of the application pack will be published on the programme website www.ro-ua-md.net, as a corrigendum to these guidelines, in due time.
How to use these Guidelines
These Guidelines are aimed at providing information on provisions laid down in the Joint Operational Programme (JOP) Romania-Ukraine-Republic of Moldova 2007 – 2013.
They give guidance to potential applicants while preparing their applications, and information about the selection and contracting process.
The European Commission has approved the Joint Operational Programme Romania-Ukraine- Republic of Moldova 2007 – 2013 on 29.07.2008 and the Guidelines for applicants integrate the provisions of the European Neighbourhood and Partnership Instrument (ENPI).
There are two different guidelines addressing the programme priorities:
q The Guidelines for Priorities 1 and 2 (“Towards a more competitive border economy” and “Environmental challenges and emergency preparedness”);
q The Guidelines for Priority 3 (“People-to-people cooperation”)
Both Guidelines were approved by the Joint Monitoring Committee through written procedure.
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These Guidelines address only Priority 1 “Towards a more competitive border economy” and Priority 2 “Environmental challenges and emergency preparedness”.
Content of these Guidelines
Chapter 1 gives an overview of the general programme objectives, the legal background, the objectives and measures set for Priorities 1 and 2, as well as the corresponding financial allocation.
Chapter 2 gives detailed rules concerning the eligibility criteria, the Grant Application Form, as well as the application procedure.
Chapter 3 gives information about the evaluation and selection process, showing the Evaluation Grid and the scoring methodology.
A list with most useful terms and definitions is attached here also. The Joint Operational Programme Romania-Ukraine-Republic of Moldova 2007 – 2013, as well as other relevant related documents can be downloaded from the programme website www.ro-ua-md.net.
Table of contents
1.1 Background 4
1.2 Legal Framework 5
1.3 Objectives of the Programme and priority issues 6
1.3.1 General objective and priorities of the Joint Operational Programme 6
1.3.2 Priority 1 “Towards a more competitive border economy” 6
1.3.3 Priority 2 “Environmental challenges and emergency preparedness” 7
1.3.4 Cross border impact and cross border cooperation criteria 8
1.3.5 Cross cutting themes 8
1.4 Financial allocation 8
1.4.1 Size of grants 9
1.4.2 State aid rules for the Romanian applicants or partners 9
2.1 Eligibility criteria 11
2.1.1 Eligibility of applicants: who may apply? 11
2.1.1.1 Mandatory eligibility criteria 11
2.1.1.2 Applicants and partners who may not participate in the present call for proposals 12
2.1.2 Partnerships and eligibility of partners 13
2.1.2.1 Mandatory requirements 14
2.1.2.2 Nationality 14
2.1.2.3 Location 14
2.1.2.4 Exceptions to the eligibility criteria only applicable for partners 14
2.1.2.5 The Partnership Statements and the Partnership Agreement 15
2.1.2.6 Roles and relations between the beneficiary and the project partners 15
2.1.2.7 Other organizations which may be involved in the project (associates, contractors) 16
2.1.3 Eligible actions: actions for which an application may be made 16
2.1.3.1 Project duration 17
2.1.3.2 Sectors or themes 17
2.1.3.3 Project location 17
2.1.3.4 Types of action 17
2.1.3.5 Actions which are not eligible 18
2.1.3.6 Number of applications and grants per applicant 18
2.1.4 Eligibility of costs: costs which may be taken into consideration for the grant 19
2.1.4.1 Eligible direct costs 20
2.1.4.2 Contingency reserve 20
2.1.4.3 Eligible indirect costs (overheads) 21
2.1.4.4. Contribution in kind 21
2.1.4.5 Ineligible costs 21
2.2 How to apply and procedures to follow 22
2.2.1 Concept Note content 22
2.2.1.1. Supporting documents to be submitted together with the concept note 23
2.2.2 Where and how to send Concept Notes and supporting documents 23
2.2.3 Deadline for submission of the Concept Notes 23
2.2.4 Further information for Concept Note 24
2.2.5 Full Application Form 24
2.2.6 Supporting documents to be submitted together with the Full Application Form 26
2.2.7 Where and how to send the Full application form 27
2.2.8 Deadline for submission of Full application forms 27
2.2.9 Further information for the Full application form 28
3.1 Opening session, administrative checks and Concept Note evaluation (step 1) 29
3.2 Evaluation of the Full applications (step 2) 31
3.3 Verification of eligibility of the applicant and its partners (step 3) 34
3.3.1 Supporting documents necessary for the eligibility verification 34
3.3.2 How to submit the supporting documents 36
3.4 Notification of the Joint Monitoring committee’s decision 37
3.4.1 Content of the decision 37
3.4.2 The appeal procedure 37
3.4.3 Indicative time table 38
3.5 Preparation of the grant contract signature 39
3.6 Conditions applicable to implementation of the Action following the Joint Monitoring Committee’s decision to award a grant 41
CHAPTER 1 JOINT OPERATIONAL PROGRAMME ROMANIA-UKRAINE- REPUBLIC OF MOLDOVA 2007-2013
1.1 Background
The Joint Operational Programme Romania-Ukraine-Republic of Moldova 2007-2013[2] provides the framework for the implementation of cross border activities in the context of the European Neighbourhood and Partnership Instrument (ENPI).
