EEA Financial Mechanism 2009 2014 Programme Area Funds For Non Governmental Organisations' Guideline For NGO Programmes

EEAFinancialMechanism20092014
ProgrammeAreaFundsforNonGovernmentalOrganisations
GuidelineforNGOprogrammes
Adoptedon25May2011
GuidelineforNGOProgrammes
Index
1. GENERALPROVISIONS ..................................................................................................... 4
1.1
1.2
1.3
2.
NGOPROGRAMMEPRINCIPLESANDOBJECTIVE ............................................................ 5
2.1
2.2
2.3
2.4
2.5
2.6
2.7
2.8
2.9
2.10
3.
Generalprinciples........................................................................................................................... 11
AppointmentofanOperator.......................................................................................................... 11
ContractingofaProgrammeOperator........................................................................................... 11
NGOProgrammeOperatorcharacteristics..................................................................................... 12
ProgrammeApplication.................................................................................................................. 13
ResponsibilitiesoftheProgrammeOperator................................................................................. 13
ManagementcostsoftheProgrammeOperator ........................................................................... 14
Bilateralfunds................................................................................................................................. 15
Complementaryactions.................................................................................................................. 15
PROGRAMMEANDPROJECTIMPLEMENTATION .......................................................... 16
4.1
4.2
4.3
4.4
4.5
4.6
4.7
4.8
4.9
4.10
4.11
4.12
5.
Generalprinciples............................................................................................................................. 5
OverallobjectiveoftheNGOprogrammes ...................................................................................... 5
Eligibleapplicants ............................................................................................................................. 6
Expectedoutcomes .......................................................................................................................... 7
Coreareasofsupport ....................................................................................................................... 8
Additionaleligibleareasofsupport.................................................................................................. 8
Eligibleactivities ............................................................................................................................... 9
Crosscuttingissues......................................................................................................................... 10
Bilateralrelations............................................................................................................................ 10
Crossbordercooperation .............................................................................................................. 10
SETTINGUPOFNGOPROGRAMMES............................................................................. 11
3.1
3.2
3.3
3.4
3.5
3.6
3.7
3.8
3.9
4.
PurposeoftheGuideline.................................................................................................................. 4
Legalframework ............................................................................................................................... 4
Overallfinancialframework ............................................................................................................. 5
Opencallsandavailabilityoffunds ................................................................................................ 16
Processingofapplications .............................................................................................................. 17
Selectioncriteria............................................................................................................................. 18
Projectlevelpartnership ................................................................................................................ 18
Grantsizeandrateatprojectlevel ................................................................................................ 19
Durationofprojects........................................................................................................................ 20
Predefinedprojects ........................................................................................................................ 20
Programmelevelreporting ............................................................................................................ 20
Projectlevelreporting .................................................................................................................... 20
Monitoringandevaluation ............................................................................................................. 21
Complianceassessmentandaudits................................................................................................ 21
VisibilityandPublicity..................................................................................................................... 21
FINANCIALMANAGEMENT ............................................................................................ 22
5.1
5.2
5.3
5.4
Eligibilityofexpenditure................................................................................................................. 22
PaymentstoProgrammeOperator ................................................................................................ 23
Paymentstoprojects...................................................................................................................... 24
Financialcorrectionandsuspensionofpayments ......................................................................... 24
1. GENERALPROVISIONS
Supportto civilsocietyis oneofthekeypriorities ofthe EEAFinancial Mechanism(FM)20092014.
This commitment particularly reflects recognition of the role of NonGovernmental Organisations
(NGOs) as a fundamental building block in the development of fair, democratic and sustainable
societiesinEurope.
In both the EEA and Norwegian Financial Mechanisms for the period 200914, funding is made
available through a wide range of programme areas in which NGOs are eligible applicants.
Nonetheless,aspecificprogrammeareaexclusivelyinsupportofNGOshasbeenearmarkedunderthe
EEAFM.TheaimistoprovideflexibleandaccessiblefundingtoeligibleNGOs,whichshallcontribute
tofosteranenablingenvironmentforthesector,strengthenitscapacityandenhanceitscontribution
tosocialjustice,democracyandsustainabledevelopment.
1.1
PurposeoftheGuideline
ThepurposeofthepresentGuidelineistoclarifyspecificreferencesintheRegulationrelevanttothe
programme area Funds for Nongovernmental Organisations and provide guidance to Focal Points
andProgrammeOperatorsonspecificsectorrelatedissuesinthedevelopmentandimplementation
ofNGOprogrammesintheBeneficiaryStates.InthecaseofProgrammesentrustedtotheFMO,who
willcontractafundoperator,theRegulationshallnotapply.Insuchcasesonlysectorspecificissues
referredtointhisGuidelineshallapplyandwillbereflectedinthefundoperatortermsofreference
andintheimplementationagreementwiththeselectedoperator.
ThisGuidelineisbasedontheFMlegalframework,findingsfromtheEvaluationoftheNGOFunds
20042009andinputfromtheNGOandBeneficiaryStateonlineconsultationonproposalsforfuture
supporttocivilsocietyopenfrom10Septemberto5November2010.
1.2
Legalframework
The following documents constitute the legally binding framework which applies to and is not
replacedbythepresentGuideline:
- Protocol38boftheEEAAgreementestablishinganEEAFinancialMechanism;
- TheMemorandumofUnderstanding(MoU)ontheEEAFinancialMechanismsignedbetweenthe
DonorStatesandBeneficiaryState.
- Regulation on the implementation of the European Economic Area Financial Mechanism 2009
2014andAnnexes;
- The description for Programme Area 10 Funds for Nongovernmental Organisations (Funds for
NGOs)undertheprioritysectorCivilSocietyoftheEEAFinancialMechanism.
TheGuidelinecontainsreferencestorelevantarticlesoftheRegulation,whicharereferredto
eitherexplicitlyorinbracketsthroughoutthetext.Thisdoesnotdispensetheuserfromhavingto
refertotheRegulation,whichwillapplyinthecaseofinconsistency.Specialnoteshouldbetaken
ofAnnex9totheRegulation,theProgrammeOperatorsManual(POM)whichshouldbereadin
parallelwiththisGuideline.
TheGuidelinehasbeenadoptedinaccordancewithArticle1.4.1(d)oftheRegulation.
1.3
Overallfinancialframework
Atleast10%oftheEEAFinancialMechanismallocationperBeneficiaryStateistobesetasideforthe
prioritysectorCivilSocietyaccordingtoProtocol38b.Thisprioritysectorincludesonlytheprogramme
AreaFundsforNonGovernmentalOrganisations,whichwillbereflectedinNGOprogrammes.Inall
BeneficiaryStates,supporttocivilsocietyshallmeetthisrequirement.
2. NGOPROGRAMMEPRINCIPLESANDOBJECTIVE
2.1
Generalprinciples
NGO programmes shall be established in all Beneficiary States of the EEA Financial Mechanism. At
nationallevelthesemaybereferredtoasNGOFund.
NGOprogrammesshallbeestablishedbasedonaResultsbasedmanagementapproach(seeAnnex9
oftheRegulation,ProgrammeOperatorsManualPOM)andwillsetclearobjectivesandoutcomes
thatfocusontheresultsoftheinterventionsonpeopleandsystems,andindicatorswithtargetsand
baselines,usedtoassessmeasurableprogresstowardsdesiredresults/impact.
In order to ensure a common approach, an overall objective has been established for the NGO
programmes and a set of expected outcomes have been defined, upon which national programmes
shallbebased.
2.2
OverallobjectiveoftheNGOprogrammes
TheobjectiveofallNGOprogrammesshallbetoachieveastrengthenedcivilsocietydevelopmentand
enhancedcontributiontosocialjustice,democracyandsustainabledevelopment.
TheNGOprogrammesshallmoreoversupporttheoverallobjectivesoftheFinancialMechanismsto
contributetothereductionofeconomicandsocialdisparitiesintheEuropeanEconomicAreaandto
strengthenbilateralrelationsbetweentheDonorState(s)andtheBeneficiaryStates.
2.3
Eligibleapplicants
An eligible applicant is defined as a Nongovernmental organisation (NGO): a nonprofit voluntary

