eea financial mechanism 2009‐2014 programme area ‘funds for non‐governmental organisations’...

8/10/2019 EEA Financial Mechanism 20092014 Programme Area Funds for NonGovernmental Organisations Guideline for NGO programmes

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EEAFinancialMechanism20092014

ProgrammeArea

Funds

for

Non

Governmental

Organisations

GuidelineforNGOprogrammes

Adoptedon25May2011


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ProgrammeAreaFundsforNonGovernmentalOrganisations

GuidelineforNGOProgrammes

3

Index

1. GENERALPROVISIONS ..................................................................................................... 41.1 PurposeoftheGuideline.................................................................................................................. 4

1.2 Legalframework............................................................................................................................... 4

1.3 Overallfinancial

framework ............................................................................................................. 5

2. NGOPROGRAMMEPRINCIPLESANDOBJECTIVE ............................................................ 52.1 Generalprinciples.............................................................................................................................5

2.2 OverallobjectiveoftheNGOprogrammes ...................................................................................... 5

2.3 Eligibleapplicants .............................................................................................................................6

2.4 Expectedoutcomes ..........................................................................................................................7

2.5 Coreareasofsupport....................................................................................................................... 8

2.6 Additionaleligibleareasofsupport.................................................................................................. 8

2.7 Eligibleactivities ............................................................................................................................... 9

2.8 Crosscuttingissues......................................................................................................................... 10

2.9 Bilateralrelations............................................................................................................................10

2.10 Crossbordercooperation .............................................................................................................. 10

3. SETTINGUP

OF

NGO

PROGRAMMES............................................................................. 11

3.1 Generalprinciples...........................................................................................................................11

3.2 AppointmentofanOperator.......................................................................................................... 11

3.3 ContractingofaProgrammeOperator........................................................................................... 11

3.4 NGOProgrammeOperatorcharacteristics..................................................................................... 12

3.5 ProgrammeApplication.................................................................................................................. 13

3.6 ResponsibilitiesoftheProgrammeOperator.................................................................................13

3.7 ManagementcostsoftheProgrammeOperator ........................................................................... 14

3.8 Bilateralfunds................................................................................................................................. 15

3.9 Complementaryactions.................................................................................................................. 15

4. PROGRAMMEANDPROJECTIMPLEMENTATION .......................................................... 164.1 Opencallsandavailabilityoffunds ................................................................................................16

4.2 Processingof

applications ..............................................................................................................17

4.3 Selectioncriteria.............................................................................................................................18

4.4 Projectlevelpartnership ................................................................................................................ 18

4.5 Grantsizeandrateatprojectlevel ................................................................................................ 19

4.6 Durationofprojects........................................................................................................................ 20

4.7 Predefinedprojects ........................................................................................................................ 20

4.8 Programmelevelreporting ............................................................................................................ 20

4.9 Projectlevelreporting.................................................................................................................... 20

4.10 Monitoringandevaluation............................................................................................................. 21

4.11 Complianceassessmentandaudits................................................................................................21

4.12 VisibilityandPublicity..................................................................................................................... 21

5. FINANCIALMANAGEMENT ............................................................................................ 22

5.1

Eligibility

of

expenditure................................................................................................................. 22

5.2 PaymentstoProgrammeOperator ................................................................................................ 23

5.3 Paymentstoprojects...................................................................................................................... 24

5.4 Financialcorrectionandsuspensionofpayments ......................................................................... 24


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1.

GENERALPROVISIONS

Supporttocivilsociety isoneofthekeyprioritiesoftheEEAFinancialMechanism (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

to

social

justice,

democracy

and

sustainable

development.