The programme area consists of the core area and adjoining regions.
The core area of the programme includes the Romanian counties of Suceava, Botosani, Iasi, Vaslui, Galati, and Tulcea, the Ukrainian oblasts of Odesska and Chernivetska, and the whole territory of the Republic of Moldova.
In addition, certain adjoining regions that may positively influence the co-operation in the border area were included in the programme area: the Romanian county of Braila, the Ukrainian oblasts of Ivano Frankivska, Vinniytska, plus ten districts of Khmelnyitska oblast (Vinkovetskyi, Chemerovetskyi, Khmelnytskyi, Kamyanets-Podilskyi, Letychivskyi, Dunayevetskyi, Derazhnyanskyi, Novoushyytskyi, Yarmolynetskyi, and Horodotskyi), and twelve districts of Ternopilska oblast (Ternopilskyi, Berezhanskyi, Pidgayetskyi, Kozivskyi, Pidvolochyskyi, Terebovlyanskyi, Monastyrskyi, Gusyatynskyi, Chortkivskyi, Borshchivskyi, Zalishchytskyi, and Buchatskyi).
The aim of the programme is to improve the economic, social and environmental situation in the programme area, in the context of safe and secure borders, through increased contact of partners on every side of the border.
This aim will be pursued in a spirit of partnership and co-operation which encourages cross border contacts and activities and makes material improvement to the infrastructure.
In order to meet these objectives, the programme focuses on a limited number of issues which may be successfully addressed at cross border level, and policy areas where cooperation is most likely to achieve results. The major role of the programme is to develop a higher degree of co-operation across the programme area and so, most measures will go after development of networks and other forms of partnership and collaboration.
In the light of the above objectives, the following priorities have been agreed to constitute the main issues of the Programme:
Joint Operational Programme Romania-Ukraine-Republic of Moldova 2007-2013Priority 1 / Towards a more competitive border economy
Priority 2 / Environmental challenges and emergency preparedness
Priority 3 / People-to- People Cooperation
Each project that applies for funding has to fit in to the objectives of one of these priorities. More information on the contents of the three priorities is described in the programme document.
The Joint Operational Programme Romania-Ukraine-Republic of Moldova 2007-2013 runs in parallel with other cross-border cooperation programmes, also relevant for the eligible programme area (e.g. the Black Sea Basin Joint Operational Programme 2007-2013 and Hungary-Slovakia-Romania-Ukraine ENPI CBC Programme 2007-2013).
In order to avoid double financing and overlapping between projects, the applicants are firmly requested to stipulate clearly in their proposals, whether they apply to other funds for support to all or some of the activities envisaged by their project. This should not have the effect of discrimination against their proposals at the evaluation stage, but it will be taken into account for the final selection of projects. It will raise awareness of the Joint Monitoring Committee and the Contracting Authority that will ensure appropriate consultation with other donors and programmes before the grant contract is signed.
