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1 The Asia Urbs Programme...... 3 1.1 Objectives of the programme and priority issues for 2000 ...... 3 1.2 Size of financial support by the European Community ...... 3 2 Rules concerning the present Call for proposals...... 4 2.1 criteria for eligibility ...... 4 2.1.1 Eligibility of applicants: who may apply ...... 4 2.1.2 Partnership and eligibility of partners ...... 5 2.1.3 Eligibility of projects: projects for which an application may be made...... 5 Size of Projects...... 5 Geographical areas ...... 6 Type of activities...... 6 Ineligible types of activities are: ...... 9 Number of proposals per applicant ...... 9 2.1.4 Eligibility of costs: costs which may be taken into consideration for the grant...... 9 Eligible direct costs ...... 10 Eligible indirect costs and overheads ...... 10 Ineligible costs...... 10 2.2 How should an application be made and the procedures followed ...... 11 2.2.1 Application form and supporting documents ...... 11 Supporting documents...... 11 2.2.2 Where and how to send the applications...... 11 2.2.3 Deadline...... 12 2.2.4 Further information ...... 12 2.2.5 Acknowledgement of receipt...... 13 2.3 Evaluation and Sselection of aApplications...... 13 2.4 Information concerning the Commission decision on the award of tThe grant ...... 15 2.5 Conditions applicable following the Commission’s decision to award a grant ...... 15 3 List of Annexes ...... 17 Annex A:Grant Application Form Annex B: Budget (Excel format) Annex C: Logical Framework (Excel format) Annex D:Daily Allowance Rates (per diems) as of 1 January 2000 Annex E: Standard Contract
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Asia Urbs was conceived as an instrument for implementing the EU strategy toward Asia.
Its overall objectives are:
(a) strengthening EU participation in the socio-economic development of Asian countries through support to Asian authorities in applying and developing appropriate policies; and
(b) enhancing understanding and co-operation between European and Asian local communities.
The Programme is intended to create durable links between European and Asian local communities through the implementation of projects jointly submitted by EU and Asian local authorities in the field of urban management, urban socio-economic development, urban environment and urban infrastructure. The Programme is designed to bring urban development planning closer to the local population, by focusing on citizen participation and capacity building.
The Programme is designed to benefit citizens in Asian cities where projects are located. Priority target groups are the urban poor, women, street children, squatters, and other disadvantaged groups. Other beneficiaries will include civil society organisations and economic partners who are involved in project activities as well as Asian and European governments, who will benefit from the increased knowledge and awareness brought by the Programme.
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The global indicative amount available under the present Call for Proposals is 9 million euro.
Size of grants
The following minimum and maximum amounts apply to the grants for the individual projects that may be financed under the programme:
• minimum 300,000 euro and maximum 500,000 euro for Development or Information-sharing projects; and
• minimum 10,000 euro and maximum 15,000 euro for Studies.
Moreover, a grant may not exceed 65% of the total eligible project costs (see also 2.1.3 below). The balance must be financed from the applicant’s or partners’ own resources, or from sources other than the EC budget.
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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 9DGHPHFXP RQ *UDQW 0DQDJHPHQW adopted by the European Commission in 1998.
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There are three sets of eligibility criteria. These concern:
• the applicants who may request a grant • 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 a local government. The term ‘local government’ refers to any legislative tier of government that is below the national level; • be located within the European Union, or in one of the 16 beneficiary countries in South and South East Asia;1 • be directly responsible for the management of the proposed project, not acting as an intermediary.
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 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 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 UHVMXGLFDWD
• They are guilty of grave professional misconduct proven by any means which the European Commission can justify;
• They are guilty of serious misrepresentation in supplying the information required by the European Commission as a condition of participation in a Call for Proposals or contract;
1 Bangladesh, Brunei Darussalam, Bhutan, Cambodia, India, Indonesia, Lao People’s Democratic Republic, Malaysia, Maldives, Nepal, Pakistan, Philippines, Singapore, Sri Lanka, Thailand, Vietnam.
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• They have been declared to be in serious breach of contract for failure to comply with obligations in connection with another contract with the European Commission or another contract financed with Community funds;
• They have attempted to obtain confidential information or influence the Evaluation Committee or European Commission during the evaluation of current or previous Calls for Proposals;
• They are in a position of having their powers suspended by act of superior government.
2.1.2 Partnership and eligibility of partners
Applicants must act in consortium with other local governments. Such consortia must consist of at least three local governments, namely two from two different Member States of the European Union and one from an Asian partner country.
Although the minimum requirement of at least three local governments is compulsory, additional partners may be involved.
Partners of applicants must satisfy the same criteria as those for applicants.
The applicant will be the lead organisation and, in case of selection, the contracting party (the “Beneficiary”).
Even though the Commission will conclude a contract with the Beneficiary only, all partner organisations should contribute actively to the implementation of the Asia Urbs project. The applicant and its partners are advised to draw up an agreement defining the technical and financial rights and obligations of each party. A clear written allocation of responsibilities and an equitable distribution of costs will contribute to the partnership’s success.
In any event, the role of each partner institution must be clearly explained in the proposal and each partner must sign the Partnership Declaration contained in the application form (Annex A).
