Programme Operators' Manual (Final)

8/11/2019 Programme Operators' Manual (Final)

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Regulation on the implementation of the EEA and Norwegian Financial Mechanisms 2009-14Anne 9 ! "rogramme #perators$ Manual

Annex 9Programme Operators Manual

EEA and Norwegian Financial Mechanisms 2009-20!

"ndex

1 %N&R#'()&%#N******************************************************************************************4

1*1 A+out the Manual**************************************************************************************4

1*2 Results ,ased Management**********************************************************************4

2 #,E)&%.E/***********************************************************************************************

2*1 &he oerall o+ectie and priorit3 sectors of the EEA Financial Mechanism2009-2014*************************************************************************************************

2*2 &he oerall o+ectie and priorit3 sectors of the Norwegian FinancialMechanism 2009-2014******************************************************************************

2* "rogramme areas**************************************************************************************

2*4 #+ecties of the "rogrammes******************************************************************5

2* Epected outcomes of the "rogrammes****************************************************5

2*5 #utputs of the "rogrammes**********************************************************************5

2*6 )ross-cutting issues*********************************************************************************15

2*6*1 7ood goernance********************************************************************************15

2*6*2 /ustaina+le deelopment********************************************************************16

2*6* 7ender e8ualit3***********************************************************************************19

2* %N'%)AR/*********************************************************************************************20

2**1 :ualitatie and 8uantitatie indicators***********************************************20

2**2 ,aseline alues and targets****************************************************************20

2** /ource of .eri;cation**************************************************************************20

)#M"


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**2 "rogramme epected outcome***********************************************************24

** "rogramme outputs*****************************************************************************24

**4 %ndicators@ eri;cation and +aselines****************************************************24

*5 &arget groups of the "rogramme*************************************************************2

*6 Ris and uncertaint3********************************************************************************2

* ,ilateral relations************************************************************************************2

**1 'onor programme partner>s?**************************************************************25

**2 'onor partnership proects******************************************************************25

*9 "re-de;ned proects*********************************************************************************25

*10 /mall grant schemes*******************************************************************************26

*11 )ross-cutting issues*********************************************************************************26

*12 "roect monitoring +3 the "rogramme #perator**************************************26

*1 %nformation and pu+licit3*************************************************************************2

*14 Management*******************************************************************************************2

*14*1 Management structure********************************************************************2

*14*2 &imeline*******************************************************************************************2

*14* )alls*************************************************************************************************29

*14*4 "roect selection******************************************************************************29

*14* Financial management*********************************************************************29

*14*5 Modi;cation of proects********************************************************************0

*1 ,udget*****************************************************************************************************0

*1*1 ,udget headings******************************************************************************0

*1*2 Adance pa3ment****************************************************************************1

*15 #eriew of annees re8uired to the "rogramme proposal*********************1

4 F%NAN)%A< RE"#R&%N7****************************************************************************2

4*1 %nterim pa3ments************************************************************************************2

4*2 Final +alance*******************************************************************************************

ANN(A< "R#7RAMME RE"#R& #N %M"


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*9 Ris management************************************************************************************

*10 %nformation and pu+licit3*************************************************************************

*11 )ross-cutting issues*********************************************************************************

*12 Reporting on sustaina+ilit3**********************************************************************

*1 Attachment to the Annual "rogramme Report*****************************************

*14 Attachment to the Final "rogramme Report********************************************

5 "R#E)&


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"N#$O%&'#"ON

( A)out the ManualBith reference to the Regulations on the implementation of the EEA FinancialMechanism and of the Norwegian Financial Mechanism 2009-2014 >CtheRegulationsD?@this Manual de;nes how to implement results-+ased management>hereinafter called R,M? in the planning@ implementation and completion of"rogrammes under these funding mechanisms*

&he o+ectie of this Manual is ;rstl3 to ensure that the "rogramme #peratorshae a practical guide to complement the Regulations@ and to assist them inpreparing a "rogramme proposal and report from the "rogramme with particularfocus on results* /econdl3@ the Manual shall mae it clear what the informationre8uirements are in all phases of the "rogramme c3cle*

&he main target users of the Manual are the "rogramme #perators*&his Manual is complementar3 to the Regulations* %n case of conict +etween thisManual and the Regulations@ the proisions in the Regulations shall preail*

(2 $esults *ased Management&he Manual is +ased on the methodolog3 of results +ased management >R,M?*&his methodolog3 is internationall3 recognised and used widel3 in programmec3cle management* &he essence is to focus on achieement of goals rather thanon actiities and processes*

&he core concepts in R,M are the importance of setting clear o)+ecti,es>goals?G

the idea that outcomes represent the most important result leel inresults management* /ta3 focused on what ultimatel3 matters the eHectsof the interention on people and s3stemsG

the signi;cance of deeloping a limited num+er of sound indicatorswithtargets and +aselines@ as these are the e3s to nowing when the"rogramme is maing measura+le progress towards desired resultsG

the fact that ris management is an important and integrated part ofresults management* Bhat are the maor rissI =ow should the3 +ehandled or monitored@ +3 whom and whenI

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2 O*.E'#"/E

2( #he o,erall o)+ecti,e and priorit1 sectors o the EEAFinancial Mechanism 2009-20!