1.1 PurposeoftheGuideline

ThepurposeofthepresentGuidelineistoclarifyspecificreferencesintheRegulationrelevanttothe

programme area Funds for Nongovernmental Organisations and provide guidance to Focal Points

andProgrammeOperatorsonspecificsectorrelated issues inthedevelopmentand implementation

ofNGOprogrammesintheBeneficiaryStates.InthecaseofProgrammesentrustedtotheFMO,who

willcontractafundoperator,theRegulationshallnotapply. Insuchcasesonlysectorspecific issues

referredto inthisGuidelineshallapplyandwillbereflectedinthefundoperatortermsofreference

andintheimplementationagreementwiththeselectedoperator.

ThisGuidelineisbasedontheFMlegalframework,findingsfromtheEvaluationoftheNGOFunds

20042009andinputfromtheNGOandBeneficiaryStateonlineconsultationonproposalsforfuture

supporttocivilsocietyopenfrom10Septemberto5November2010.

1.2

Legalframework

The following documents constitute the legally binding framework which applies to and is not

replacedbythepresentGuideline:

- Protocol38boftheEEAAgreementestablishinganEEAFinancialMechanism;

-The

Memorandum

of

Understanding

(MoU)

on

the

EEA

Financial

Mechanism

signed

between

the

DonorStatesandBeneficiaryState.

- Regulation on the implementation of the European EconomicArea FinancialMechanism 2009

2014andAnnexes;

- ThedescriptionforProgrammeArea10 FundsforNongovernmentalOrganisations (Fundsfor

NGOs)undertheprioritysectorCivilSocietyoftheEEAFinancialMechanism.


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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.

NGO

programmes

shall

be

established

based

on

a

Results

based

management

approach

(see

Annex

9

oftheRegulation,ProgrammeOperatorsManual POM)andwillsetclearobjectivesandoutcomes

thatfocusontheresultsoftheinterventionsonpeopleandsystems,andindicatorswithtargetsand

baselines,usedtoassessmeasurableprogresstowardsdesiredresults/impact.

In order to ensure a common approach, an overall objective has been established for the NGO

programmesandasetofexpectedoutcomeshave beendefined,uponwhichnationalprogrammes

shallbebased.

2.2

OverallobjectiveoftheNGOprogrammes

The

objective

of

all

NGO

programmes

shall

be

to

achieve

a

strengthened

civil

society

development

and

enhancedcontributiontosocialjustice,democracyandsustainabledevelopment.

TheNGOprogrammesshallmoreoversupporttheoverallobjectivesoftheFinancialMechanismsto

contributetothereductionofeconomicandsocialdisparitiesintheEuropeanEconomicAreaandto

strengthenbilateralrelationsbetweentheDonorState(s)andtheBeneficiaryStates.


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2.3 Eligibleapplicants

Aneligibleapplicant isdefinedasaNongovernmentalorganisation (NGO):anonprofitvoluntary

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).

ProgrammeOperatorsshallapplytheabovedefinitionandprovide forspecificconcerns in linewith

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,

these

should

not

represent

the

purpose

of

the

NGO

but

should

be

solely

ameans

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,

groups

or

society

as

a

whole;

- havesomedegreeofformalorinstitutionalexistence,unlikeinformaloradhocgroups,involving

formalstatutesorothergoverningdocumentsdefiningtheirmission,objectivesandscope;

- are membershipbased, with transparent structures and elected chair / board, and are

accountabletotheirmembersanddonors;

- areindependentoflocal,regionalandnationalgovernmentandotherpublicauthorities,

- areindependentofpoliticalpartiesandcommercialorganisations.

Politicalparties,religious institutions1assuch,socialpartners2orprofitdistributingcooperativesare

not considered NGOs. Social enterprises3, foundations4, faithbased organisations5 and the national

RedCrosssocietiesareconsideredeligibleNGOsiftheyfulfiltheaboveprinciples.

1Religiousinstitutionsdonotincludefaithbasedorganisationsasdescribedbelow,whichareeligible.

2Socialpartnersaredefinedastradesunionsandemployersnegotiatingbodies,asdefinedbytheEU.