Subcontractors [including Non Local Government Actors (NoLoGAs)] involved in the project for a limited and specific part may be commercial enterprises provided that their participation is strictly on a non-profit basis.
2.1.3 Eligibility of projects: projects for which an application may be made
Size of Projects • Amount: applicants are free to set the total amount of project costs. However, the grant requested must respect the minimum and maximum amounts indicated in 1.2.
• Duration: The duration of Development projects may not exceed 24 months and the duration of Studies or Information-sharing projects may not exceed 6 months.
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Geographical areas Studies and Development projects must take place in one or more of the 16 South and South East Asian countries listed in section 2.1.1.
Information-sharing projects, however, may take place either in the EU and/or in the one or more of the 16 South and Southeast Asian countries mentioned in section 2.1.1.
Type of activities
The Programme focuses on the following three types of projects:
• Studies of up to six months. This type of project is intended to help those who need to undertake such an exercise before formulating a Development project (see below). Such studies should take the form of a pre-investment analysis that will allow partners to develop an in-depth programme of action prior to launching into a potential development Project. The results of the study may take the form of a proposal to be submitted in a subsequent Asia Urbs Call for Proposals and be evaluated in accordance with the associated procedures. However, selection will not be automatic. • Development projectsof up to 24 months. This type of project is intended for applicants who have already taken the necessary preliminary steps, and have identified and defined a suitable project to submit to the Asia Urbs Programme. • Information-sharing projects of up to six months. This type of project is intendedfor applicants wishing to promote the sharing of best practices and technical information among Asia Urbs collaborators and others in urban development. Such information-sharing projects may take the form of one or more workshop(s) or seminar(s) of several-days organised in the EU or in one of the eligible countries in Asia, or of any other event - electronic conference, etc – within the general objectives of the Programme.
Study, development and information-sharing projects must fall within the areas of activity, and in the countries or regions, covered by the Asia Urbs Programme. They must be of an urban nature and have a focus on socio-economic development. Possible project areas include:
• Urban management; • Urban socio-economic development; • Urban environment; • Urban social infrastructure.
All projects must have an urban focus and strategy, even if the solution to the problem identified requires activities in the region surrounding the specific urban area (e.g. in the case of rural-urban linkages). Detailed information on the above urban areas can be requested from the Asia Urbs Secretariat.
For all types of project both overall and specific project objectives must be formulated. 2YHUDOO EURDGHU REMHFWLYHV correspond to the future improved situation to which the project aims to contribute. Examples could be improving the quality of life of the local population, improving the environmental conditions for citizens, or improving the health of local children, etc. Examples of VSHFLILF REMHFWLYHV which the project will achieve could be providing skills to local people,
6 $VLD8UEV3URJUDPPH *XLGHOLQHVIRU$SSOLFDQWV increasing health provision in a neighbourhood, improving the sewage system or the waste management in a neighbourhood, etc.
As a general rule, no project focusing exclusively on urban infrastructure will be accepted. Infrastructure development may be part of a project but may not account for more than 40% of the total project cost. If, for such projects, relevant technical and supporting studies and permits are available, this should be noted in the application form.
Project activities should be designed to maximise their potential impact on future EU-Asia urban co-operation, including creating/furthering links between EU and Asian local government and civil society representatives.
The application should include a description of the socio-economic, administrative and political context in which the proposed activities will be developed. This should include a brief description of the target area and its characteristics (geographic, demographic, socio-economic and environmental, institutional and legislative context).
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Preference will be given to projects with a participatory approach, demonstrated by the involvement in both project formulation and implementation of:
• the beneficiary population; • civil society representatives (Community-based (CBO) or non-governmental (NGO) organisations, etc.); • academic and research institutions; • relevant institutions/organisations experienced in the project’s sector of activity; • the private sector; • and the level of local government that is closest to the citizen.
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‘Monitoring’ is the on-going verification of a project’s physical achievements and financial progress. Applicants must set up an efficient monitoring system from the start of the project, to verify the on-going and final results of the project against the original objectives at the reporting stage.
Applications should contain an outline of the method that will be used for PRQLWRULQJ the project, including ways in which information is to be collected on a regular basis regarding the project’s activities and the use of financial resources. In this respect, the objectively verifiable indicators of achievement contained in the logical framework (see Annex C) are an essential tool.
Examples of ways to develop indicators for monitoring project results are:
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What? Number of jobs Number of houses linked Number of Asian and European created to water supply system towns meeting together and exchanging information on best practices, coming to conclusions and disseminating solutions How 50 jobs created 200 houses connected 15 European and 15 Asian towns many? participating
Target Unemployed people Local residents living in 100 town officials, local group? poor housing representatives and resource people Time During the project’s Every six months Five months of preparation, a period? lifetime four-days workshop, three weeks follow-up activities Where? Within the city Within the target area In Asia near a suitable field visit location
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One of the key aims of the Programme is ensuring that the ‘best practice’ from these pilot projects is disseminated to as wide an audience as possible, so that others can benefit from the lessons learnt. It is therefore obligatory for each project to undertake the following activities:
• The development of a ‘communications strategy’ for the project that takes into account the local cultural context and the available local media, and includes information on the human resources that will be dedicated to communications; • The production of at least one project brochure, in English and the local languages within the first six months.