&he oerall o+ecties of the EEA Financial Mechanism 2009-2014 are tocontri+ute to the reduction of economic and social disparities in the EuropeanEconomic Area and to strengthen +ilateral relations +etween the 'onor /tate>s?and the ,ene;ciar3 /tate through ;nancial contri+utions in the priorit3 sectorslisted +elow*

&he ;nancial contri+utions are aaila+le in the following priorit3 sectors

>a? Enironmental protection and managementG

>+? )limate change and renewa+le energ3G

>c? )iil societ3G

>d? =uman and social deelopmentG

>e? "rotection of cultural heritage*

Academic research ma3 +e eligi+le for funding in so far as it is targeted at one ormore of the priorit3 sectors*

&he priorit3 sectors and "rogramme areas that are to receie assistance throughthe EEA Financial Mechanism 2009-2014 are negotiated +etween the ,ene;ciar3/tates and the 'onor /tate>s?@ and are set out in the Memorandum of(nderstanding>Mo(?*

2(2 #he o,erall o)+ecti,e and priorit1 sectors o theNorwegian Financial Mechanism 2009-20!

&he oerall o+ecties of the Norwegian Financial Mechanism 2009-2014 are tocontri+ute to the reduction of economic and social disparities in the EuropeanEconomic Area and to strengthen +ilateral relations +etween the Jingdom ofNorwa3 and the ,ene;ciar3 /tates through ;nancial contri+utions in the priorit3sectors listed +elow*

&he ;nancial contri+utions are aaila+le in the following priorit3 sectors

>a? )ar+on )apture and /torageG

>+? 7reen %ndustr3 %nnoationG

>c? Research and /cholarshipG

>d? =uman and /ocial 'eelopmentG

>e? ustice and =ome AHairsG

>f? "romotion of 'ecent Bor and &ripartite 'ialogue*

&he priorit3 sectors and "rogramme areas that are to receie assistance throughthe Norwegian Financial Mechanism 2009-2014 are negotiated +etween the,ene;ciar3 /tates and the Jingdom of Norwa3@ and are set out in theMemorandum of (nderstanding>Mo(?*


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2(3 Programme areas

For each Priorit1 sector@ "rogramme areas >ref* &a+le 1and 2? are identi;ed*Each "rogramme area shall contri+ute to the two oerall o+ecties of each of the;nancial mechanisms* %n the Regulations the "rogramme area is de;ned as athematic ;eld within a priorit3 sector@ with a speci;c o+ectie and speci;c

measura+le outcomes*

For each Programme area@ one o+ectie and seeral epected outcomes >ref*&a+le 1 and 2? are de;ned* &hese de;nitions of o+ecties are intended toincrease the impact and focus of the ;nancial mechanisms as well as facilitatingthe measurement and aggregation of results +oth within and across sectors and,ene;ciar3 /tates*

Each "rogramme must therefore +e in accordance with these o+ecties andepected outcomes* &he "rogramme #perator will de;ne the outputs >ref* Figure1?*

2(! O)+ecti,es o the ProgrammesFor the purpose of the ;nancial mechanisms 2009-2014@ Ko+ectie$ is de;ned asthe long-term impact to which the "rogramme contri+utes* &his means that theo+ectie will not necessaril3 +e achieed as a result of the "rogramme@ +ut thatthe situation after the "rogramme has +een implemented is closer to theo+ectie than +efore it started* &he "rogramme proposal >ref* chapter of thisManual? shall address one of the de;ned o+ecties gien in&a+le 1and 2*

E4AMP5E

Objective: Prevent injury and adverse environmental efects caused bychemicals and hazardous waste

It is not likely that one Programme alone can prevent injury and adverse

efects caused by chemicals and hazardous waste. However, i theProgramme strengthens the national authorities capacity to enorce andimplement !" legislation on chemicals and hazardous waste, it is likely thatthis will contribute to reduced injury and adverse efects.

2(6 Expected outcomes o the ProgrammesFor the purpose of the ;nancial mechanisms 2009-2014@ Kepected outcome$ isde;ned as the liel3 short-term and medium-term eHects of the "rogramme* &he3are formulated to descri+e the positie situation that is epected to occur whenthe "rogramme ends* For this reason@ when all the outputs that hae +een

planned for a "rogramme hae +een deliered@ it is liel3 that the epectedoutcome also will hae +een achieed* =oweer@ the "rogramme #perator willnot +e a+le to guarantee that the epected outcome will +e achieed*

&he "rogramme proposal must mae use of at least one of the de;ned epectedoutcomes gien in &a+le 1@ and selected proects shall all contri+ute towardsthisLthese epected outcome>s?* %t is not possi+le to reformulate or add newoutcomes*

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E4AMP5E

Expected outcome: #trengthened capacity to enorce and implement !"chemicals and hazardous waste legislation

I a Programme delivers training on relevant !" legislation, helps setting up $improving %!&'H help(desks and develops a national strategy or hazardous

waste, it is likely that the capacity to enorce and implement !" chemicalsand hazardous waste legislation is strengthened.

2(7 Outputs o the ProgrammesFor the purpose of the ;nancial mechanisms 2009-2014@ the outputs are de;nedas the deliera+les >products@ goods and serices? which result from a"rogramme@ i*e* the tangi+le results*

&he "rogramme #perator de;nes the outputs of the "rogramme in the"rogramme proposal* &he outputs should +e guaranteed +3 the "rogramme#perator@ and the3 will most liel3 result in the ful;lment of the epectedoutcome as descri+ed a+oe* &he "rogramme #perator should inole releantstaeholders in the deelopment of the outputs* &he "rogramme proposal willnormall3 include seeral outputs*

E4AMP5E

Output 1:)raining on !" legislation provided

Output 2:& national help(desk on %!&'H established

Output 3:& national hazardous waste strategy developed and presented oradoption

)he Programme *perator should be able to guarantee that all these outputs

are delivered. )hus the e+pected outcome is also likely to be delivered. )hereason why it is not possible to guarantee that the e+pected outcome isullled, is that it has to be assumed that the individuals e+posed to thetraining actually learns something, that the national help desk is used andthat the strategy is adopted and implemented.