organisation established as a legal entity, having a noncommercial purpose, independent of local,
regional and central government, public entities, political parties and commercial organisations.
ReligiousinstitutionsandpoliticalpartiesarenotconsideredNGOs(Art.1.5.m).
ProgrammeOperatorsshallapplytheabovedefinitionandprovideforspecificconcernsinlinewith
thepresentGuidelineandinconsultationwiththeFMC.ItisrecognisedthattheregistrationofNGOs,
and therefore their establishment as legal entities, differs nonetheless from country to country.
EligibleapplicantsforfundingundertheNGOprogrammesshallnonethelessbeorganisationsusually
meetingthefollowinggeneralprinciples:
- arenonprofit,beingorganisationsthathavenotbeencreatednoroperatetogeneratepersonal
profit.Althoughtheymayhavepaidstaffandmayengageinrevenuegeneratingactivitiestheydo
not distribute profits to their members nor to their board. Where revenuegenerating activities
areundertaken,theseshouldnotrepresentthepurposeoftheNGObutshouldbesolelyameans
tosupportitsmissionandvalues;
- havememberswhodonothaveanydirectcommercialinterestintheoutcomeoftheworkofthe
organisationorofitscommercialactivitiesandshouldnotpursuethecommercialorprofessional
interests of their members. This requirement therefore excludes trade and professional
associations,wheretheaimsandpurposesoftheassociationistofurtherthespecificinterestsof
itsmembersonly;
- are voluntary in nature, formed voluntarily by groups or individuals and usually involving an
elementofvoluntaryparticipationintheorganisation;
- actinthepublicarenaandforthepublicgoodonconcernsandissuesrelatedtothewellbeingof
people,groupsorsocietyasawhole;
- havesomedegreeofformalorinstitutionalexistence,unlikeinformaloradhocgroups,involving
formalstatutesorothergoverningdocumentsdefiningtheirmission,objectivesandscope;
- are membershipbased, with transparent structures and elected chair / board, and are
accountabletotheirmembersanddonors;
- areindependentoflocal,regionalandnationalgovernmentandotherpublicauthorities,
- areindependentofpoliticalpartiesandcommercialorganisations.
Politicalparties,religiousinstitutions 1assuch,socialpartners 2orprofitdistributingcooperativesare

not considered NGOs. Social enterprises 3, foundations 4, faithbased organisations 5 and the national
RedCrosssocietiesareconsideredeligibleNGOsiftheyfulfiltheaboveprinciples.
Religiousinstitutionsdonotincludefaithbasedorganisationsasdescribedbelow,whichareeligible.
Socialpartnersaredefinedastradesunionsandemployersnegotiatingbodies,asdefinedbytheEU.
3
Itisrecognisedthatinmanycountries,socialenterprisesarenotdefinedwithincurrentlegislation.Wheresocialenterprises
canmeettheothercriteriagiveninthissection,theymaybeconsideredforsupport,
4
Itisrecognisedthatmostfoundationsarenotmembershiporganisations.Foundationsarenonethelesseligibleforsupport,
if independent from political party or governmental control or from the control of a small group that derive any personal
benefitsfromthefoundation.Theywillbeexpectedtobefoundationsthataresetupprimarilyforpublicbenefit.
2
InordertofacilitatethewidestpossibledevelopmentoftheNGOsectortorespondtoneedsineach
country, NGOs that are eligible for funding according to these principles will be enabled to partner
withcertaintypesoforganisationsthatarenototherwiseeligibleasapplicantsforfundinginlinewith
section4.4ofthepresentGuideline.
2.4
Expectedoutcomes
NGOprogrammesareexpectedtoidentifyandcontributetoseveraloftheoutcomesidentifiedbelow
andincludedinthePOM:
Activecitizenshipfostered
IncreasedinvolvementofNGOsinpolicyanddecisionmaking processeswithlocal,regionaland
nationalgovernments
Crosssectoral partnerships developed, particularly with government organisations at local,
regionaland/ornationallevel
Democraticvalues,includinghumanrights,promoted
Advocacyandwatchdogroledeveloped
DevelopednetworksandcoalitionsofNGOsworkinginpartnership
StrengthenedcapacityofNGOsandanenablingenvironmentforthesectorpromoted
Increasedcontributiontosustainabledevelopmentachieved
Provisionofwelfareandbasicservicestodefinedtargetgroupsincreased
Empowermentofvulnerablegroups
Theexpectedoutcomesidentifiedabovereflectontheimportanceofsupportingprocessesthatlead
tochangeandembedsuchchangeinfutureapproaches,thuscontributingtosustainability.Focusing
the NGO programmes on changes in processes is expected to increase NGOs role in promoting
appropriate democratic responses to societal issues, demonstrate how new approaches can bring
widersocietalbenefits,andraiseawarenessofissuesofconcern.
Thisapproachshallenabletheprogrammestocontributetowards:
@
@
@
changed thinking, through methodologies and processes, which demonstrate different ways of
engagingpeopleinresponsestotheneedsintheircommunities;
opening up space for wider discourse and action on responses to the needs of marginalised
groupsandcommunities;
demonstrating how services can be provided more effectively, how local communities can be
developed,andissuesofconcernbeaddressed.
Moreover,theabovementionedsuggestedoutcomesshalladdressthefollowingneedsandconcerns:
Faithbasedorganisationsareeligibleiftheymeettheprinciplesidentifiedinsection2.3andifthefundedactivitiesdo
notdirectlyorindirectlypromoteareligiousdoctrine,missionorproselytismrelatedtothebeliefsofaparticularfaith
(beyondbasicreligious/culturalawarenessraising).
@
@
@
@
@
@
to increase citizen engagement, in relation to both advocacy (citizen engagement in decision