3Itisrecognisedthatinmanycountries,socialenterprisesarenotdefinedwithincurrentlegislation. Wheresocialenterprises

canmeettheothercriteriagiveninthissection,theymaybeconsideredforsupport,4Itisrecognisedthatmostfoundationsarenotmembershiporganisations. Foundationsarenonethelesseligibleforsupport,

if independent from political party or governmental control or from the control of a small group that derive any personal

benefitsfromthefoundation. Theywillbeexpectedtobefoundationsthataresetupprimarilyforpublicbenefit.


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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

Increased involvementofNGOs inpolicyanddecisionmakingprocesseswith local,regionaland

nationalgovernments

Crosssectoral partnerships developed, particularly with government organisations at local,

regionaland/or

national

level

Democraticvalues,includinghumanrights,promoted

Advocacyandwatchdogroledeveloped

DevelopednetworksandcoalitionsofNGOsworkinginpartnership

StrengthenedcapacityofNGOsandanenablingenvironmentforthesectorpromoted

Increasedcontributiontosustainabledevelopmentachieved

Provisionofwelfareandbasicservicestodefinedtargetgroupsincreased

Empowermentofvulnerablegroups

Theexpectedoutcomesidentifiedabovereflectontheimportanceofsupportingprocessesthatlead

tochange

and

embed

such

change

in

future

approaches,

thus

contributing

to

sustainability.

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:

5Faithbasedorganisationsareeligibleiftheymeettheprinciplesidentifiedinsection2.3andifthefundedactivitiesdo

notdirectlyor indirectlypromoteareligiousdoctrine,missionorproselytismrelatedtothebeliefsofaparticularfaith

(beyondbasicreligious/culturalawarenessraising).


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@ 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;

@ totacklepersistentconcerns intermsofaddressingdiscrimination,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

At least10%ofthetotalallocationtoaprogrammeshallbeallocatedtochildren andyouthdriven

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:


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Protectionoftheenvironmentandclimatechange:

Awarenessraisingandcivicparticipation

Developumbrellaorganisationsand/ornewnetworksonbiodiversity/climatechange

NGOinvolvementinnationalactionplansrelatedtobiodiversityand/orclimatechange

Mobilisinglocal

involvement

to

protect

biodiversity

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

Strengtheninggovernance

in

membership

based

NGOs

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

servicesthat

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 developmentper 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


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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,in

line

with

the

overall

objective

of

the

EEA

Financial

Mechanism.

The

practical

tools

and

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 thedevelopment and establishment of

cooperation at project level both withindonor partnershipprojects and on a more ad hoc basis by

projectswithoutaformalpartnershipagreementthroughexchangeactivities.

Infacilitatingcooperation,theProgrammeOperatorshallconsiderthefollowing:

- encouragebilateralrelationsthatcanactivelycontributetotheexpectedobjectiveandoutcomes

oftheNGOprogramme;

-encourage

cooperation

that

is

mutually

beneficial

and

based

on

common

interests.

- make use of Donor State information tools and channels available to facilitate bilateral

cooperation. InthecaseofNorway, theNorwegianHelsinkiCommitteeshallactas 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.


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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:

@ beknowledgeableabout theNGOsector in theBeneficiaryState, fullyunderstand theneedsof

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 takeaccount ofproject ideas (including in the training of the assessors), rather

thanconsideringonlytheskillofanNGOinsubmittingawellwordedproposal;

Independence

@ beindependentof governmentatalllevels;

@ ensurethatgrantsareallocatedaccordingtothefocusoftheNGOprogrammeitselfratherthan

anydirectorindirectpoliticalconsiderations;

Managementcapacity

@have

experience

/

understanding

in

running

programmes

that

involve

regranting,

detailed

proposalswithtargetsandoutcomes,andunderstandingofnational laws,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

@ provideongoingoutreachworkandsupport toprojects throughout the projectcycle, including

trainingonapplicationwritingandsubmission, implementation,reporting,andopportunities for

experience sharing between funded projects as well as monitoring. This will be particularly

importantinencouraginglearningtransferandcontributingtostrengtheningthesectoritself.