Figure 1 8 #he OA5 :"E$A$':;

Financialmechanisms

"rogramme "roect

O/E$A55O*.E'#"/E)ommon to all"rogrammes underthe ;nancialmechanisms 2009-2014

6

O/E$A55 O*.E'#"/E FO$ #:E F"NAN'"A5 ME':AN"M 2009-20!

reduction of economic and social disparities in the European Economic Area andto the strengthening of theirLits relations with the ,ene;ciar3 /tatesD


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P$O$AMMEO*.E'#"/E

&he long termimpact to which the"rogrammecontri+utes

P$O$AMMEE4PE'#E%O'OME

&he liel3 orachieed short-termand medium-termeHects of the"rogramme

-ormulated todescribe the

positive situationthat is e+pected tooccur at the end othe Programme

period

P$O$AMMEOP

&he deliera+les>products@ goodsand serices? whichresult from a"rogramme

)he Programmeoutputs are thetangible resultsrom theProgramme that canbe guaranteed bythe Programme*perator, and whichthereater mostlikely will contributeto the ullment othe e+pectedoutcome asdescribed above

"roect outputs arede;ned in proectproposals onl3

&a+le 1 - Eligi+le programme areas for EEA Financial Mechanism 2009-2014

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di

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"n

di

ca

to

rs

"n

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to

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"n

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ca

to

rs

"n

di

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rs

P$O$AMMEA$EA

O*.E'#"/E

%ncreased share ofrenewa+le energ3

P$O$AMMEO*.E'#"/E

%ncreased share ofrenewa+le energ3 in

energ3 use

E4PE'#E%O'OME


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"lease note that in the column for o+ectie@ the "rogramme areas are shown in+old letters@ while the o+ecties are gien directl3 +elow these*

Priority Sector Programme area / Objective Expected outcomes

Enironmental"rotection and

Management

Programme area8"ntegrated Marine and"nland >ater Management

#+ectie 7ood enironmentalstatus in European marine andinland waters

More integrated management of marine andinland water resources

Esta+lished enironmental targets andmanagement plans for marine and inlandwaters

%mproed water management infrastructure

%mproed monitoring of marine waters

%ncreased capacit3 for assessing andpredicting enironmental status in marine andinland waters

%ncreased awareness of and education inintegrated marine and inland watermanagement

Programme area8*iodi,ersit1 and Ecos1stemer,ices

#+ectie =alt loss of +iodiersit3

%ncreased capacit3 to manage and monitor

Natura 2000 sites eHectiel3 Aoided fragmentation of ecos3stems

%ncreased protection of Natura 2000 sitesagainst eternal disruptie inuences throughthe esta+lishment of +uHer Qones

%ncreased protection of natie ecos3stemsagainst inasie alien species

%ncreased awareness of and education in+iodiersit3 and ecos3stem serices@ includingawareness of and education in the linage+etween +iodiersit3 and climate change@ andeconomic aluation of ecos3stems

%mproed integration of +iodiersit3

considerations in sectoral policies andlegislation %ncreased capacit3 within enironmental N7#s

promoting +iodiersit3

Programme area8En,ironmental Monitoringand "ntegrated Planningand 'ontrol

#+ectie %mproedcompliance with enironmentallegislation

/trengthened capacit3 of enironmentalauthorities in relation to integrated planningand control

%mproed enironmental information onimpact@ status and trends

%ncreased echange of information onenironmental impact@ status and trends+etween ,ene;ciar3 /tates and other E(Mem+er /tates

%ncreased awareness of and education inenironmental monitoring and integratedplanning and control

Programme area8 $eductiono :a?ardous u)stances#+ectie "reent inur3 andaderse enironmental eHectscaused +3 chemicals andhaQardous waste

/trengthened capacit3 to enforce andimplement E( chemicals and haQardous wastelegislation

%ncreased industr3 compliance with E(chemicals and haQardous waste legislation

'eeloped strategies for authorities$management of haQardous waste

%mproed monitoring of haQardous su+stances

in the enironment =aQardous waste managed in an

enironmentall3 sound manner

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%ncreased awareness of and education inhaQardous su+stances

)limate )hangeand Renewa+leEnerg3

Programme area8 Energ1E@cienc1

#+ectie Reduced emissionsof greenhouse gases and airpollutants

%mproed energ3 ecienc3 in +uildings

%ncreased energ3 ecienc3 in industr3 and thetransport sector %ncreased utilisation of ecess heat

%mproed capacit3 at national@ regional andlocal leel to undertae energ3-ecienc3measures

%ncreased awareness of and education inenerg3 ecienc3

Programme area8$enewa)le Energ1

#+ectie %ncreased share ofrenewa+le energ3 in energ3use

A less car+on-dependent econom3

%ncreased renewa+le energ3 production

%ncreased use of renewa+le energ3 in thetransport sector

%ncreased feed-in of renewa+le energ3 to

eisting energ3 infrastructures 'eeloped strategies to improe the use of

green inestment schemes %mproed capacit3 at national@ regional and

local leel on renewa+le energ3 solutions %ncreased awareness of and education in

renewa+le energ3 solutions

Programme area8Adaptation to 'limate'hange

#+ectie Reduced human and

ecos3stem ulnera+ilit3 toclimate change

'eeloped s3stems for information echangeon climate change adaptation

'eeloped strategies and measures foradapting to a changing climate

%ncreased capacit3 to assess ulnera+ilit3 to

climate change %ncreased awareness of and education in

climate change adaptation

Programme area8 Maritimeector

#+ectie Reduced emissionsof greenhouse gases and airpollutants from the maritimesector