making)anddevelopingvolunteerism;
toincreaseunderstandingbetweenNGOsandgovernmentandtolookforcommonapproachesto
solutionsforsocietalproblems(social,economic,environmental);
to strengthen coalition building and partnership working between NGOs (including skills and
experiencetransferfromlarger,strongerNGOstosmaller,newerandregional/localNGOs);
to increase focus on advocacy and watchdog roles of NGOs, particularly in relation to the
transparencyandaccountabilityofstateinstitutions;
totacklepersistentconcernsintermsofaddressingdiscrimination,exclusion,inequality,respect
ofhumanrightsanddemocraticprinciplesandprocesses;
to address longerterm capacity of NGOs, and not just focus on immediate and shortterm
problemsolving.
2.5
Coreareasofsupport
Atleastonethirdoftheregrantingallocationtotheprogrammeshallbefocusedonthecoreareasof
support identified below, as critical areas where NGOs can play a specific role and foster positive
change:
Democracy
Humanrightsincludingminoritiesrights(ethnic,religious,linguisticandsexualorientation)
Goodgovernanceandtransparency
Participatorydemocracy
Combatracismandxenophobia
Antidiscrimination
Socialinequalities,povertyandexclusion,includinginruralareas
Genderequality
Genderbasedviolence
Atleast10%ofthetotalallocationtoaprogrammeshallbeallocatedtochildrenandyouthdriven
organisationsand/oractivitiestargetingchildrenandyouth.
Whilethemainfocusandspecificconcernsintheprogrammeareamightbedefinedinbroadtermsin
theeachMemorandumofUnderstanding(MoU),furtherfocusandareasspecificallyrelevanttocivil
society in individual Beneficiary States will be defined in the programme Proposal, to the greatest
extentpossibleinconsultationwiththesector.
2.6
Additionaleligibleareasofsupport
Inadditiontothecoreareas,thefollowingareasandactivitiesarealsoeligibleforsupport:
Protectionoftheenvironmentandclimatechange:
Awarenessraisingandcivicparticipation
Developumbrellaorganisationsand/ornewnetworksonbiodiversity/climatechange
NGOinvolvementinnationalactionplansrelatedtobiodiversityand/orclimatechange
Mobilisinglocalinvolvementtoprotectbiodiversity
Environmentaleducationalactivitiesandtrainingforteachers
Provisionofwelfareandbasicservices:
Provision of key services to vulnerable groups: children and youth at risk, people affected by
HIV/AIDS, children with disabilities and/or mental disorders and their families, victims of
trafficking and genderbased violence and/or domestic violence, where such services are not
otherwiseornotadequatelyprovidedbygovernmentalinstitutions.
2.7
Eligibleactivities
The NGO programmes aim to strengthen the sector, and its contribution to key challenges. In this
respect,thefollowingactivitiesareproposedaseligibleforsupportundertheNGOprogrammes:
Fosteringactivecitizenshipandparticipatorydemocracy,includinggrassroots/locallevel
Advocacy,watchdogandmonitoringactivities
Awarenessraisingactivities
Multiculturaldialogueactivities
Participationinpolicyanddecisionmakingprocesses
CapacitybuildingandorganisationalsupporttoNGOs
StrengtheninggovernanceinmembershipbasedNGOs
Networkandcoalitionbuilding
Mutuallearninganddissemination
Educationandtrainingactivities
Culturalinitiativestopromotekeyareasofsupportasmentionedabove
Provisionofwelfareandbasicservices
Theprovisionofwelfareandbasicservicesshallbesupportedwheresuchservicesarenototherwise
or not adequately provided by governmental institutions, where NGOs can provide the most
appropriate, affordable or accessible service, or where they can establish innovative or essential
services that are not currently being provided. Such activities should, where possible, be combined
with support to soft measures such as promotion of volunteerism, advocacy, empowerment and
participationoftargetgroups,capacitybuildingetc.
Programmes are expected to support capacity building and organisational development per se, or
include this in the framework of a project application. Capacity building may also be linked to the
future development of bilateral partnerships and the sharing of learning about good practice
processes in relation to the areas of support and expected outcomes outlined in the suggested
programmes.
2.8
Crosscuttingissues
Theprinciplesofgoodgovernance,sustainabledevelopment,genderequalityandequalopportunities
shallbeappliedinallimplementationphases(Art.1.6).Guidelinesareprovidedonhowtoeffectively
ensurethatsuchcrosscuttingissuesaretakenonboardintheprogrammedesignandatprojectlevel
(section2.7ofthePOM).Guidelinesforapplicantsatnationallevelareexpectedtoclarifyhowthese
issueswillbeaddressedinprojects.
2.9
Bilateralrelations
Bilateral relations between Beneficiary and Donor States shall be encouraged through the NGO
programmes,inlinewiththeoverallobjectiveoftheEEAFinancialMechanism.Thepracticaltoolsand
implementationofbilateralpartnershipsaredetailedinsection3.8ofthepresentGuideline.
NGO programmes shall usually not be Donor Partnership programmes. Bilateral cooperation shall
ratherincludeoutreach,networkingandexchangeofknowledgeatProgrammeOperatorleveloutside
a programme partnership agreement and/or be reflected in the development and establishment of
cooperation at project level both within donor partnership projects and on a more ad hoc basis by
projectswithoutaformalpartnershipagreementthroughexchangeactivities.
Infacilitatingcooperation,theProgrammeOperatorshallconsiderthefollowing:
-
encouragebilateralrelationsthatcanactivelycontributetotheexpectedobjectiveandoutcomes
oftheNGOprogramme;
encouragecooperationthatismutuallybeneficialandbasedoncommoninterests.
make use of Donor State information tools and channels available to facilitate bilateral
cooperation. In the case of Norway, the Norwegian Helsinki Committee shall act as facilitator in
buildingbilateralcontacts,includingthroughthewebsitewww.ngonorway.org.
Moreover,infacilitatingconcretepartnershipbuildingtheOperatorshall:
-
allowforadequatetimeframesforpartnershipdevelopment;
allowforadequateinformationopportunitiesonpartnershipbuilding;
identifylegalbarrierstopartnershipsandexplorehowtoovercomethese.
2.10 Crossbordercooperation
AnNGOprogrammemayberelevantforcooperationbetweenentitiesinaBeneficiaryStateandina
countryoutsidetheEEAthathasacommonborderwiththerespectiveBeneficiaryState.Crossborder
projects are therefore eligible, if they contribute to the NGO programme outcomes identified in
section2.4oftheGuideline.
10
3.
3.1
SETTINGUPOFNGOPROGRAMMES
Generalprinciples
Theprogrammesshallapplythehighestdegreeoftransparency,accountabilityandcostefficiencyas
well as the principles of good governance, sustainable development, gender equality and equal
opportunities in all implementation phases. The Donor States exercise zerotolerance towards
corruption(Art.1.6).
DuringtheMoUnegotiationbetweenDonorStatesandBeneficiaryState,theallocationfortheNGO
programmeshallbeset.
3.2
AppointmentofanOperator
The management of the NGO programme shall be of the responsibility of an Operator, whose