Other activities may include:
• the preparation of publicity material, brochures and videos, etc. about the project, for local and international audiences; • visits to other Asia Urbs projects with similar objectives; • participation in local, national or international workshops and seminars, for project staff to benefit from the experience of practitioners; • maintaining contacts with local media and providing information material concerning the project for dissemination to the national audience; and • preparation of materials such as handbooks or pamphlets that would help other authorities improve implementation tools and methods.
The establishment of a website for each project is also encouraged where possible.
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The Programme aims to support projects that are self-sustaining in the long term. A project is sustainable if it can deliver benefits to the target group for an extended period of time after financial assistance from the European Commission has expired. During the project’s initial two-year period, grants from the European Commission will be provided to projects as ‘seed money’, with the aim of
8 $VLD8UEV3URJUDPPH *XLGHOLQHVIRU$SSOLFDQWV fostering sustainable partnerships. Subsequently, the European and Asian partners are expected to find their own resources to continue, and hopefully expand, their projects and co-operation activities. Projects must therefore be conceived with a view to sustainability in the long term, and applicants should demonstrate how sustainability would be achieved.
Sustainability can be enhanced by ensuring that:
• the European know-how is appropriate and matches the Asian demand; • the partnership selected for the proposal is viable; • the network of partners is established and consolidated to last over time.
Beyond the feasibility of continuing the project and partnership, it is important that applicants demonstrate how the project will be financed in the long term, after the expiry of support from the Asia Urbs Programme. For instance, the project could propose a scheme that aims to improve a municipality’s capacity to regenerate its own financial resources, e.g. by involving the participation of the private sector in delivering urban services.
It is also important to demonstrate that the project adheres to the major urban development concerns of various bodies at national and international levels, which could become possible co-financiers in the future. Similarly, synergies with other EC and non-EC Programmes could also develop into funding in the future, once support from the Asia Urbs Programme has come to an end. These aspects should be emphasised in the proposal.
Ineligible types of activities are:
• individual sponsorships for the participation in workshops, seminars, conferences, congresses; • individual scholarships for studies, training courses.
Number of proposals per applicant
Applicants may submit only one proposal for the same project (either for a Study or for a Development project) at any one time. However, they may submit more than one proposal, with the same or different partners, provided these proposals pertain to projects that are clearly different in content and location.
Applicants submitting a proposal for a Study or a Development project may at the same time also submit a proposal for an Information-sharing project.
2.1.4 Eligibility of costs: costs which may be taken into consideration for the grant
Costs that can be taken into account for a grant are “eligible” costs. 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 exceeding the real costs.
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Eligible direct costs To be considered eligible in the context of the project, costs must:
• be necessary for carrying out the project/study, be provided for in the Standard Contract (Annex E), and comply with the principles of sound financial management, in particular value for money and cost-effectiveness; • have been incurred during the execution of the project/study, as defined in Article 2 of the Special Conditions of the Contract; • 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/study, 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 personnel taking part in the project/study, providing they correspond to market rates and do not exceed the scales generally accepted by the EC (including economy-class air fares); • purchase costs for equipment (new or used) 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 (such as dissemination of information, specific evaluation of the project, audit, translation, reproduction, insurance, targeted training for 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 Annex II of the Contract; • a contingency reserve of no more than 5% of eligible direct costs, which can be used only with the prior written (by letter) authorisation of the Commission.
Eligible indirect costs and overheads A fixed percentage of the partnership's overheads, up to a maximum of 7% of the total amount of eligible direct costs, shall be eligible as indirect costs.
Indirect costs shall be eligible provided that they do not include costs assigned to another heading of the budget provided for by the Contract.
Indirect costs shall not be eligible where the Contract concerns the financing of a project/study conducted by a body which is already receiving an operating (running costs) grant from the EC.
Ineligible costs
The following costs are not eligible:
• provisions for possible future losses or debts • interest owed
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• purchases of land or buildings, except where necessary for the direct implementation of the project, in which case ownership must be transferred to the local partners (where applicable) or the final recipients of the project once the latter has come to an end • capital funds for credit operations • currency exchange losses, without prejudice to the terms of Article 15(7) of Annex II of the Contract • VAT which the Beneficiary is able to reclaim. • costs of preparatory activities • contributions in kind
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2.2.1 Application form and supporting documents
Applications must be submitted with the application form annexed to the present guidelines (Annex A) available on the Europa website http://europa.eu.int/comm/scr/tender/index_en.htm and on the Asia Urbs website http://www.asia-urbs.com. Carefully respect the application format and follow the page order.
Applicants must apply in English.
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.
The application and its annexes must be typed. Hand-written applications will not be accepted.
Supporting documents
• Statement of Compliance of the Asian Local Government partner(s) prepared in accordance with the format presented in Annex A, section V.
2.2.2 Where and how to send the applications
Applications must be received in a sealed envelope by registered mail, by private courier or by hand-delivery (a signed and dated certificate of receipt will be given to the deliverer) to the address indicated below:
Postal address
European Commission SCR/E/4 LOI – 41 Office 7/158 Rue de la Loi / Wetstraat 200 B-1049 Brussels Belgium
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Address for Hand delivery
European Commission SCR/E/4 Rue de la Loi / Wetstraat 41 Office 7/158 B-1040 Brussels Belgium
Delivery by private courier service
European Commission SCR/E/4 (LOI – 41 Office 7/158) Rue de Genève 1 B-1049 Brussels Belgium
Applications sent by any other means (e.g. by fax or e-mail) or delivered at other addresses will be rejected.