Measures taen to reduce greenhouse gasemissions in the shipping sector

/trengthened capacit3 of releant authoritiesto implement climate change-related polic3elements

%ncreased awareness of and education in howto reduce emissions from ships

)limate )hangeand Renewa+leEnerg3

Programme area8En,ironmental and 'limate'hange-related $esearchand #echnolog1

#+ectie /trengthenednowledge +ase on theenironment and climatechange and increasedapplication of enironmentaltechnolog3

%ncreased national and internationalnowledge +ase of the EEA programme areason enironment and climate change

%ncreased deelopment and application oftechnolog3 that +ene;ts the enironment

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)iil /ociet3 Programme area8 Funds orNon-o,ernmentalOrganisations

#+ectie /trengthened ciilsociet3 deelopment andenhanced contri+ution to social

ustice@ democrac3 andsustaina+le deelopment

Actie citiQenship fostered

%ncreased inolement of N7#s in polic3 anddecision-maing processes with local@ regionaland national goernments

)ross-sectoral partnerships deeloped@

particularl3 with goernment organisations atlocal@ regional and L or national leel

'emocratic alues@ including human rights@promoted

Adocac3 and watchdog role deeloped

'eeloped networs and coalitions of N7#sworing in partnership

/trengthened capacit3 of N7#s and anena+ling enironment for the sector promoted

%ncreased contri+ution to sustaina+ledeelopment achieed

"roision of welfare and +asic serices tode;ned target groups increased

Empowerment of ulnera+le groups

=uman and/ocial'eelopment

Programme area8 'hildrenand ;outh at $is

#+ectie %mproed well-+eingof children and 3oung people atris


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(A/)?

/trengthened institutional framewor toensure legal protection and care for the mostulnera+le group of migrants@ namel3

unaccompanied children Bell-functioning as3lum s3stem in place@

ena+ling as3lum-seeers to +ring forward theirclaim for international protection@ hae theirclaim processed in due time and +e oHeredaccommodation during the processing of theircase@ or to return oluntar3 to their countr3 oforigin

Programme area8cholarships

#+ectie Enhanced humancapital and nowledge +ase in

%ncreased higher education student and staHmo+ilit3 +etween ,ene;ciar3 and EEA EF&A/tates

%ncreased and strengthened institutionalcooperation at all leels of the education

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PrioritySector

Programme area /Objective

Expected outcomes

7reen %ndustr3%nnoation Programme area8 reen

"ndustr1 "nno,ation

#+ectie %ncreased

competitieness of greenenterprises@ including greeningof eisting industries@ greeninnoation and greenentrepreneurship

Realisation of the +usiness opportunities ofgreening of the European econom3

Reduced production of waste and reducedemissions to air@ water and ground

More use of enironmentall3 friendl3technologies

%ncreased green o+ creation andentrepreneurship

"romotion of'ecent Borand &ripartite'ialogue

Programme area8 lo)alFund or %ecent >or and#ripartite %ialogue

#+ectie 'ecent worpromoted and tripartitecooperation improed +etweenemplo3ers$ organisations@ tradeunions and pu+lic authorities insupporting e8uita+le andsustaina+le economic andsocial deelopment

%mproed social dialogue and tripartitedialogue structures and practices

Enhanced understanding of the +ene;ts ofdecent wor

Enhanced access to emplo3ment andparticipation in the la+our maret

Enhanced focus on the social dimension ofworforce mo+ilit3 Adancement of gender e8ualit3 and non-

discrimination in the worplace %mproement of wor@ famil3 and priate life

+alance Borer adapta+ilit3 and lifelong learning

opportunities improed

Research and/cholarship Programme area8 *ilateral

$esearch 'ooperation

#+ectie Enhanced research-

+ased nowledge deelopmentin the ,ene;ciar3 /tatesthrough enhanced researchcooperation +etween Norwa3and the ,ene;ciar3 /tates

%ncreased research cooperation +etweenNorwa3 and the ,ene;ciar3 /tates

/trengthened research capacit3 in the,ene;ciar3 /tates and increased application of

research results through research cooperation+etween Norwa3 and the ,ene;ciar3 /tates

Programme area8 *ilateralcholarship Programme

#+ectie Enhanced humancapital and nowledge +ase inthe ,ene;ciar3 /tates

%ncreased higher education student and staHmo+ilit3 +etween ,ene;ciar3 /tates andNorwa3

%ncreased and strengthened institutionalcooperation within the higher education sector+etween the ,ene;ciar3 /tates and Norwa3

=uman and/ocial'eelopment

Programme area8 'apacit1-)uilding and "nstitutional'ooperation )etween*eneBciar1 tate andNorwegian Pu)lic"nstitutionsC 5ocal and$egional Authorities

#+ectie /trengthenedinstitutional capacit3 andhuman resource deelopmentin pu+lic institutions@ local andregional authorities in the,ene;ciar3 /tates within the

agreed priorit3 sectors throughcooperation and transfer ofnowledge with similar

%ncreased and strengthened cooperation+etween pu+lic institutions@ local and regionalauthorities in the ,ene;ciar3 /tates andsimilar institutions and authorities in Norwa3

Enhanced institutional capacit3 and humanresources deelopment in pu+lic institutions@local and regional authorities in the,ene;ciar3 /tates

Enhanced capacit3 and 8ualit3 of the sericesproided +3 pu+lic institutions@ local andregional authorities through enhancedinstitutional capacit3 and human resourcesdeelopment

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2(D( ood go,ernance7ood goernance has 5 main principlesG it is participator3 and inclusie@accounta+le@ transparent@ responsie@ eHectie and ecient@ and follows the ruleof law* %mplicit in this is a Qero tolerance towards corruption@ that the iews ofminorities are taen into account@ and that the oices of the most ulnera+le insociet3 are heard in decision-maing*