appointmentprocedureshallbedefinedintheMoU.UnlessanentityisalreadyidentifiedintheMoU,
thefollowingoptionsmaybeproposed:
appointment of a Programme Operator by the Focal Point in consultation with the FMC (Art.
4.2.4);
the NFP, with the consent of the FMC, entrusts the FMO as Programme Operator who shall
appointandcontractafundoperatortoensureimplementationoftheprogramme(Art.5.13).
IndesignatingtheProgrammeOperatorforNGOprogrammesand/orinpreparingtenderingorsuch
documentationasisnecessarytoappointtheOperator,theFocalPointshallconsultwiththeFMCon
thecriteriaandduringtheselectionprocedureofsuchanOperator.
IntheeventofappointmentoftheFMOasProgrammeOperator,theprovisionsoftheRegulationdo
not apply, and the present Guideline is also not directly applicable. Nonetheless, in such cases the
fund operator terms of reference and implementation agreement shall be broadly based on the
provisionsofboththeRegulationandthepresentGuideline.
WhenaprogrammeisbeingoperatedbytheFMOorotherinternationalentities,theBeneficiaryState
bears no responsibility for the implementation of the programme, financially or otherwise (Art.
5.13.5).
Aprogrammemaybeoperatedbyaconsortiumofseveralentities,eachhavingspecificcompetences,
experienceandknowledgewhichtogetherwillstrengthenthemanagementcapacity/expertiseofthe
Operator.Theprogrammeproposalshouldspecifytheaddedvalueofsuchaconsortiumandtheset
upofthepartnershipthisentails.
3.3
ContractingofaProgrammeOperator
The Programme Operator shall enter into a programme implementation agreement with the Focal
Pointfortheoperationoftheprogramme(Art.5.8).InthecaseofprogrammesoperatedbytheFMO,
animplementationagreementshallbeestablishedbetweentheFMOandthefundoperator.
11
3.4
NGOProgrammeOperatorcharacteristics
TheProgrammeOperatorshallhavestrongtiestotheNGOsector.TheProgrammeOperatorshallbe
autonomous of national, regional and local governmental institutions. Should such an autonomous
ProgrammeOperatorbeunattainable,theFMCmayinexceptionalcaseswaivethisrequirementbut
onlytotheextentnecessary(Art.4.2.4).
Moreover,thefollowingcharacteristicswouldbeexpectedofanNGOProgrammeOperator:
Knowledge:
@ be knowledgeable about the NGO sector in the Beneficiary State, fully understand the needs of
the sector, and be capable of responding to these needs with active and trusting relationships.
Knowledge should extend to all parts of the NGO sector, including grass roots, regional and
nationalgroups;
Understanding
@ seek clear evidence of needs in developing an NGO programme proposal, engaging the NGO
sectorintheprocess;
@ haveapartnershipapproachtoworkingwithNGOsandgovernment.
@ work flexibly to take account of project ideas (including in the training of the assessors), rather
thanconsideringonlytheskillofanNGOinsubmittingawellwordedproposal;
Independence
@ beindependentofgovernmentatalllevels;
@ ensurethatgrantsareallocatedaccordingtothefocusoftheNGOprogrammeitselfratherthan
anydirectorindirectpoliticalconsiderations;
Managementcapacity
@ have experience / understanding in running programmes that involve regranting, detailed
proposalswithtargetsandoutcomes,andunderstandingof nationallaws,rulesandprocedures
thatapplytothemanagementofpublicmoney;
@ ensurecleartransparentassessmentprocessesforgrants;
@ haveexperienceofdevelopingmanualsandaccountingsystemsthatreflectthesizeofthegrant
andyetprotectsmallNGOsfromunreasonabledemands;
@ havesystemsforimplementinggoodcommunicationandpublicitytoolsandeventsetc.;
@ ensureefficientreporting,financialmonitoringandpaymentsystems;
@ ensure monitoring and evaluation procedures that focus on outcomes not just targets and
outputs,andencourageselfevaluationinendbeneficiaries;
@ ensurethatsmallerNGOswithoutaccesstoadditionalresourcesarenotdisadvantagedbyslow
paymentmechanisms;
Capacitybuilding
@ provide ongoing outreach work and support to projects throughout the project cycle, including
trainingon applicationwritingandsubmission,implementation,reporting,andopportunitiesfor
experience sharing between funded projects as well as monitoring. This will be particularly
importantinencouraginglearningtransferandcontributingtostrengtheningthesectoritself.
12
3.5
ProgrammeApplication
The Programme Operator shall submit through the Focal Point a formal proposal for an NGO
programme within eight months of the date of its designation as Operator, and no later than 31
January 2013. Guidelines for completing the programme proposal are provided in Chapter 3 of the
POM.
InordertoensureconsistencywiththeRegulation,withthepresentGuidelineandwiththeobjectives
and expected outcomes of the programme area, the FMO may be consulted for advice during the
preparationoftheprogrammeproposal(Art.5.1.4).
The Programme Operator shall ensure that the proposal provides an effective contribution to the
overallobjectiveoftheProgrammeandtakesdueaccountofspecificconcernsreferredtointheMoU,
and to specific challenges in the sector. Where NGO stakeholder meetings and other consultations
havebeenheldintheBeneficiarystate,theoutcomeofsuchprocessesshallbeconsideredindefining
thescopeoftheproposal.Costsforpreparationofprogrammesmaybecovered(Art.7.9).Thesemay
includeamongothersstudiesoforpublicconsultationwiththesectorwhichmayassistindefiningthe
focusandsetupoftheprogramme.
Inpreparingtheprogrammeproposal,theOperatorshallidentifytheappropriateexpectedoutcomes,
activitiesandareasofsupportasreferredtoinChapter2ofthisGuidelinewhichwillbestcontribute
to achieving the overall objective of the NGO programme in their country. Expected outputs and
objectivelyidentifiableindicatorsshallalsobedefinedforeachexpectedoutcome(section2.8ofthe
POM).Indicatorsarenotrequiredforobjectivelevel.
Operatorsarerequestedtodrawfromthestandardisedlistofindicators(section2.8.1ofthePOM),
consisting of quantitative indicators in drawing up their list of relevant measurement indicators.
However, in order to assess outcomes or outputs, Operators are asked to also include more
programmespecificquantitativeandqualitativeindicators.
The FMC shall appraise and approve the programme proposal within four months of receiving all
relevant documents / information (Art. 5.3); and subsequent changes in the approved programme
proposalshallbetreatedasperArticle5.9oftheRegulation.
TheProgrammeproposalshallbesenttotheEuropeanCommissionforscreening(Art.5.10).
3.6
ResponsibilitiesoftheProgrammeOperator
TheProgrammeOperatorisresponsibleformanagingtheprogramme(Art.4.7).InthecaseofanNGO
programme,thePOshallspecifically:
@
ensure that the NGO programme proposal, set up and implementation contribute to
strengthening civil society development and enhance the sectors contribution to social justice,
democracy and sustainable development, as outlined in the overall objective of the programme
area.
13
@
@
@
@
@
provide capacitybuilding, mentoring, support and learning transfer opportunities to projects