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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

includeamong

others

studies

of

or

public

consultation

with

the

sector

which

may

assist

in

defining

the

focusandsetupoftheprogramme.

Inpreparingtheprogrammeproposal,theOperatorshallidentifytheappropriateexpectedoutcomes,

activitiesandareasofsupportasreferredtoinChapter2ofthisGuidelinewhichwillbestcontribute

to achieving the overall objective of the NGO programme in their country. Expected outputs and

objectivelyidentifiableindicatorsshallalsobedefinedforeachexpectedoutcome(section2.8ofthe

POM).Indicatorsarenotrequiredforobjectivelevel.

Operatorsarerequestedtodrawfromthestandardised listof indicators(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

TheProgramme

Operator

is

responsible

for

managing

the

programme

(Art.

4.7).

In

the

case

of

an

NGO

programme,thePOshallspecifically:

@ ensure that the NGO programme proposal, set up and implementation contribute to

strengthening civil society development and enhance the sectors contribution to socialjustice,

democracyandsustainabledevelopment,asoutlined in theoverallobjectiveof theprogramme

area.


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14

@ 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

eligibleexpenditures

of

the

programme.

It

shall

be

the

sum

of

the

following

amounts

(Art.

7.10.2):

(a) 10%ofthefirst10million;

(b) 7%ofthenext40million;

(c) 5%ofthenext50million;

(d) 4%oftheremainingtotaleligibleexpendituresoftheprogramme.

NGOProgrammeOperatorsmaysuggest intheirproposalahigherceilingforthemanagementcosts

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

theprogramme(Art.7.10.4).

Eligibleactivities includekeyprogrammemanagementtasksbutalsocapacitybuildingactivitiessuch

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.


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16

@ 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,suchasrentof facilities, 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

managementcostsandon topof these,subject toacombinedmaximumceiling (managementplus

complementaryaction)notexceeding15%ofthetotaleligiblecostoftheprogramme.

CostsforcomplementaryactionmustbeexplicitlyapprovedbytheFMCandspecifiedinthedetailed

budgetoftheprogramme,annexedtotheprogrammeagreement.

4. PROGRAMMEANDPROJECTIMPLEMENTATION

4.1

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,

and

taking

into

account

regional

outreach,

language

needs

etc.;

- 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.;


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- 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;

-

encourageand

facilitate

reach

out

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 FMCand theNFPshallbe invited toparticipate in themeetingsof the Selection Committeeas

observers.

SelectionproceduresshouldbedefinedbytheProgrammeOperator inaccordancewithArticles6.4

and6.5oftheRegulation.TheProgrammeOperatorshallreviewtheapplications foradministrative

andeligibilitycriteriacompliance, informrejectedapplicantsandgrantappealtime.TheProgramme

Operatorshallappoint independentand impartialexternalexpertstoscoreprojectsaccordingtothe

selection criteria. Such experts shall have no direct or indirect interests that are or appear to be

incompatiblewiththe impartialexerciseoftheirfunction(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.

TheProgrammeOperatorshallsubmitthe listofrankedprojectstotheSelectioncommittee,and in

EnglishtotheFMC.TheSelectioncommitteeshallmakedecisionsontheapplicationsaccordingtothe

procedureoutlined(Art.6.5).


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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,arevoluntaryandnondiscriminatory innature,

aremembershipbasedandentirelyindependentoflocal,regionalandnationalgovernmentandother

publicauthorities,

and

are

independent

of

political

parties

and

commercial

organisations.

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.

Theco

financing

shall

be

provided

in

the

form

of

cash

or

in

kind

contribution.