&he a+oe-mentioned principles hae the following characteristics

"articipation and inclusieness ! participation of all releant staeholders@which includes +oth men and women@ directl3 or through institutions>pu+lic and priate?*

Accounta+ilit3 ! in general organisations and institutions should +eaccounta+le to those who will +e aHected +3 decisions or actions*

&ransparenc3 ! decisions and enforcement are done in a manner thatfollows rules and regulationsG information is freel3 aaila+le and directl3accessi+le*

EHectieness and ecienc3 ! institutions and processes produce resultsthat meet the needs of societ3 while maing the +est use of resources attheir disposal*

Rule of law ! a fair legal framewor that is enforced impartiall3@ includingrespect of human rights@ and without corruption*

7ood goernance is fundamental to the economic and social deelopmentprocess of all countries@ and hence is inherentl3 lined to the o+ecties of the;nancial mechanisms* #f the elements that threaten good goernance@corruption is seen +3 the 'onor /tate>s? as among the most destructie*)orruption and mismanagement cripple economic growth and deelopment*

&he principles of good goernance shall complement the re8uirements of theRegulations@ including on irregularities@ as well as selection and monitoringprocedures@ and appl3 e8uall3 to the "rogramme and the proect leel* &heimplementation of the mechanisms shall +e characterised +3 transparenc3 and ofopenness at all phases of the programme and proect c3cles and there is ana+solute re8uirement that no proects are in an3 wa3 contradictor3 to theprinciples of good goernance* &he 'onor /tate>s? adhere to a strict Qero-tolerance polic3 on corruption*

"rogramme leel &he "rogramme #perator shall ensure that the principles ofgood goernance are followed +3 de;ning a management set-up that includesesta+lishing and maintaining procedures for preenting@ identif3ing@ andmanaging cases of corruption and mismanagement@ and that responds 8uicl3and professionall3 to indications of irregularities@ mismanagement andcorruption*

"roect leel &he "rogramme #perator shall de;ne procedures for ensuring thatthe principles of good goernance are followed at the proect leel*

2(D(2 ustaina)le de,elopment/ustaina+le deelopment is a framewor for a long-term ision of sustaina+ilit3 inwhich economic growth@ social cohesion and enironmental protection go hand inhand and are mutuall3 supporting*

&he term Csustaina+le deelopmentD is de;ned as CSdeelopment that meetsthe needs of the present without compromising the a+ilit3 of future generationsto meet their needs*D

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/ustaina+le deelopment aims to proide a long-term ision for societ3* Actiitiesto meet present needs ma3 still hae short-term horiQons@ +ut the3 must inaddition alwa3s include a long-term perspectie* /ustaina+le deelopment is anintegrated concept inoling all human actions down to the local leel@ and

aims to improe the 8ualit3 of life of +oth current and future generations@

while safeguarding the earth$s capacit3 to support life in all its diersit3G

is +ased on democrac3@ the rule of law and respect for fundamental rightsincluding freedom@ e8ual opportunities and cultural diersit3G

promotes high leels of emplo3ment in an econom3 whose strength is+ased on education@ innoation@ social and territorial cohesion and theprotection of human health and the enironment*

Enironmental

All "rogrammes must reect enironmental considerations@ not onl3 those"rogrammes that are speci;call3 aimed at enironmental improements*

Eamples ma3 include infrastructure proects@ +uilding actiities or economicactiities in diHerent sectors* &he e3 issue is to assess s3stematicall3 theenironmental impact of "rogrammes@ to 8uantif3 them and to integratemeasures to limit an3 negatie enironmental impacts resulting from the"rogramme*

&he planning phase is crucial when it comes to enironmental considerations@ ase3 decisions relating to the "rogramme design might +e dicult to adust inlater phases* ,3 undertaing enironmental considerations during the planningphase@ it is possi+le to identif3 and aoid an3 harmful direct and indirectenironmental impacts and to enhance enironmental conditions*

&he following e3 8uestions should as a minimum +e considered when

undertaing the enironmental considerations* Bill the "rogramme use natural resources in wa3s that will pre-empt the use or potential future

use of those resources for an3 other purposeI generate waste and haQardous waste@ is this preented and is the waste

rec3cledLreusedI +e located in@ and potentiall3@ aHect an3 enironmentall3 sensitie areas

such as National "ars and other protected areas@ important archaeologicaland cultural sites@ ulnera+le ecos3stems that proide importantecos3stem serices or with species threatened +3 etinctionI

cause soil@ water or air pollution@ including climate change@ and are thepotential direct and indirect impacts liel3 to +e of minor or of maor

signi;cance@ and not easil3 mitigatedI result in polic3 initiaties which ma3 aHect the enironment such as

changes in agricultural@ water@ energ3 and transport policiesI inole the ris of accidents with potential enironmental impacts >oil

spills@ chemical spills etc?I =ow is the ris reducedI lead to occupational health and safet3 rissI

"u+lic and priate proects that are liel3 to hae a signi;cant eHect on theenironment shall undertae an Enironmental %mpact Assessment >E%A? inaccordance with the E%A 'irectie >'irectie L6LEE) as amended +3 'irectie96L11LE) and 200LLE)?* &he "rogramme #perator must descri+e how there8uirements of the E%A will +e complied with*

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&he "rogramme #perator shall descri+e what will +e done in order to reduce Lminimise the enironmental impact and riss@ in particular energ3 consumption>e*g* in relation to transportation@ energ3 use in +uildings@ etc? and wastegeneration >including wastewater?* ,aseline ;gures and target alues shall +egien wheneer possi+le*