Applications (application form and annexes) must be submitted in one original and five copies.
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 mention “Do not open until the proposal opening session”.
Applicants must verify that the application is complete on the basis of the checklist in the application form.
2.2.3 Deadline
There will be two deadlines in the year 2001 for the submission of proposals: 15 February 2001 at 16:00 h. Brussels time and 15 June 2001 at 16:00 h. Brussels time. Any application received after the first deadline will automatically be included in the next batch of applications. Any application received after the second deadline will be automatically rejected even if the postmark on the envelope indicates a date preceding the deadline.
2.2.4 Further information
Questions may be sent by email or by fax to the address listed below indicating clearly the reference of the Call for Proposals. Questions that may be relevant to other applicants, together with their answers will be available on the Europa website: (http://europa.eu.int/comm/scr/tender/index_en.htm).
Asia Urbs Secretariat
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205, rue Belliard B – 1040 Brussels, Belgium
Tel: +32 2 230 76 88 Fax: +32 2 230 69 73 Email: [email protected] http://www.asia-urbs.com
2.2.5 Acknowledgement of receipt
Following the session for opening of proposals, the European Commission 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.
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Applications will be examined and evaluated by the European Commission with the assistance of external experts. All applications will be evaluated according to the following criteria: $GPLQLVWUDWLYHFRPSOLDQFH Verification that the application is complete in accordance with the checklist. (OLJLELOLW\ Eligibility of the applicant and of the project according to the criteria listed in sections 2.1.1 and 2.1.2. 7HFKQLFDOHYDOXDWLRQ 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.
Please note the following important information:
Note on Section 1. Relevance:
If a 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.
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0D[LPXP $SSOLFDWLRQ 6HFWLRQ 6FRUH )RUP 5HOHYDQFH 1.1 How relevant to the particular QHHGVDQGFRQVWUDLQWVof the target countries 5 I.1.6(a) is the proposal? (Including avoidance of duplication and synergy with other EC initiatives.) 1.2 How clearly defined and strategically chosen are the WDUJHWJURXSV? 5 I.1.6(c) 1.3 How relevant is the proposal to the QHHGV of the proposed WDUJHWJURXSV? 2x5 I.1.6(d) 1.4 How relevant is the proposal to the REMHFWLYHVand one or more of the 5 I.1.6(e)(f) SULRULWLHVof the programme? Note: A score of 5 (very good) will only be allocated if the proposal specifically addresses at least RQHSULRULW\. 1.5 How coherent, appropriate and practical are the DFWLYLWLHV proposed? 5 I.1.7 1.6 To what extent does the proposal contain specific elements of DGGHGYDOXH, 5 general such as innovative approaches, models for good practice, promotion of gender equality and equal opportunities?
0HWKRGRORJ\ 2.3 How coherent is the overall SURMHFWGHVLJQ? 2x5 I.1.8 (Including preparedness for HYDOXDWLRQ.) 2.5 How satisfactory is the level of LQYROYHPHQWDQGDFWLYLW\RIWKHSDUWQHUV? 5 I.1.8(e) 2.6 How clear and feasible is the SODQRIDFWLRQ? 5 I.1.9 2.7 To what extent does the proposal contain REMHFWLYHO\YHULILDEOHLQGLFDWRUV 5 Logframe for project outcomes? (see Annex C)
6XVWDLQDELOLW\ 3.1 To what extent is the project likely to have a tangible LPSDFW on its target 5 I.2.1 groups? 3.2 To what extent does the proposal contain potential PXOWLSOLHUHIIHFWV? 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 VXVWDLQDEOH 5 I.2.4 - 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 (what will be the structural impact of the project – e.g. will it lead to improved legislation, codes of conduct, methods, etc?)
%XGJHWDQG&RVWHIIHFWLYHQHVV 4.1 To what extent is the budget FOHDUDQGGHWDLOHG? 5 I.3 4.2 To what extent is the proposed expenditure QHFHVVDU\ for the implementation 5 I.3 of the project?
0DQDJHPHQW&DSDFLW\DQG([SHUWLVH 5.1 How satisfactory is the previous SURMHFWPDQDJHPHQWH[SHULHQFH of the 5 II.4.1 applicant? 5.2 How satisfactory is the WHFKQLFDOH[SHUWLVH of the applicant? 5 II.4.1 (I.e. knowledge of the issues to be addressed.) 5.3 How satisfactory is the current PDQDJHPHQWFDSDFLW\ of the applicant 5 II.4.2 (including staff, equipment and its ability to handle the project budget)? 0D[LPXPWRWDOVFRUH
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Applicants will be informed in writing of the European Commission's decision concerning their application. A decision to reject an application or not to award a grant will be based 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 score obtained by the proposal is lower than that of the lowest-scoring recommended proposal;
The Commission's decision to reject an application or not to award a grant is final.