throughout the application and project cycle in connection with the identified overall objective
andexpectedoutcomes.Thisincludesbutisnotlimitedto,respondingtoquestionsfrompotential
applicants,conductingseminars/workshopsforNGOsandpublishinginstructionsandguidelines
forapplicants;
organise calls for proposals that take into account the specific needs of the sector in terms of
geographical spread, capacity etc. and propose adequate application forms, procedures and
supportwhichwillcaterfordifferentneedswithinthesector;
setupanindependentevaluationteamandaSelectionCommittee,includingrelevantNGOsector
experts(Art.6.4);
implementinformationandcommunicationactivitieswhichreachouttothesector;
facilitateandencouragebilateralexchangeatprogrammeandprojectlevelwhichwillbemutually
beneficialandcontributetotheobjectiveoftheprogramme;
defineadministrativeproceduresandmanagethefundsforbilateralrelationsatprogrammelevel
inawaythatwillfacilitatesuchexchanges;
ensure financial flows and fund transfers that will not put projects at risk and ensure adequate
financialcontrol;
ensureproportionaterequirementsinmanagement,reportingandcontrol.
The Programme Operator and FMO may have direct contact during the programming and
implementationphase.
3.7
ManagementcostsoftheProgrammeOperator
The maximum management cost of a programme shall be calculated as a percentage of the total
eligibleexpendituresoftheprogramme.Itshallbethesumofthefollowingamounts(Art.7.10.2):
(a) 10%ofthefirst10million;
(b) 7%ofthenext40million;
(c) 5%ofthenext50million;
(d) 4%oftheremainingtotaleligibleexpendituresoftheprogramme.
NGOProgrammeOperatorsmaysuggestintheirproposalahigherceilingforthemanagementcosts
butnevermorethan30%abovetheceilingstipulatedabove,inordertomeetobligationsrelatedto
capacitybuildingofthesector.Suchaceiling,ifapprovedbytheFMC,shallbeexplicitlystipulatedin
theprogrammeagreement.Theceilingformanagementcostsandcomplementaryaction(seesection
3.8 of the present Guideline) combined shall not exceed 15% of the total eligible cost of the
programme(Art.7.10.4).
Eligibleactivitiesincludekeyprogrammemanagementtasksbutalsocapacitybuildingactivitiessuch
astrainingpotentialNGOapplicantsandProjectPromotersincomplyingwiththerequirementssetby
the Programme Operator for project applications and/or project implementation (Art. 7.10.3.b).
Capacitybuilding activities at Programme level are essential in strengthening NGO applicant and
individual Project Promoters own capacity, including in further applying for and implementing
projects.
14
3.8
Bilateralfunds
BilateralrelationswithDonorStatepartnersshallbeencouragedthroughtheNGOprogrammesand
specificfundingshallbesetasideasfollowstosupportsuchcooperation:
FundingforProgrammelevelactivities:
a) Funds at national level for bilateral relations (Art. 3.5): These funds represent 0.5% of the
Beneficiary States total allocation and are intended to facilitate outreach and networking
betweentheProgrammeOperatorsandpotentialprojectpartnersfromtheDonorStatespriorto
or during the preparation of a programme proposal and during the implementation of the
programme.TheNationalFocalPointshallmanagetheuseofthefunds.Thefirstdateofeligibility
forthesefundsisthedateofthelastsignatureoftheMoUwiththerespectiveBeneficiaryState.
b) Complementaryactionsfunding(seesection3.9oftheGuideline)
Fundingforprojectlevelactivities:
a. SeedmoneyFundsforprojectapplicantstofacilitatebilateralcooperation(Art.3.6)through
supporttothefollowing:
(i)
thesearchforprojectpartnersfromtheDonorStatespriortoorduringthepreparation
ofaprojectapplication;
(ii) thedevelopmentofsuchpartnerships;and
(iii) thepreparationofanapplicationforadonorpartnershipproject.
b. Fundsforapprovedprojects,tofacilitatebilateralcooperationbetweenPromotersandDonor
State entities, whether or not they are project partners, to facilitate networking, exchange,
sharing and transfer of knowledge, technology, experience and best practices within the
programmesapprovedprojects(Art.3.6.3).
Thecombinedallocationtothefundsreferredtoa)andb)aboveshallnotbelessthan1.5%ofthe
eligibleexpenditureoftheprogramme.
EligibilitycriteriaofsuchcostsaredetailedinArticle7.7oftheRegulation.TheFMCcaninjustified
caseswaivetherequirementforeitherofthefundsavailableatprojectlevel.
The applicable rules on state aid and public procurement shall be complied with (Art. 3.6.6). The
selection procedures and criteria for awarding support from these funds, the grant rate and the
maximum grant amount shall be suggested in the programme proposal and set in the programme
agreement.TheOperatorshouldalsodefineproportionateproceduresforreportingonsuchcosts.
3.9
Complementaryactions
As well as specific managementrelated activities, the NGO Programme Operators may undertake
complementary actions (Art. 7.11). These relate to targeted, mutually enhancing peertopeer
exchangesofpracticesbothwithotherOperatorswithintheBeneficiarystatesandalsowithsimilar
entitiesintheDonorStates.
Suchactionsaimat:
15
strengthening cooperation between the Programme Operators and similar entities within the
BeneficiaryStatesandDonorStates;
exchangingexperiencesandbestpracticesrelatedtotheimplementationoftheprogramme.
A specific allocation shall be set aside to support such actions. The following categories of
complementaryactionmaybeeligible,providedthattheexpenditureisproportionateandnecessary:
@
@
costsofevents,suchasrentoffacilities,interpretation,travelcosts,subsistenceallowance,and
publicitycostsdirectlyrelatedtotheconference;and
salaries,travelcostsandsubsistenceallowanceofpersonnelofentitiesotherthantheProgramme
Operator that are directly involved in the complementary action, and of personnel of the
Programme Operator when such cost can be clearly separated from costs related to the
managementoftheprogramme.
CostsofcomplementaryactionmayinthecaseofNGOprogrammesbeofanamountequalto30%of
management costs and on top of these, subject to a combined maximum ceiling (management plus
complementaryaction)notexceeding15%ofthetotaleligiblecostoftheprogramme.
CostsforcomplementaryactionmustbeexplicitlyapprovedbytheFMCandspecifiedinthedetailed
budgetoftheprogramme,annexedtotheprogrammeagreement.
4.
4.1
PROGRAMMEANDPROJECTIMPLEMENTATION
Opencallsandavailabilityoffunds
TheProgrammeOperatorshallberesponsibletolaunchopencalls(Art.6.3).Thefollowingprinciples
shouldbetakenintoaccountinthecaseofNGOprogrammes:
- eligibilitycriteriaandfocusofthecallshouldbeclearlydefined;
- thenumberofcallsforproposalsshouldbeappropriatelyplanned;
- the number of calls should be reduced to a minimum necessary to allow for sufficient time to
providedevelopmentsupportforprojects.Nonetheless,itshouldalsoreflecttheneedtoprovide
foropportunitiestoreapply,wherefurthertimeisneededfordetailingproposals,orforpossible
dissemination or followup of innovative projects; where programme proposals allow for
resubmission;
- preannouncementofthecallsisencouragedinordertofacilitateapplicantspreparationforthe
upcomingcall,andtakingintoaccountregionaloutreach,languageneedsetc.;
- where appropriate, definitions of size and scales of funding available (for example micro/
small/medium/large)shouldbeprovided,takingaccountofthesizeanddiversityoftheNGO
sectorinthecountryandinanefforttoensurealevelplayingfieldforallapplicants;
- callsshouldclearlyhighlightwhereaspecifictypeoffocuswouldberelevantandcouldbeunder
representede.g.ruralareas,specifictargetgroups,etc.;
16
appropriate application forms should be prepared: the principle of proportionality should be