"roect leel &he "rogramme #perator shall de;ne procedures for ensuringenironmental sustaina+ilit3 at the proect leel*

Economic

All "rogrammes must address economic sustaina+le deelopment considerations*"rogrammes should +e assessed s3stematicall3 at planning phase against thepositie sustaina+le economic impact the3 will hae and integrate measures tolimit an3 negatie impacts resulting from the "rogramme in implementation*

&he following areas should +e considered when assessing such impact at"rogramme leel

eHects in terms of economic deelopment at national L regional L localleelsG

eHects in terms of o+ creationG

impact on entrepreneurshipG

capacit3 to create a faoura+le enironment to the deelopment andproision of e3 sericesG

the cost-+ene;t of the "rogrammeG

wh3 the re8uired inputs are usti;a+le in terms of the outputs >cost-ecienc3?@ including an assessment of costs in relation to alternatieapproachesG and

if applica+le@ the etent to which the goernment at the releant leel >orother ;nancing +odies?@ is prepared to continue ;nancing the outputs ofthe "rogramme after the support from the ;nancial mechanisms hasended*

"roect leel &he "rogramme #perator shall de;ne procedures for ensuring thatthe principles of sustaina+le deelopment from an economic perspectie areapplied at the proect leel*

/ocial

All "rogrammes must address social sustaina+le deelopment considerations*/ocial dimensions of "rogrammes should +e assessed s3stematicall3 at planningphase against the social sustaina+le deelopment impact the3 will hae andintegrate measures to limit an3 negatie impacts resulting from the "rogrammeduring implementation*

An assessment of sustaina+le deelopment ! social should reect upon the"rogramme$s impact in terms of

+uilding social capitalG

ensuring that priorities and needs of arious groups @ in terms of gender@disa+ilit3@ ethnicit3@ age@ seual orientation@ and religious aliation arerespected@ promoting e8ualit3 and anti-discriminationG

contri+uting to the ;ght against poert3 and social eclusion@ including ofchildrenG

limiting maor threats to pu+lic health facilitating access to emplo3ment@ housing@ mo+ilit3@ and health careG and

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facilitating access to education and sills training*

"roect leel &he "rogramme #perator shall de;ne procedures for ensuring thatthe principles of sustaina+le deelopment from a social perspectie are appliedat the proect leel*

2(D(3 ender eualit1Men and women must hae e8ual rights and opportunities in all areas of societ3and the econom3 if sustaina+le deelopment is to +e achieed*

A gender impact assessment should +e undertaen for all "rogrammes under the;nancial mechanisms* A gender impact assessment inoles looing for genderreleance at eer3 step of polic3 and actiities@ with the aim of aoidingreproducing discrimination on the grounds of gender and to promote e8ualit3+etween women and men*

Bhile some "rogrammes can appear gender neutral in their content@ in practicethe3 ma3 hae a er3 diHerential impact on women and men@ and there+3 result

in reinforcing eisting ine8ualities* %t is therefore important not to mae generalassumptions when designing "rogrammes@ e*g* that women will automaticall3+ene;t from the planned actiities under a "rogramme@ or that the plannedactiities will +ene;t men and women e8uall3* %n a +id to oercome suchchallenges@ "rogrammes under all priorit3 areas should report on genderreleance*

E4AMP5EProgrammes that aim to prevent or reduce lie(style related diseases mightappear to be gender neutral. & gender impact assessment will however revealthat men and women have a diferent set o vulnerabilities when it comes tocertain lie(style related diseases. &s an e+ample, greater biologicalsusceptibility increases womens vulnerability to HI transmission compared

to men. /ender norms can also result in diferences when it comes to accessto health inormation and services. In the area o research, to take anothere+ample, a gender assessment will reveal the under(representation o womenin science and technology and the need to promote womens participation inthe planned research activities.

Addressing the following 8uestions can help identif3 some of the speci;c needs ofwomen and men targeted +3 each "rogramme

$epresentation and participation8 %s there a diHerent share of women andmen in the "rogramme target groupI Bhat are their characteristicsI

Access to resources8 =ow are resources diided +etween men and women in3our target group >time@ information@ mone3 and economic power@ education andtraining@ wor and career@ %& and communication@ social serices@ mo+ilit3?I

$ightsC norms and ,alues8 Are there assumptions a+out what men and womendo in the area 3ou are targetingI =ow do these inuence gender roles and thegendered diision of la+ourI

After identif3ing these speci;c needs@ the following methodolog3 should then +eaddressed in order to ensure that gender e8ualit3 is taen into consideration inall the phases of deelopment of the "rogramme

=ow does the "rogramme tae into account the identi;ed gender-speci;cneeds and address gender-speci;c conditionsI

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=ow is the "rogramme in line with national policies and priorities related togender e8ualit3I

=ow does the "rogramme proide se-disaggregated +aseline data andindicatorsI

'oes the "rogramme include eplicit +udget allocations and resources

towards actiities targeting women L men or gender e8ualit3 issuesI =ow does the "rogramme promote e8ual participation within its

managementI

"roect leel &he programme operator shall de;ne procedures to ensure that theprinciples of e8ual rights and opportunities for men and women are applied at theproect leel*

2( "N%"'A#O$%ndicators are used as a tool to erif3 whether or not the "rogramme is achieingits epected outcome and outputs* /pecif3ing indicators helps forming the +asisof the "rogramme$s monitoring and reporting s3stem*

%ndicators are formulated in response to the 8uestion C=ow do we now whetheror not what was planned is actuall3 happening or has happenedI =ow do weerif3 successID