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Following the decision to award a grant, a contract will be proposed to the Beneficiary according to the European Commission’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 in 2.1.3, 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 European Commission reserves the right to interrupt payments and/or to terminate the contract (cf. article 11 of the General Conditions). The European Commission’s contribution may be reduced, and/or the Commission may demand full or partial
15 $VLD8UEV3URJUDPPH *XLGHOLQHVIRU$SSOLFDQWV repayment of the sums already paid, if the Beneficiary does not fulfil the terms of the contract.
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 European Commission (cf. article 9(2) of the General Conditions).
Furthermore, budget items may vary from the original figures provided that the following conditions are met:
(a) the variation does not affect the basic purpose of the project; and
(b) 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 European Commission 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 European Commission 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 European Commission and a contract amendment will be required.
Reporting
Reports must be drafted in the language provided for in the contract. 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 European Commission 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.
If the total duration of the project exceeds 12 months and the grant exceeds 100,000 euros, the advance payment is 80% of a forecast budget for the first 12 months of the operation (cf. article 15(1) of the General Conditions). In this case, subsequent intermediate
16 $VLD8UEV3URJUDPPH *XLGHOLQHVIRU$SSOLFDQWV payments can be made upon submission by the beneficiary, and approval by the European Commission, of the intermediate report and a plan of action and budget for the following period (cf. article 15(1) of the General Conditions).
The final balance will be paid upon submission by the beneficiary and approval by the European Commission of the final report (cf. article 15(1) of the General Conditions).
Records and accounts of the project
The Beneficiary must keep accurate and regular records as well as separate and transparent accounts of the implementation of the project (cf. article 16(1) of the General Conditions). The Beneficiary must keep records for five years. Audit
If the size of the grant is 100,000 euros or more, a final audit will be carried out when the project ends. Furthermore, if the project’s duration exceeds 18 months, an annual audit will be carried out for every 12-month period of implementation after the start of the project.
The contract will provide for the possibility of inspections to be carried out on documents and on the project site(s) by the European Commission’s services and by the European Court of Auditors (cf. article 16(2) of the General Conditions).
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).
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Annex A: Grant Application Form
Annex B: Budget (Excel format)
Annex C: Logical Framework (Excel format)
Annex D: Daily Allowance Rates (per diems) as of 1 January 2000
Annex E: Standard Contract
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Name of the Programme
Grant Application Form
Budget Line B7-3010
Name of the applicant:
The project is mainly concerned with the following issue (tick as appropriate): ¥ Urban management: including capacity building, institutional development, and urban design policies and techniques ¥ Urban socio-economic development: particularly with regard to gender-in-development and urban poverty alleviation ¥ Urban environment: conservation and rehabilitation, management of water and waste ¥ Urban infrastructure: urban amenities (neighbourhood services for communication, culture, education, health, leisure, transport, etc.).
Dossier No INT- (for internal use only)
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I. THE PROJECT
'HVFULSWLRQ
1.1 Title
1.2 Location
Country or countries, region, city
1.3 Amount requested from the European Commission
EUR % of total project cost
1.4 Summary
Maximum 10 lines (include information on (a) the aim of the project, (b) the target groups and (c) the main activities).
1.5 Objectives
Maximum 1 page. Describe the objectives of the project.
1.6 Justification
Maximum 3 pages. Provide the following information:
(a) identification of perceived needs and constraints in the target urban area
(b) Size of the population of the areas administered by (i) the applicant local government and (ii) the local government partners.
(c) list of target groups with an estimate of the anticipated number of direct and indirect beneficiaries
(d) reasons for the selection of the target groups and activities
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(e) relevance of the project to the target groups
(f) relevance of the project to the objectives of the programme
(g) relevance of the project to the priorities of the programme
1.7 Detailed description of activities
Maximum 9 pages. Include the title and a detailed description of each activity. In this respect, the detailed description of activities must not be confused with the plan of action (see 1.9).
1.8 Methodology
Maximum 4 pages. Detailed description of:
(a) methods of implementation
(b) reasons for the proposed methodology
(c) how the project intends to build on a previous project or previous activities (where applicable)
(d) procedures for internal evaluation
(e) level of involvement and activity of other organisations (partners or others) in the project
(f) reasons for the role of each partner
(g) team proposed for implementation of the project E\ IXQFWLRQ WKHUH LV QR QHHG WR LQFOXGH WKH QDPHV RI LQGLYLGXDOVKHUH
1.9 Duration and plan of action
q The duration of the project will be ___ months.
Note: The indicative plan of action should not mention actual dates, but should start with “month 1”, month 2”, etc. Applicants are advised to foresee a security margin in the proposed plan of action. The plan of action should not contain detailed descriptions of activities, but only their titles (please ensure that these match the titles listed in section 1.6).
The plan of action for the first year of implementation must be sufficiently detailed to provide insight into the preparation and implementation of each activity. The plan of action for each of the following years (depending on project duration) may be more general and should only list the main activities foreseen for those years.2 The plan of action must be provided in accordance with the following model:
2 A more detailed plan of action for each of the following years will be required for the release of interim payments in accordance with Article 2(2) of the General and Administrative Provisions of the Grant Contract (see Annex E).