appliedandOperatorsshouldconsidersimplifiedproceduresforsmallergrants;
applicationformsshouldguidealessexperiencedapplicantthroughtherequirementsofaproject
proposal,withguidelinesforapplicantsthatareclearandindicateclearlywhatisrequiredineach
sectionofanapplicationform;
the introduction of a twostage application process, with an outline proposal and full proposal
development for those outlines passing the initial stage assessment may be envisaged where
appropriate,includingwheretheNGOprogrammesupportsthedevelopmentofinnovativeideas
orforlargerscaleapplications;
workshops or other kinds of support at the preapplication stage shall be organised as ongoing
mentoringandsupportthroughtheapplicationprocess,toprovidedetailedguidanceonwhatwill
belookedforintheproposalforfunding;
partnership/coalitionapplications,particularlywheretheNGOsectorisverycompetitive,should
be encouraged, as should coalitions between experienced and less experienced NGOs, where
directorindirectcapacitybuildingcanbeachieved;
encourage and facilitate reachout to Donor State organisations, including information on seed
moneyforbilateralpartnershipbuilding.
4.2
Processingofapplications
The Programme Operator shall establish a Selection Committee consisting of at least three persons
possessingtherelevantsectorexpertiseandexperienceofworkingon/withcivilsociety.Atleastone
ofthemshallbeexternaltotheProgrammeOperator(Art.6.4).
The FMC and the NFP shall be invited to participate in the meetings of the Selection Committee as
observers.
SelectionproceduresshouldbedefinedbytheProgrammeOperatorinaccordancewithArticles6.4
and6.5oftheRegulation.TheProgramme Operatorshallreviewtheapplicationsforadministrative
andeligibilitycriteriacompliance,informrejectedapplicantsandgrantappealtime.TheProgramme
Operatorshallappointindependentandimpartialexternalexpertstoscoreprojectsaccordingtothe
selection criteria. Such experts shall have no direct or indirect interests that are or appear to be
incompatiblewiththeimpartialexerciseoftheirfunction(Art.6.5).Applicationsshallbeassessedby
twoexperts,andwherethedifferenceinexpertsscoresisabove30%,athirdexpertshallassessthe
application.
Experts can be selected either through an open call for tender, or invited on the basis of previous
experience,eitherinNGOfundingworkorrelevantworkwithregrantingagencies,ministriesorother
fundinginstitutions.
TheProgrammeOperatorisresponsibleforensuringaclearandtransparentselectionprocedureand
takingappropriatemeasuresinthecasethataconflictofinterestsituationarises.
TheProgrammeOperatorshallsubmitthelistofrankedprojectstotheSelectioncommittee,andin
EnglishtotheFMC.TheSelectioncommitteeshallmakedecisionsontheapplicationsaccordingtothe
procedureoutlined(Art.6.5).
17
TheProgrammeOperatordecidesontheprojectstobesupportedbasedontheSelectioncommittees
recommendation. Modifications to the recommendations of the Selection committee shall be
justified.
Both successful and unsuccessful project applicants shall be informed of the outcome of their
application. Unsuccessful applicants will be provided with feedback on why their projects were not
approvedforfundingorwhatriskswereidentifiedthatpreventedfunding,andprovisionsforappeal
willbeestablished.
4.3
Selectioncriteria
SelectioncriteriashallbespecifiedintheProgrammeProposalandintheopencalls.Criteriashallbe
defined by the Programme Operator and will be linked to scoring in the assessment of the
applications. It shall relate to how the project contributes to the programmes objective, expected
outcomesandoutputs,andshallincludebutnotbelimitedtothefollowing:
- Relevanceoftheproject
- Methodology
- Coherencebetweentheobjectives,activities,outputsandresults
- Experienceandcapacityoftheapplicant
- Sustainability
- Innovativeness
- Capacitybuildingpotential
- Impactoncrosscuttingissues
- Communicationplan
- Valueformoney
Aminimumrequiredscoreforkeycriteria,suchasrelevanceoftheprojecttotheNGOprogramme
objectiveandoutcomescouldbeset,aswellasaminimumtotalscoreforaproject.
TowidenaccesstoNGOprogrammes,assessmentcriteriamayuseweightingwherespecifictypesof
projectsareunderrepresentede.g.ruralareas,specifictargetgroups,minoritiesetc.Thisshouldbe
integratedaspartofatransparentprocesse.g.throughthepublicationofselectioncriteria.
4.4
Projectlevelpartnership
Partners in projects are public or private entities, commercial or noncommercial, as well as non
governmentalorganisations,allofwhoseprimarylocationsareeitherintheDonorStates,Beneficiary
States or a country outside the European Economic Area that has a common border with the
respective Beneficiary State, or any intergovernmental organisation, actively involved in, and
effectively contributing to, the implementation of a project. It shares with the Project Promoter a
commoneconomicorsocialgoalwhichistoberealisedthroughtheimplementationofthatproject
(Art.1.5.1w).
Project partnership shall conform to national legislation on public procurement and state aid.
Partnershipscanbebothbilateral,involvingDonorStateprojectpartners,asdescribedinsection2.9
18
of the Guideline, or involve Beneficiary state partners. Some examples from the above, beyond
partnershipswithotherNGOs,mayinclude:
thinktanksandacademicinstitutionswheretheywillcontributeexpertisetoaproject,particularly
whereaprojectisinnovativeinnatureandwhereresearchintotheoutcomes/resultsofaproject
wouldbevaluableforwiderlearning,disseminationandreplication.
statutorybodiesandagencies(localgovernments,nationalgovernmentagenciesetc),inbuilding
crosssectoralpartnerships.
Projectpartnershipsshallbeestablishedthroughpartnershipagreementswiththepartnersandbein
Englishinthecaseofdonorpartnerships.Partnershipagreementstemplatesshallbeproposedbythe
ProgrammeOperatorandreflecttheneedforproportionality(Art.6.8).
Cooperation is also possible with local informal, ad hoc and selfhelp organisations that are not
registeredlegalentitiesinthecountry.Suchorganisationsmusthowevermeettherequirementsthat
theyarenotforpersonalprofit,actforpublicgood,arevoluntaryandnondiscriminatoryinnature,
aremembershipbasedandentirelyindependentoflocal,regionalandnationalgovernmentandother
publicauthorities,andareindependentofpoliticalpartiesandcommercialorganisations.
4.5
Grantsizeandrateatprojectlevel
Theprojectgrantratemaybeupto90%ofeligibleexpenditureoftheprojectinthecaseofprojects
within NGO programmes (Art. 5.4.3). The maximum project grant rate shall be proposed in the
programme proposal and determined in the programme agreement. It shall take into account the
need to ensure the Project Promoters commitment and ownership, as well as sustainability of the
project.
Thecofinancingshallbeprovidedintheformofcashorinkindcontribution.Inkindcontributionin
theformofvoluntaryworkmayconstituteupto50%ofthecofinancingrequiredbytheprogramme
fortheproject(Art.5.4.5).Theprogrammeproposalshallspecifytheappropriateunitpricesforthe
voluntaryworkwhichshallbeinaccordancewithanormallypaidsalaryforsuchworkinthecountry,
includingtherequiredsocialsecuritycontributions.Theprices mayvarydependingontheregionin
which the work is performed or the type of voluntary work, and may be adjusted during the
implementationoftheprogrammeinordertotakeintoaccountchangesinsalaries.
Maximum and minimum grant ceilings need to be determined by knowledge of the absorptive
capacityoftheNGOsectorintheBeneficiarystate,howfarthegrantsshouldreachtosmallerNGOs
withlesscapacitytomanagelargegrantsandprojects,andshouldreflecttheoutcomesandfocusset
fortheNGOprogrammeineachBeneficiaryState.
Differentiation of funding schemes, between micro / small / medium and large grants shall be