%ndicators must +e o+ectiel3 eri;a+le@ i*e* when diHerent persons using thesame measuring process independentl3 of one another o+tain the samemeasurements* &his is more easil3 done for 8uantitatie measures than for thosethat aim at measuring 8ualitatie change*

%ndicators shall +e de;ned during the deelopment of the "rogramme proposal*&he 'onor /tate>s? ma3 ;nd it necessar3 to as the "rogramme #perator toinclude additional indicators after the total "rogramme portfolio has +een

esta+lished* &he "rogramme #perator must then follow the procedures foralterations in the Article * of the Regulations*

%ndicators shall +e independent of each other@ each one relating onl3 to either theepected outcome or to the "rogramme outputs* For eample@ indicators at theoutput leel shall not +e a summar3 of the actiities undertaen under an output@+ut should descri+e the measura+le conse8uence of actiit3 implementation* &heguiding principle should +e to collect the minimum amount of information needed+3 "rogramme #perators to determine whether outcome and outputs are +eing Lhae +een achieed* Note that indicators are ust one tool of man3 that the"rogramme #perator should use in order to monitor and erif3 success*Assessing reports and performing reiews ma3 +e other such means >ref* chapter

6of this Manual on Monitoring?*

2(( Gualitati,e and uantitati,e indicators&he standardised list of indicators TlinU consists of 8uantitatie indicators*=oweer@ to get a full picture of the outcome or output@ it ma3 +e necessar3 toadd some more 8ualitatie indicators*

,3 nature@ much 8ualitatie data are more su+ectie than 8uantitatie data*Bhile 8uantitatie sure3s can +e administrated to more people in a shorter time>+readth?@ 8ualitatie interiews pro+e for more information from fewerindiiduals >depth?* :uantitatie data gathering is often simpler and thus lesscostl3 than the 8ualitatie* =oweer@ it is not alwa3s possi+le to gather

8uanti;a+le information and a 8ualitatie approach must +e taen*

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2((2 *aseline ,alues and targets,aseline data refer to the initial alue against which an indicator is su+se8uentl3measured* &he purpose of a +aseline is to measure the situation prior to thedeelopment interention@ against which progress can +e assessed orcomparisons made*

Normall3 the initial step in setting targets is to identif3 the +aseline alue*"rogress cannot +e measured if +aseline alues are not in place*

2((3 ource o /eriBcation%ndicators should +e measura+le in a consistent manner and at an accepta+lecost* &he source of eri;cation should +e considered and speci;ed at the sametime as the formulation of indicators* &his will help to test whether or not theindicators can +e realisticall3 measured in respect of time@ mone3 and eHort*

=ow the information should +e collected >e*g* from administratie records@special studies@ sample sure3s@ o+seration@ etc? andLor the aaila+ledocumented source >e*g* progress reports@ proect accounts@ ocial

statistics@ etc?I Bho should collect L proide the information >e*g* ;eld etension worers@

contracted sure3 teams@ the district health oce@ a proect$smanagement team?I

Bhen and how regularl3 it should +e proided >e*g* monthl3@ 8uarterl3@annuall3@ etc*?I

%n order to support institutional strengthening o+ecties@ aoid the creation ofparallel information s3stems@ and minimiQe additional costs* &he re8uiredinformation should normall3 +e collected through eisting s3stems@ or at leastthrough supporting improements to eisting s3stems* &he main point is to +uildon eisting s3stems and sources >where possi+le and appropriate? +efore

esta+lishing new ones*

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3 'OMP5E#"ON OF #:E P$O$AMMEP$OPOA5

&his chapter is a guide for "rogramme #perators when completing the"rogramme proposal for the ;nancial mechanisms 2009-14*

&he "rogrammes shall compl3 with the "rogramme areas that hae +een agreedin each Mo(*

/ee chapter 2for an oeriew of all "rogramme areas*

&he "rogramme proposal should not eceed 0pages@ ecluding Annees*

&he Financial Mechanism #ce ma3 +e consulted for adice during thepreparation of the "rogramme proposal* &he purpose of this is to aoiddeelopment of "rogrammes in a direction that maes it necessar3 to

signi;cantl3 adust or reect the proposal*%t is possi+le to use an eternal consultant for language etting of the "rogrammeproposal or the eri;cation of the written language >English? +3 an eternalconsultant@ and to hae these epenses reim+ursed >ref* Article 6*9 of theRegulations?*

3( Executi,e summar1#his section shall pro,ide a summar1 o the Programme proposal(

3(2 *asic inormationPro,ide )asic Programme details to identi1 the Programme:

name of the "rogramme@

name of "rogramme area addressed >refer to the Mo(?

name of the "rogramme #perator@

name and countr3 of origin of "rogramme partner>s? >if applica+le?

An id-num+er will +e assigned to each proposal after the "rogramme proposalhas +een receied +3 the Financial Mechanism #ce* &his is the main identi;erof a "rogramme for the 'onor /tate>s? and shall +e used in all communicationand reporting with FM) on "rogramme leel following the su+mission of theproposal*

3(3 $ele,ance o the Programme%escri)e how the planned Programme Bts into the o,erall o)+ecti,es othe Bnancial mechanismsC the o)+ecti,e o the rele,ant ProgrammeareaC as well as legislation and national priorities(

&he "rogramme must +e in line with +oth the oerall o+ecties of the ;nancialmechanisms stated in the Article 1*2 of the Regulations and the o+ectie of the"rogramme areas identi;ed in the Mo(*

3(! Programme moti,ation and +ustiBcation

3(!( 'hallenges and needs anal1sisPro,ide an anal1sis o the challenges and needs in the *eneBciar1 tatein relation to the Programme area(

