Grant Scheme
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This document provides guidance on designing and managing EU-funded grant schemes. It discusses the key stages in the grant cycle including operational programming, evaluation, contracting and monitoring. It also covers important considerations for grant scheme design such as eligibility criteria, evaluation methodology, and types of support provided to applicants. The goal is to help ensure grant funding achieves its objectives in an efficient, transparent and impartial manner.
Grant Scheme
- 1. Paul SmithAn introduction to the design and management of EU funded grant schemes3/23/2011
- 2. The Programme Cycle3/23/2011Improved SME Competitiveness and Innovation Project2Operational ProgrammeNet Impact EvaluationPerformance evaluationOperation Identification Sheets (OIS) or Project FichesLaunch of the grant
- 7. Grant scheme documentsProject hierarchy3/23/2011Improved SME Competitiveness and Innovation Project3Operational ProgrammePriority AxisMeasureOIS 3OIS 2OIS 1Contract 1ContractContractContract 3Each project is delivered through one or more type of contractsEach contract is procured through established procedures set out in the PRAGContract 2
- 8. EC ProcurementProcedures are in place in order to ensure that:The right people get the job...........................for the best price...........through a fair selection processThat the rationale for decisions is transparent3/23/2011Improved SME Competitiveness and Innovation Project4
- 9. EC ProcurementAll procurement is completed through a contracting process. There are 4 types of contract:Service contract: provision of know-how/trainingSupply contract: equipment and materialsWorks contract: infrastructure/engineering worksGrant contract: direct payment of non-commercial nature3/23/2011Improved SME Competitiveness and Innovation Project5
- 10. Choosing the right contract3/23/2011Improved SME Competitiveness and Innovation Project6Agreement on project objectivesQuestionProject objective: to increase competitiveness of Serbian SMEsWhat are the alternative approaches?Identify alternative approachesDetermine project activities and inputsIdentify most cost-effective and timely solutionChoose contract type
- 11. GrantsA block of fundingprovided by an institution in order to achieve a specific purpose
- 12. Payment of non-commercial nature to implement an action intended to help achieve the purpose
- 13. Funds support statutory activities of beneficiaries
- 14. Funds cover only eligible incurred costs
- 15. Results of the project are owned by the Beneficiary and/or its partners
- 16. But it is not a Donation!!!3/23/2011Improved SME Competitiveness and Innovation Project7
- 17. When to use a grant schemeWhen we aren’t sure of the best way to achieve our purpose
- 18. When the ‘best way’ depends on a number of factors which vary from place to place or from company to company
- 19. When we need to generate quick and visible results
- 20. To increase capacity of local organisations
- 21. To stimulate partnership working
- 22. To incentivise a change in behaviour3/23/2011Improved SME Competitiveness and Innovation Project8
- 23. Advantages and disadvantagesAdvantagesEffective way of getting assistance directly to end beneficiariesBuild project management capacity in organisationsCan builds linkages between local organizationsThey generate short term results in terms of stimulating innovation and increasing competitivenessDisadvantagesLength of time between submission and start date can cause frustration and a difficulty in implementationLess experienced organizations need additional support in the design and delivery of their projectsExternal consultants used to design / manage projectsSensitivities to market distortion3/23/2011Improved SME Competitiveness and Innovation Project9
- 24. Some terminologyOperating Grants and Direct Grants
- 26. Beneficiary of a Grant
- 27. Lead Applicant
- 29. Grant Contract
- 30. Target Group
- 31. Final Beneficiary3/23/2011Improved SME Competitiveness and Innovation Project10
- 32. Main rulesTransparency:The availability of grants must be publicised widely and in an easily accessible way Equal TreatmentThe grant award process must be completely impartial Non-cumulationNo beneficiary may receive more than one grant financed by the European Community or EDF for a given actionNon-retroactivityGrants may, as a rule, only cover costs incurred after the date on which the grant contract is signed Co-financingGrants may not as a rule finance the entire cost of the action (Exceptions available). “One-pot” co-financing.3/23/2011Improved SME Competitiveness and Innovation Project11
- 33. Grant scheme designGeographical and/or sectoral concentrationWhere can the project achieve the greatest impact?Where is the problem the project is trying to address of highest prior?Grant Fund available and ring-fencing
- 34. Grant size and Project size
- 35. Co-financing
- 37. Number of calls3/23/2011Improved SME Competitiveness and Innovation Project12
- 38. Eligibility criteriaEligibility and evaluation criteria: crucial for the effectiveness of the Programme. They are established on the basis of: What do you want to achieve?Who is best placed to do it?OIS/ Financing Agreement; (should be detailed in)Government Priorities – in parallel with EU Policy DocumentsNeeds Assessment – participatory approachAs a principle, keep eligibility criteria to a minimum and focus on the evaluation criteria
- 39. Eligibility criteria established for applicants, actions and costs3/23/2011Improved SME Competitiveness and Innovation Project13
- 40. Eligibility criteriaEligibility of Applicants – may relate to:Legal status (size, location, remit)Partnership requirementsEligibility of Actions – may relate to:Duration, location, type of action, beneficiaries, methodologyEligibility of Costs:be necessary for carrying out the actionhave actually been incurred by the beneficiaries or their partners during the implementing period be recorded in the Beneficiary's or the Beneficiary's partners' accounts or tax documents3/23/2011Improved SME Competitiveness and Innovation Project14