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([SHFWHGUHVXOWV 2.1 Estimated impact on target groups Maximum 2 pages. Include information on: (a) how the project will improve the situation of the target groups (b) how the project will improve the managerial and technical capacities of the target groups or the partners (where applicable) 2.2 Publications and other outputs Maximum 1 page. Be specific and quantify outputs as much as possible. 2.3 Multiplier effects Maximum 1 page. Describe the possibilities for replication and extension of project outcomes. 2.4 Sustainability Maximum 3 pages. Distinguish between the following aspects of sustainability: (a) financial sustainability +RZZLOOWKHDFWLYLWLHVEHILQDQFHGDIWHUWKH(&IXQGLQJHQGV" (b) institutional sustainability :LOO VWUXFWXUHV DOORZLQJ WKH DFWLYLWLHV WR FRQWLQXH EH LQ SODFH DW WKH HQG RI WKH SUHVHQWSURMHFW":LOOWKHUHEHORFDO³RZQHUVKLS´RISURMHFWRXWFRPHV" 22 $VLD8UEV3URJUDPPH *XLGHOLQHVIRU$SSOLFDQWV (c) sustainability at the policy level :KDW ZLOO EH WKH VWUXFWXUDO LPSDFW RI WKH SURMHFW ± HJ ZLOO LW OHDG WR LPSURYHGOHJLVODWLRQLPSURYHGXUEDQPDQDJHPHQWSUDFWLFHVHWF" %XGJHWIRUWKHSURMHFW Provide a budget for the total duration of the project and for the first 12 months of the project. See Guidelines for Applicants, section 2.5 (payments) for further information. Note: The budget must be provided in accordance with Annex B (Excel file). The budget format is contained in Worksheet 1 (3. Budget). ([SHFWHGVRXUFHVRIIXQGLQJ Provide information on the expected sources of funding for the project. Note: this information must be provided in accordance with Annex B (Excel file). The format is contained in Worksheet 2 (4. Sources of Funding). To switch between Excel Worksheets, click the tab at the bottom of the screen. 23 $VLD8UEV3URJUDPPH *XLGHOLQHVIRU$SSOLFDQWV II. THE APPLICANT ,GHQWLW\ Full legal name: Acronym (where applicable): Legal status: VAT registration number (where applicable): Official address: Postal address: Contact person: Telephone n° : Fax n°: E-mail address: Website: %DQNGHWDLOV The bank must be in the country in which the applicant is registered. Account name: Bank account no: Bank code: SWIFT code: Bank name: Bank address: Name(s) of signatory(ies): Position(s) of signatory(ies): 24 $VLD8UEV3URJUDPPH *XLGHOLQHVIRU$SSOLFDQWV &RUUHVSRQGLQJEDQN ZKHUHDSSOLFDEOH Account name: Bank account no: Bank code: SWIFT code: Bank name: Bank address: Routing information: 25 $VLD8UEV3URJUDPPH *XLGHOLQHVIRU$SSOLFDQWV &DSDFLW\WRPDQDJHDQGLPSOHPHQWSURMHFWV 3.1. Experience with similar projects Maximum 1 page per project. Detailed description of projects managed by your organisation over the past five years in the fields covered by this programme, identifying for each project: (a) the object and location of each project (b) the results of the project (c) your organisation’s role (leader, partner) and level of involvement in the project (d) the project cost (e) the donors of the project (name, address and e-mail, telephone number, amount contributed) 3.2 Resources Maximum 3 pages. Detailed description of the various resources at the disposal of your organisation including: (a) the annual income over the past three years, mentioning where applicable for each year the names of the main financial contributors and the proportions of annual income contributed by them (b) the number of full-time and part-time staff by category HJQXPEHURISURMHFWPDQDJHUVDFFRXQWDQWVHWF . (c) equipment and offices (d) other relevant resources 26 $VLD8UEV3URJUDPPH *XLGHOLQHVIRU$SSOLFDQWV 2WKHU DSSOLFDWLRQV VXEPLWWHG WR (XURSHDQ ,QVWLWXWLRQV WKH (XURSHDQ 'HYHORSPHQW )XQG (') RU(80HPEHU6WDWHV 4.1 Grants, contracts or loans obtained during the last three years from European Institutions, the EDF or EU Member States Title of operation EC budget line, EDF or other source Amount (EUR) Date of award 4.2 Grant applications submitted (or due to be submitted) to European Institutions, the EDF or EU Member States in the current year: Title of project EC budget line, EDF or other source Amount (EUR) 27 $VLD8UEV3URJUDPPH *XLGHOLQHVIRU$SSOLFDQWV III. PARTNERS OF THE APPLICANT PARTICIPATING IN THE PROJECT 'HVFULSWLRQRIWKHSDUWQHUV This section must be completed for each partner organisation. You may duplicate this table as necessary to create entries for more partners. Partner 1 Partner 2 Full legal name Nationality Legal status Official address Contact person Telephone n° Fax n° E-mail address Number of staff History of co-operation with the applicant Role and involvement in preparing the proposed project Role and involvement in implementing the proposed project ,PSRUWDQW: This application form must be accompanied by a signed and dated partnership statement from the applicant and every partner in accordance with the model provided on the next page. Non-local government actors The non-local government actors who will be entrusted with particular aspects of the project by the local government partners, should be clearly identified. One partner may co-operate with more than one non-local government actor. Local Government Partner that Non-local government organisation/actor (NoLoGA) will delegate to NoLoGA No. Name of Local Official name Responsible Postal address Tel. Government person Fax Partner Email $SSOLFDQW 3DUWQHU 3DUWQHU 3DUWQHU 28 $VLD8UEV3URJUDPPH *XLGHOLQHVIRU$SSOLFDQWV 3DUWQHUVKLSVWDWHPHQW3 3DUWQHUVKLS A partnership is a relationship of substance between two or more organisations involving shared responsibilities in undertaking the project funded by the European Commission. In order to assist the smooth operation of the project, the European Commission requires all partners (including the main applicant which signs the contract) to acknowledge this by agreeing to the principles of good partnership practice set out below. 