In

kind

contribution

in

theformofvoluntaryworkmayconstituteupto50%ofthecofinancingrequiredbytheprogramme

fortheproject(Art.5.4.5).Theprogrammeproposalshallspecifytheappropriateunitpricesforthe

voluntaryworkwhichshallbeinaccordancewithanormallypaidsalaryforsuchworkinthecountry,

includingtherequiredsocialsecuritycontributions.Thepricesmayvarydependingontheregion in

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.


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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 beingdevelopedshouldbeconsidered.Longertermfundingmayalsobeneededforlargerscaleprojects.

ThelatestdateofeligibilityofexpenseswithinprojectsunderNGOProgrammesshallbe30April2016

(31December2015 inthecaseofSpain) (Art.7.14).TheProgrammeOperatorshallensurethatthe

grantsarecommittedintimeforadequateimplementationoftheprojectactivities.

4.7

Predefinedprojects

Predefined projects may be proposed by the Programme Operator in exceptional cases (Art. 5.5).

Predefinedprojects

within

NGO

programmes

should

be

limited

and

encouraged

to

focus

on

activities

thatwillbenefitthesectorasawhole,andcontributetotheoverallobjectiveoftheprogrammeor

anyofthedefinedoutcomesforexamplestudies,mappingsofthesector,etc.

4.8

Programmelevelreporting

TheNGOProgrammeOperatorshallsubmitthefollowingreports:

@ theannualprogrammereport:includinginformationonprogressinimplementationoverthepast

period, achievements in meeting the objectives, including bilateral cooperation, challenges and

irregularities.Thereportingperiodsfortheannualprogrammereportsshallbethecalendaryear,

and

reports

shall

be

submitted

not

later

than

15

February

each

year

(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

Inorder toallow fordataaggregation atproject level, the NGO ProgrammeOperatorsshallsubmit

standardisedinformationrelatedtoeachproject.AwebbasedsystemwillbedevelopedbytheFMO

into which the Programme Operators will be requested to upload and regularly update project

informationinastructuredmanner(Art.4.7.p).


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(f) expenditurerelatedtothemitigationofexchange raterisksexplicitlyapprovedbytheFMCand

notexceeding1%ofthetotaleligibleexpenseoftheprogramme(Art.8.6.5).

Expenditureatprojectleveliseligibleifjustified,necessary,appropriate,anddirectlyrelatedtothe

projectslongtermeffectsandplannedresults(Chapter7).Overheadscanbebasedeitheronactual

costs

or

on

a

flat

rate

up

to

20%

of

total

direct

eligible

costs.

ProofofexpenditureshallcomplywithprovisionsinArticle7.13.

5.2

PaymentstoProgrammeOperator

Payments to NGO programmes shall take the form of advance payment, interim payment, and

paymentofthefinalbalance.Disbursementoffunds issubjecttothefulfilmentoftherequirements

relatedtoregularupdatingofinformation(Art.12.1).

A request for advance payment shall be part of the programme proposal (Articles 8.3 and 8.4).

Disbursementof

funds

is

subject

to

the

fulfilment

of

the

requirements

related

to

regular

updating

of

information(Art.12.1).

IncaseofcofinancedNGOprogrammes,theprincipleofproratafinancingshallapply,meaningthat

thepaymentsofthegrantsshouldbematchedwiththecofinancingamount.Thecofinancingshall

bepaidwithinonemonthafterthepaymentofthegrant.

Arequestforadvancepaymentshallbepartoftheprogrammeproposal.Theadvancepaymentshall

not exceed thejustified estimated expenditure for maximum two full reporting periods (up to 8

monthsfromthefirstdateofeligibilityoftheprogramme).Theadvancepaymentrequestedshallbe

broken down per budget heading and ajustification 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)duringthe implementationperiod inordertocoverestimatedfutureexpenditure,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

considerationwhenapproving theclaim.Thepaymentshallbeapproved in linewithconditionsset

outintheRegulationandtheProgrammeAgreement.


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