- 41. Eligible costsEligible direct costs include:the cost of staff assigned to the actiontravel and subsistence costs for staff and otherspurchase/rental costs for equipment &supplies (new/used) the cost of consumablessubcontracting expenditurecosts arising directly from the requirements of the contract (dissemination of information, evaluation specific to the action, audit, translation, printing, insurance, etc.)Eligible indirect costsAdministrative costs up to 7% of eligible direct costsContingency up to 5% of eligible direct costs3/23/2011Improved SME Competitiveness and Innovation Project15
- 42. Launching the Grant SchemeLocalA call for proposals is always published on the grants part of the EuropeAid website Open
- 43. Restrictedthe minimum size of each grant to be awarded within the programme is above € 100,000; and warranted by the technical nature of the field or the expected number of proposalsPromotion through press conference(s) and adverts in the national press providing minimum information3/23/2011Improved SME Competitiveness and Innovation Project16
- 44. Support to Applicants3/23/2011Improved SME Competitiveness and Innovation Project17Dissemination of InformationInformation daysWeb-site Provision of guidance Public Training SeminarsGuidelines for ApplicantsUsing intermediariesHelp DeskFAQ’sEnquiry proceduresCall for Proposals90 daysDeadline for FAQ’s10 daysPublish answers11 daysDeadline
- 45. Guidelines for ApplicantsGuidelines for Applicants should set out:What you want the projects to achieve e.g. innovation, increase in exports, start-ups etcThe priorities for projects to address e.g. sectoralEligible activities, costs and organisationsThe basis for evaluation – the process and the criteriaWhere applicants can obtain further informationThe contractual obligations if they are successfulBut remember that not everyone will read them!!!3/23/2011Improved SME Competitiveness and Innovation Project18
- 46. Application Form3/23/2011Improved SME Competitiveness and Innovation Project19I APPLICATION FORM: includes justification, activities, methodology, results, sustainability and multiplier effects:Concept NoteFull ApplicationII APPLICANT: financial, technical and operational capacityIIIPARTNERS: financial, technical and operational capacityIVASSOCIATESVCHECKLISTVIDECLARATIONVIIASSESSMENT GRID
- 47. The Evaluation Process3/23/2011Improved SME Competitiveness and Innovation Project20Receipt and registrationReceiptContracting AuthorityOpening Session and Administrative CheckSecretaryChairAssessorsApproval byEvaluation CommitteeEvaluation of the Concept NoteApplicants informedEvaluation of the Application FormApplicants informedVerification of eligibliityApplicants informedConclusions of the Evaluation Committee
- 48. Role of Committee MembersChairperson – supervise work of assessors, coordinate evaluation process and ensure impartiality /transparency;
- 49. Voting members - collective decision making
- 50. Secretary - all administrative tasks: - Declarations of Impartiality and Confidentiality - Supervises the Opening session; - Ensures completeness and availability of Evaluation grids; - Keeps minutes of all the Evaluation Committee meetings; - Registers attendance at meetings; - Complies the Evaluation Report with annexesAssessors – carry out administrative, technical and verification if required3/23/2011Improved SME Competitiveness and Innovation Project21
- 51. Evaluation CommitteeThe Committee draws conclusions based on work of Assessors or its own evaluations
- 52. The Committee does not have to allocate all available funds
- 53. The Committee may draw up a list by subject or geographical area specified in the Guidelines for Applicants.
- 54. The Committee may reject a proposal if:
- 55. Two or more are similar
- 56. Two or more from the same applicant or partner
- 57. The Committee may draw upa reserve list3/23/2011Improved SME Competitiveness and Innovation Project22
- 58. ContractingGrant Contract – signed between the Contracting Authority and the Beneficiary
- 59. Contract is annexed to the Guidelines for Applicants
- 60. Application Form is annexed to the contract (Annex 1). Limited changes can be made to the application:Arithmetical errorsCarrying out requests of Evaluation CommitteeChanges since submission of applicationContract should also be in line with beneficiary country legislation e.g. Labour Code, Occupational Safety, Tax and Accounting3/23/2011Improved SME Competitiveness and Innovation Project23
- 61. Financing and procurementUsually 80% advance with maximum 20% Final Payment
- 62. Financial modifications up to 15% of the budget heading are allowed without contractual amendments
- 63. Expenditure verification for grants more than 100,000 euro
- 64. Procurement procedures to be followed are SIMPLIFIED but may also reflect other donors systems3/23/2011Improved SME Competitiveness and Innovation Project24
- 65. ImplementationProvision of support and guidance
- 66. Training
- 67. Networking
- 68. Guidance notes
- 71. Minor – information contracting authority
- 72. Major – contract modification required3/23/2011Improved SME Competitiveness and Innovation Project25
- 73. MonitoringProjects are monitored against
- 76. Budget
- 80. Collection of good practice
- 82. Programme level monitoring3/23/2011Improved SME Competitiveness and Innovation Project26
- 83. Programme EvaluationPerformance evaluation (on completion)
- 84. Budget spent
- 85. “Hard” results or outputs achieved
- 86. Use of resources
- 88. Net Impact Evaluation (2 – 3 years after completion)
- 89. Against scheme indicators: start-ups, increased exports, increased productivity
- 90. Recommendations feed back into scheme design3/23/2011Improved SME Competitiveness and Innovation Project27