The following management structures have been established to manage the Joint Operational Programme Romania-Ukraine-Republic of Moldova 2007-2013:
q Joint Monitoring Committee (JMC): supervising and monitoring the programme implementation, is responsible for selecting the projects. The JMC delegated the implementation of its decisions to the JMA.
q Joint Managing Authority (JMA): bearing overall responsibility for the management and implementation of the programme towards the European Commission. In the context of this call for proposals and in accordance with the Practical Guide to contract procedures for EC external actions (PRAG), the Joint Managing Authority fulfils the role of Contracting Authority.
q Joint Technical Secretariat (JTS): assisting the Contracting Authority and the Joint Monitoring Committee in carrying out their respective duties. It ensures proper publicity regarding the Programme, information and support for the potential applicants and beneficiaries.
q National Authorities: are central bodies collaborating with the JMA for the Programme implementation period. These are the Ministry of Economy and Trade from Ukraine, and the State Chancellery of the Republic of Moldova.
q Branch offices In order to ensure proper publicity regarding the RO-UA-MD Joint Operational Programme and information of the potential applicants and beneficiaries located in all participating countries regarding the technical conditions for financing, the Joint Technical Secretariat established three branch offices located in Chernivtsi and Odessa (Ukraine) and in Chisinau (the Republic of Moldova). They are entrusted by the programme to give support and information to the potential applicants during the call for proposal period, while properly observing the principles of equal treatment of all the potential applicants and avoiding any conflict of interests.
1.2 Legal Framework
When ENPI funding is used, the following regulations and rules apply to the project partners from the countries participating to JOP:
§ The Regulation (EC) No. 1638/2006 of the European Parliament and of the Council of 24 October, 2006 laying down general provisions establishing a European Neighbourhood and Partnership Instrument with subsequent amendments. This “ENPI regulation” gives general rules and requirements for ENPI financed programmes and projects.
§ The Commission Regulation (EC) No. 951/2007 of 9 August, 2007 laying down implementing rules for cross-border co-operation programmes financed under Regulation (EC) No 1638/2006 of the European Parliament and of the Council laying down general provisions establishing a European Neighbourhood and Partnership Instrument with subsequent amendments. This “ENPI implementing rules regulation” gives more detailed instructions for implementation of ENPI cross-border co-operation programmes and projects.
§ The Commission Decision No. 3806/2008 of 29 July, 2008 adopting the Joint Operational Programme Romania-Ukraine-Republic of Moldova 2007-2013.
§ The Commission Implementing Decision No.7350 /2011 of 19 October on the modification of Decision C(2008)3806 of 29/07/2008 on the joint operational programme "Romania-Ukraine-Republic of Moldova" for the ENPI Cross-Border Cooperation 2007-2013 to be financed under Article 19 08 02 01 and 19 08 02 02 of the general budget of the European Union
Practical Guide to Contract procedures for EC external actions (PRAG)[3], November 2010 (PRAG), (updated March 2011).
§ Council Regulation (EC, Euratom) No.1605/2002 of 25 June, 2002 on the Financial Regulation applicable to the general budget of the European Communities with its subsequent amendments[4];
§ Commission Regulation (EC, Euratom) No.2342/2002 of 23 December, 2002 laying down detailed rules for the implementation of Council Regulation (EC, Euratom) No.1605/2002 on the Financial Regulation applicable to the general budget of the European communities[5].
§ Law 105 from 21/06.2011 of the Romanian Parliament regarding the management and use of the external non-reimbursable funds and of the public co-financing for the “European territorial cooperation” objective and its subsequent implementation rules. (applicable to the Romanian beneficiaries and partners)
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While implementing their projects, all the Beneficiaries and project partners will have to follow the rules for selection and award of contracts referred to in the Annex IV “Contract award procedures” related to the procurement of works, supply or service contracts.
According to art.8.2 (Public administrations of the Member States) of the Annex IV, where a Beneficiary or partner established in a Member State is a contracting authority and/or a contracting entity as defined by the Community Directives applicable to procurement procedures[6], it must apply the relevant provisions of those texts, as transposed in its national legislation[7].
1.3 Objectives of the Programme and priority issues
1.3.1 General objective and priorities of the Joint Operational Programme
The general objective of the programme is to improve the economic, social and environmental situation in the Programme area, in the context of safe and secure borders, through increased contacts of partners on both sides of the border.
In order to achieve this objective, three priorities were developed within the RO- UA- MD Joint Operational Programme[8]:
Priority 1 Towards a more competitive border economy
Priority 2 Environmental challenges and emergency preparedness
Priority 3 People to people cooperation
1.3.2 Priority 1 “Towards a more competitive border economy”
The aim of Priority 1 is to improve the economic performance of the border area through diversification and modernisation in a sustainable manner.