3ULQFLSOHVRI*RRG3DUWQHUVKLS3UDFWLFH 1. All partners should have read the application form and understood what their role in the project will be. 2. The applicant should consult regularly with its partners and should keep them fully informed of the progress of the project. 3. All partners should receive copies of the reports - narrative and financial - made to the European Commission. 4. Substantial changes proposed to the project (eg activities, partners, etc) should be agreed by the partners before submitting the proposals to the European Commission. Where no such agreement can be reached, the applicant must indicate this when changes are submitted for approval to the European Commission. 5. Before the end of the project, the partners should agree on an equitable distribution of project equipment, vehicles and supplies purchased with the EU grant among local partners located in the target countries. Copies of the title transfers must be attached to the final report. 6WDWHPHQWRISDUWQHUVKLS We have read and approved the contents of the project submitted to the European Commission. We undertake to comply with the principles of good partnership practice. Name: Organisation: Position: Signature: Date and Place: 3 to be provided by the applicant and each partner in all cases where there is a partner in addition to the applicant 29 $VLD8UEV3URJUDPPH *XLGHOLQHVIRU$SSOLFDQWV IV. DECLARATION BY THE APPLICANT I, the undersigned, being the person responsible in the applicant organisation for the project, certify that the information given in this application is correct. Name: Position: Signature: Date and Place: &KHFNOLVW Before sending your proposal, please check that your application is complete: 7KHDSSOLFDWLRQIRUP the proposal is complete and filled out in accordance with the application form one original and five copies of all documents the proposal is typed and is in English the applicant and all partners are eligible according to the Guidelines the Partnership statement is signed by the applicant and all partners the budget and the expected sources of funding are presented in the format of the application form (Annex B) in the budget the EC contribution is identified and is maximum 65% of total eligible project costs in the budget the administration costs are 7% or less of eligible project costs in the budget the contingencies are no more than 5% of eligible costs the declaration by the applicant (Section IV) is signed the logical framework for the project is complete (Annex C) $QQH[HV letters of commitment signed by the applicant and by the other local government partners are included statements of compliance (section V) from the Asian local government partner(s) are included (only for a development project) 30 $VLD8UEV3URJUDPPH *XLGHOLQHVIRU$SSOLFDQWV V. STATEMENT OF COMPLIANCE This statement should be completed RQO\ for Development projects. It should be copied onto the headed paper of the local government. 'HFODUDWLRQE\WKH$VLDQ/RFDO*RYHUQPHQW3DUWQHU RESPONSIBLE WITHIN THE URBAN AREA WHERE THE PROJECT IS LOCATED FOR THE SCHEDULED ACTIVITIES MENTIONED IN THE PROPOSAL I, the undersigned, representing [HQWHUQDPHRIWKHRUJDQLVDWLRQLQVWLWXWLRQ] in the capacity of …...…………………………………….. hereby declare that: [QDPHRIWKHRUJDQLVDWLRQLQVWLWXWLRQ] has informed the relevant national institutions of the contents of the attached proposal and has made sure that, in case the project is approved, all necessary permits including those for the transfer of foreign exchange, visas for international experts involved in the project, procurement of goods and services, etc. will be obtained. [QDPHRIWKHRUJDQLVDWLRQLQVWLWXWLRQ] has made sure that the activities described in the attached project proposal comply with all necessary regulations within the local, regional and national context. Whenever relevant, this includes all building regulations, ownership rights, safety regulations (relating to flooding, fire, etc.), zoning regulations, etc. The project has obtained all necessary permits (such as building permits, etc., when required). If it is not yet the case, the partners have taken the necessary steps to obtain such permits in time for the successful delivery of the scheduled activities in accordance with the attached proposal. If the project proposal entails the purchase of land, the partners have made all the necessary steps to acquire this land in time for the successful delivery of the scheduled activities in accordance with the attached