introduced as appropriate to cater for differing levels of experience, size and projectrelated
requirements. Smaller scale funding should be made available, particularly for less experienced
organisations, or for capacity building and organisational support. A lower maximum size of grants
shouldbecoupledwithsimplifiedandproportionateproceduresforsmallergrants.
19
4.6
Durationofprojects
TheneedforflexibleprojectdurationshouldbetakenintoaccountbytheProgrammeOperatorinthe
development of the programme proposal. Longerterm project funding, for example where pilots /
innovation are being developed, for projects which are focused on changed processes and
development of new methodologies, or where operational costs and capacity building are being
developedshouldbeconsidered.Longertermfundingmayalsobeneededforlargerscaleprojects.
ThelatestdateofeligibilityofexpenseswithinprojectsunderNGOProgrammesshallbe30April2016
(31December2015inthecaseofSpain)(Art.7.14).TheProgramme Operatorshallensurethatthe
grantsarecommittedintimeforadequateimplementationoftheprojectactivities.
4.7
Predefinedprojects
Predefined projects may be proposed by the Programme Operator in exceptional cases (Art. 5.5).
PredefinedprojectswithinNGOprogrammesshouldbelimitedandencouragedtofocusonactivities
thatwillbenefitthesectorasawhole,andcontributetotheoverallobjectiveoftheprogrammeor
anyofthedefinedoutcomesforexamplestudies,mappingsofthesector,etc.
4.8
Programmelevelreporting
TheNGOProgrammeOperatorshallsubmitthefollowingreports:
@ theannualprogrammereport:includinginformationonprogressinimplementationoverthepast
period, achievements in meeting the objectives, including bilateral cooperation, challenges and
irregularities.Thereportingperiodsfortheannualprogrammereportsshallbethecalendaryear,
andreportsshallbesubmittednotlaterthan15Februaryeachyear(Art.5.11);
@ thefinalprogrammereportshallmainlyfocusonachievementofobjectives,expectedoutcome(s)
andoutputs,aswellasfinancialinformation(Art.5.11);
@ interimfinancialreportsshallbesubmittedinaccordancewithArticle8.3oftheRegulation(more
detailscanbefoundundersection5ofthisGuideline);
@ irregularitiesshallbereportedinaccordancewithArticle11.5oftheRegulation;
@ reportingoninterestearnedinaccordancewithArticle8.7oftheRegulation.
TheannualprogrammereportandfinalprogrammereportshallbesubmittedtotheFMCthroughthe
NationalFocalPoint.
ThereportswillbesubmittedthroughthewebbasedsystemestablishedbytheFMO.
4.9
Projectlevelreporting
In order to allow for data aggregation at project level, the NGO Programme Operators shall submit
standardisedinformationrelatedtoeachproject.AwebbasedsystemwillbedevelopedbytheFMO
into which the Programme Operators will be requested to upload and regularly update project
informationinastructuredmanner(Art.4.7.p).
20
Programme Operators shall provide Project Promoters with the necessary reporting tools and offer
guidanceonhowtheyshouldbeused.Simplifiedprojectreportingrequirementsshallbeproposedin
caseofmicroorsmallscalegrants.
4.10 Monitoringandevaluation
EvaluationandmonitoringofprogrammesshallbeinitiatedbytheNationalFocalPoint.Evaluationof
programmes may also be carried out by the FMC in consultation with the NFP. Monitoring and
evaluationofprojectsshallbedevelopedbytheOperator(Art.4.3.7,Chapter9andChapter10).
TheongoingprojectmonitoringfunctionsarecarriedoutbytheNGOProgrammeOperatorwhoshall
alsoundertakeannualmonitoringof asampleof projects (Art.4.7.f).Amonitoringandevaluation
plan shall be submitted with the programme proposal, in line with the reporting requirements. This
planshouldincludementoringandsupporttothefundedprojects,aswellasregularprojectvisitsfor
monitoring purposes. Monitoring visits should be seen as supportive instruments and not solely as
toolsforauditpurposes.Supportedprojectsmayalsobeencouragedtoincludeselfevaluationwithin
their proposals and where appropriate, capacity building support in selfevaluation methods and
approachesmaybeprovidedbytheProgrammeOperators.
4.11 Complianceassessmentandaudits
A detailed description of the management and control systems of the Programme Operator,
accompaniedwithanauditreportandopinionshallbesubmittedtotheFMCwithinsixmonthsfrom
submissionofthefirstinterimfinancialreport(Art.4.8).
TheprogrammeshallbeauditedatleastoncebythenationalAuditAuthoritytoverifytheeffective
functioning of management and control systems, and audits at project shall be performed by the
OperatorandbytheAuditAuthorityonasamplebasis.
4.12 VisibilityandPublicity
Communicationandinformationareimportantelementsinensuringoutreach,visibility,transparency
and learning in the development and implementation of NGO Programmes. It is expected that the
overallactivitiesoftheNGOprogrammearemadevisibleandcommunicatedinatransparentwayto
society,inordertohighlightresultsandtheirimpactongeneralissuesofconcernwithincivilsociety
assuch.
NGO Programme Operators are requested to proactively promote clear, consistent, comprehensive
andeasilyavailableinformationonbothProgrammeandprojects.Appropriateandwidevisibilityand
disseminationofresultsshallalsobeensuredatProgrammeandprojectlevel.ProgrammeOperators
and project promoters shall provide and implement appropriate Communication strategies and
PublicityplansinlinewiththeInformationandPublicityrequirementsinAnnex4oftheRegulation.
Theresultsbasedmanagementsystemandrelevantwebbasedreportingsystemtoolsinplaceshould
21
becompliedwithandusedtoensureadequateandefficientinformationflowsontheimplementation
oftheNGOprogrammesandsupportedprojectsacrosstheBeneficiarystates.
5.
FINANCIALMANAGEMENT
TheNGOProgrammeOperatorshallberesponsibleforthefinancialmanagementoftheprogramme
inlinewithChapters7and8oftheRegulation.
The principle of proportionality shall be applied in the assessment of programme management and
control system requirements (Art. 4.8.3). The NGO Programme Operator shall apply the
proportionalityprinciplealsoatprojectlevel,implyingthatthelevelofcontrolshallbereasonableand
appropriatetothesizeandtypeofprojectssupported.Themanagementandreportingrequirements
shallbeadaptedtoensuretheprojectobjectivesareachievedinthemosteffectiveandefficientway.
AbudgetfortheNGOprogrammeshallbeprovidedbytheProgrammeOperatorwiththeprogramme
proposal.
Thebudgetshallbestructuredintobudgetheadingsandfollowthetemplatesprovidedinsection3.15
ofthePOM.Thebudgetshouldincludeinformationon:
- management costs. In cases where the NGO Programme Operator is appointed through a
competitivetenderingprocedure,theFMCcandecidethatthecontractvalueshallbeacceptedas
management costs instead of actually incurred expenses, within the ceilings for management
costsestablished;
- contributionforregrantingtoprojects:thisheadingshallbebrokendownperexpectedoutcome;
- other additional headings (funds for bilateral relations, complementary actions; preparation of
programmeproposal,reserveetc).
5.1
Eligibilityofexpenditure
Eligibleexpenditureofaprogrammeincludes:
(a) managementcostsoftheProgrammeOperatorinaccordancewiththedetailedbudgetannexed
totheprogrammeagreement;
(b) payments to projects within the programme in line with the programme agreement and the
projectcontract;
(c) expenditureoffundsforbilateralrelations;
(d) complementaryactionoftheProgrammeOperator;
(e) expenditurerelatedtothepreparationofaprogrammeproposal(Art.7.9).Themaximumamount
of eligible costs under this category shall be set in the programme agreement and not exceed
0.5% of the total eligible costs of the programme or 100,000, whichever is lower. It can be
claimedwiththefirstInterimFinancialReport;
22
(f) expenditure related tothemitigation ofexchange raterisksexplicitlyapprovedby the FMCand