proposal. Signature of the legal representative of the local government organisation/institution [)RUH[DPSOHWKH0D\RU@ Date: 31 $VLD8UEV3URJUDPPH *XLGHOLQHVIRUWKHSUHVHQWDWLRQRIDSSOLFDWLRQV $QQH[% Budget Note: This document is in Microsoft Excel format and is contained in a separate file. $QQH[& Logical framework Note: This document is in Microsoft Excel format and is contained in a separate file. $QQH[' Daily allowance rates (per diems) as of 1 January 2000 Notes: Per diems include all costs: hotels, food and transport within the city. The latest per diem can be found on KWWS HXURSDHXLQWFRPPVFUSHUGLHP. The maximum period for per diem for an expatriate expert is five months. Experts working more than five months in Asia are expected to rent a house or an apartment for the whole duration of the project after the first month. Costs for housing are eligible. Asia Bangladesh 179 euros Bhutan 59 euros Brunei 174 euros Cambodia 139 euros India 213 euros Indonesia 141 euros Laos 79 euros Malaysia 104 euros Maldives 101 euros Nepal 123 euros Pakistan 77 euros Philippines 159 euros Singapore 206 euros Sri Lanka 93 euros Thailand 130 euros Vietnam 107 euros Europe Austria 122 euros Belgium 150 euros Denmark 179 euros Spain 141 euros France 130 euros Greece 113 euros Germany 127 euros Ireland 165 euros Italy 130 euros Luxembourg 143 euros Netherlands 148 euros Finland 156 euros Sweden 157 euros United Kingdom 199 euros Portugal 143 euros $QQH[( Standard contract 1 $QQH[Ã% Ã([SHFWHGÃVRXUFHVÃRIÃIXQGLQJ Amount Percentage EUR of total % Applicant's financial contribution Commission contribution sought in this application Contribution(s) from other European Institutions or EU Member States Contributions from other organisations: 1DPH &RQGLWLRQV TOTAL CONTRIBUTIONS Direct revenue from the project OVERALL TOTAL LOGICAL FRAMEWORK InterventionObjectivelySources anAssumptions logic indicators overification Overall What is theWhat are thWhat are the sources of objectives objective, t to the overainformation for these indicators? will contribute ? $QQH[Ã% Project What are thWhat are thWhat are thWhat are the factors and conditions not purpose project shaqualitative informationunder the direct control of the project whether ancollected? which are necessary to achieve these project’s sprequired to objectives? What risks have to be achieved? considered? Expected What are thWhat are thWhat are thWhat external factors and conditions results achieve thewhether aninformationmust be realised to obtain the expected What are thproject achieves the e outputs and results on schedule? of the projeresults and effects? What improvements and changes will be produced by the project? Activities What are thMeans: What are thWhat pre- conditions are required before and in wha What are thinformationthe project( s) start( s)? the expecteimplement progress? What conditions outside the project’s personnel, equipment,direct control have to be present for the studies, supplies, operimplementation of the planned facilities, etc. activities? $QQH[Ã% Ã3URMHFWÃ%XGJHW $OOà Ã+XPDQÃ5HVRXUFHV 1.1 Salaries (gross amounts, local) 1.1.1 Technical Per month 0 Per month 0 1.1.2 Administrative/ support Staff Per month 0 Per month 0 1.2 Salaries (gross amounts, expat/int. staff) Per month 0 Per month 0 1.3 Per diems for missions/travel 1.3.1 Abroad (project staff) Per diem 0 Per diem 0 1.3.2 Local (project staff) Per diem 0 Per diem 0 1.3.3 Seminar/conference participants Per diem 0 Per diem 0 6XEWRWDOÃ+XPDQÃ5HVRXUFHV Ã7UDYHO 2.1. International travel Per flight 0 Per flight 0 2.2 Local transportationà RYHUÃÃNP Per month 0 Per month 0 6XEWRWDOÃ7UDYHO Ã(TXLSPHQWÃDQGÃVXSSOLHV 3.1 Purchase or rent of vehicles Per vehicle 0 Per vehicle 0 3.2 Furniture, computer equipment 00 3.3 Spare parts/equipments for machines, tools 00 3.4 Other 00 6XEWRWDOÃ(TXLSPHQWÃDQGÃVXSSOLHV Ã/RFDOÃRIILFHSURMHFWÃFRVWV 4.1 Vehicle costs Per month 0 Per month 0 4.2 Office rent Per month 0 Per month 0 4.3 Consumables - office supplies Per month 0 Per month 0 4.4 Other services (tel/fax, electricity/heating, maintenance) Per month 0 Per month 0 6XEWRWDOÃ/RFDOÃRIILFHSURMHFWÃFRVWV Ã2WKHUÃFRVWVÃVHUYLFHV 5.1 Publications** 00 5.2 Studies, research** 00 5.3 Auditing costs 00 5.4 Evaluation costs 00 5.5 Translation, interpreters 00 5.6 Financial services (bank guarantee costs etc.) 0 0 5.7 Costs of conferences/seminars** 00 5.8 Costs for preparing the project 00 6XEWRWDOÃ2WKHUÃFRVWVÃVHUYLFHV $QQH[Ã% $OOà Ã2WKHU 00 6XEWRWDOÃ2WKHU ÃÃ6XEWRWDOÃGLUHFWÃSURMHFWÃFRVWVà 9. Contingency reserve* (maximum 5 % of 8., direct eligible project cost) Ã7RWDOÃGLUHFWÃHOLJLEOHÃSURMHFWÃFRVWVà à 11. Administrative costs (maximum 7 % of 10., total direct eligible project costs) Ã7RWDOÃFRVWV * Contingency reserve can only be used after written approval of the Commission ** Only indicate here when fully subcontracted *** Costs of purchase or rental **** The purchase of land or purchase/construction of buildings is only permitted if indispensable for implementing the project ***** All items must be broken down into their individual components. The number of units for each component must be specified.