notexceeding1%ofthetotaleligibleexpenseoftheprogramme(Art.8.6.5).
Expenditureatprojectleveliseligibleifjustified,necessary,appropriate,anddirectlyrelatedtothe
projectslongtermeffectsandplannedresults(Chapter7).Overheadscanbebasedeitheronactual
costsoronaflatrateupto20%oftotaldirecteligiblecosts.
ProofofexpenditureshallcomplywithprovisionsinArticle7.13.
5.2
PaymentstoProgrammeOperator
Payments to NGO programmes shall take the form of advance payment, interim payment, and
paymentofthefinalbalance.Disbursementoffundsissubjecttothefulfilmentoftherequirements
relatedtoregularupdatingofinformation(Art.12.1).
A request for advance payment shall be part of the programme proposal (Articles 8.3 and 8.4).
Disbursementoffundsissubjecttothefulfilmentoftherequirementsrelatedtoregularupdatingof
information(Art.12.1).
IncaseofcofinancedNGOprogrammes,theprincipleofproratafinancingshallapply,meaningthat
thepaymentsofthegrantsshouldbematchedwiththecofinancingamount.Thecofinancingshall
bepaidwithinonemonthafterthepaymentofthegrant.
Arequestforadvancepaymentshallbepartoftheprogrammeproposal.Theadvancepaymentshall
not exceed the justified estimated expenditure for maximum two full reporting periods (up to 8
monthsfromthefirstdateofeligibilityoftheprogramme).Theadvancepaymentrequestedshallbe
broken down per budget heading and a justification shall be provided. Approval of the advance
payment will be part of the programme decision of the FMC and will be set in the programme
agreement(Art.8.2).TheadvancepaymenttotheNGOProgrammeOperatorshallbedisbursedafter
thesignatureoftheprogrammeagreementassoonasanyprogrammespecificgrantconditionsare
fulfilled.
Forinterimpayments,theunderlyingprincipleofthefinancialflowispaymentofadvanceinstalments
based on Interim financial reports certified by the Certifying Authority and approved by the FMC
(Annex11)duringtheimplementationperiodinordertocoverestimatedfutureexpenditure,andat
the same time reporting on the use of previously received funds to cover actually incurred
expenditure.ThissystemshallensurethatProgrammeOperatorshaveapositivecashflowthroughout
thewholeimplementationperiod.
Thepredefinedfrequencyofthereportsubmissioncoverstheperiods1January30April;1May
31August;and1September31Decemberwithadeadlineforsubmissionofthecertifiedreportsto
theFMCby15March,15Julyand15Novemberrespectively(Art.8.3).
TheFMCwilldisbursethegrantpartoftheproposedexpenditure,unlesstheproposedexpenditureis
consideredineligible.Alsotheamountofanypreviouslydisbursedbutunusedfundswillbetakeninto
consideration when approving the claim. The payment shall be approved in line with conditions set
outintheRegulationandtheProgrammeAgreement.
23
Reporting on incurred expenditure as well as on proposed expenditure shall be broken down per
budgetheadingassetoutintheProgrammeAgreement.
The FMC may retain up to 10% of the management cost portion of every advance and interim
paymenttotheprogramme.Theretainedamountshallnotbepaiduntilthefinalprogrammereport
hasbeenapprovedbytheFMC(Art.8.1.4).
Thecalculationofthefinalbalancemaybesubjecttopossibledeductions,suchasinterestearnedbut
not yet reimbursed, or any funds reimbursed from Project Promoters not yet reimbursed by the
ProgrammeOperatortotheFMC(Art.8.4).
5.3
Paymentstoprojects
Payments from the Programme Operator to the Project Promoters shall take the form of advance
payments,interimpaymentsandpaymentsofthefinalbalance.
Thelevelofadvancepaymentsandtheiroffsetmechanismshallbeproposedintheprogramme
proposalandsetintheprogrammeagreement.Thelevelofadvancepaymentshallbeadequateand
shallensureregularfinancialflowatprojectlevel.
Thefrequencyandtimingofpaymentsshallbesetoutinawaythatapositivecashflowisensuredto
ProjectPromotersduringprojectimplementation.Interimpaymentsmaybebasedeitheronthe
principleofprefinancingorontheprincipleofreimbursementofincurredexpenditure,whicheveris
foundmoreappropriatebytheProgrammeOperator.
5.4
Financialcorrectionandsuspensionofpayments
FinancialcorrectionsorsuspensionofpaymentsmaybeappliedincasesreferredtoinChapter12of
theRegulation.
24

EEA Financial Mechanism 2009 2014 Programme Area Funds For Non Governmental Organisations' Guideline For NGO Programmes

Transféré par

Informations du document

Titre original

Copyright

Formats disponibles

Partager ce document

Partager ou intégrer le document

Options de partage

Avez-vous trouvé ce document utile ?

Ce contenu est-il inapproprié ?

Droits d'auteur :

Formats disponibles

EEA Financial Mechanism 2009 2014 Programme Area Funds For Non Governmental Organisations' Guideline For NGO Programmes

Transféré par

Droits d'auteur :

Formats disponibles

EEAFinancialMechanism20092014

An eligible applicant is defined as a Nongovernmental organisation (NGO): a nonprofit voluntary

Politicalparties,religiousinstitutions 1assuch,socialpartners 2orprofitdistributingcooperativesare

to increase citizen engagement, in relation to both advocacy (citizen engagement in decision

provide capacitybuilding, mentoring, support and learning transfer opportunities to projects

appropriate application forms should be prepared: the principle of proportionality should be

(f) expenditure related tothemitigation ofexchange raterisksexplicitlyapprovedby the FMCand

Vous aimerez peut-être aussi