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Note that the information proided here shall +e directl3 releant for the"rogramme and not consist of general descriptions of the situation in the,ene;ciar3 /tate or the sector in general* %n most cases this information should+e descriptie@ though maps and charts can +e included as annees to the"rogramme proposal*

'e;ne and descri+e the challenges and needs that the "rogramme will address*)learl3 state the direct target group L target institution>s? addressed +3 the"rogramme*

'ocument the descriptie anal3sis with reference to o+ectie sources@ foreample statistical anal3sis@ comparatie studies@ anal3sis of past changes@inestments in the "rogramme area@ adaptation of the sector to E( re8uirements@etc*

Note that this anal3sis shall proide a description of the +aseline situation@ i*e*the status +efore the "rogramme is implemented* &he "rogramme is epected toresult in improements in the descri+ed situation*

Funding gaps@ complementarities and preious eperiences with other sources offunding to the "rogramme area@ including E(-funded "rogrammes@ shall +edescri+ed in this section*

3(!(2 Pu)lic and pri,ate structures rele,ant to the Programme area%escri)e the diHerent parts o the *eneBciar1 tates pu)licadministration andIor regional and local authorities andIor pri,atesector andIor non-go,ernmental sector in relation to this Programme(

For eample %n the enironmental sector a description of the releant pu+lic andpriate structure would include the regulator3 +odies at national@ regional andlocal leel@ releant legislation@ priate enironmental institutions@ N7#s andinterest groups@ etc*

3(!(3 5egislation rele,ant to the Programme area5ist E& and national legislation rele,ant to the Programme areaand the measures that will )e taen to ensure the Programme willcompl1 with the speciBc reuirements o the listed legislation(

3(!(! tate aid and pu)lic procurement%escri)e how uestions regarding state aid and pu)lic procurement arerele,ant or the Programme and how such issues are sol,ed(

&he applica+le rules on state aid and pu+lic procurement shall +e compliedwith* 'escri+e how pu+lic procurement regulations aHect the "rogramme and

how releant issues are soled* 'escri+e how state aid issues are soled forinstance through state aid schemes >including timelines and references?@ andnoti;cations@ +loc eemptions@ use of the de minimis rules@ European)ommission 7uidelines@ etc*

3(!(6 .ustiBcation or the Programme strateg1%escri)e the strateg1 o the Programme or addressing the challengesand needs descri)ed a)o,e(

Bith reference to the anal3sis in *4*1 ! *4*4 a+oe@ proide the usti;cation forthe "rogramme strateg3* 'escri+e the strateg3 that forms the +asis for the"rogramme@ as well as descri+ing wh3 it has +een chosen and how it is epectedto delier the epected results* &he usti;cation shall include information on howthe "rogramme area speci;cities TlinU will +e addressed*

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3(6 Programme o)+ecti,es and indicators"lease refer to the Article 1* of the Regulations for de;nitions of a "rogrammeand proects*

Refer to chapter 2 of this Manual for de;nitions of the o+ectie@ epectedoutcome and outputs*

&he o+ectie@ epected outcome>s? and outputs are e3 elements in identif3ingthe priorities of a "rogramme* For this reason@ when a call is held >ref* section*14*of this Manual? the identi;ed o+ectie@ outcome>s? and outputs will +e adecisie factor in the "rogramme #perator$s selection of proect proposals*

3(6( O)+ecti,e o Programme ref* Figure 1a+oe?* %t is formulated todescri+e the positie situation that is epected to occur at the completion of the"rogramme* &he epected outcome remains ;ed oer the "rogramme period*

"rogrammes ma3 hae one or more epected outcomes*

3(6(3 Programme outputs%eBne at least 2 Programme outputs or each expected outcome(

#utputs are de;ned as the "rogramme deliera+les >ref* Figure 1a+oe? that can+e guaranteed +3 the "rogramme* &he3 are the products or serices that areepected to +e in place following the completed implementation of the"rogramme and which contri+ute to the achieement of the epectedoutcome>s?* &he o+ectie@ epected outcome>s? and outputs are e3 elements inidentif3ing the priorities of a "rogramme*

E4AMP5E

C)ontrol s3stems for handling of haQardous waste deeloped coering area and OD*

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3(6(! "ndicatorsC ,eriBcation and )aselinesBhen selecting indicators to erif3 the success of the "rogramme@ it is importantto select indicators that the "rogramme is liel3 to inuence* For moreinformation on indicators see )hapter 2a+oe*

A list of standardised indicators has +een deeloped T


27/42


3(D $is and uncertaint1"denti1 and assess the rele,ant ris actors that ma1 aHect theachie,ement o the Programme expected outcomes?*

%nformation a+out the 'onor programme partner >name@ contact details@ corecompetences? and its releance to the "rogramme must +e proided* &hepartner$s inolement in the deelopment of the "rogramme proposal must also+e descri+ed* %f the "rogramme #perator has preiousl3 cooperated with the'onor programme partner@ this must +e stated*

&he role of the 'onor programme partner as well as the scale and content of thecooperation in the "rogramme must +e descri+ed*

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3((2 %onor partnership pro+ects"roects ma3 +e prepared and implemented in cooperation +etween one or morelegal entities in the ,ene;ciar3 /tate and one or more legal entities in the 'onor/tate>s?* &he "rogramme #perator shall encourage and facilitate theesta+lishment of such partnerships*

'onor proect partnerships need to +e +ased on an agreement in line with there8uirements set out in Article 5* of the Regulations* %nformation on how theidenti;cation of potential partners is enisaged@ as well as their potential role andreleance to the proects in this "rogramme area must +e proided* %n addition@the #perator shall descri+e the adice that will +e proided on pu+licprocurement rules*

&he "rogramme #perator shall within each "rogramme set aside not less than 1*V of the eligi+le ependiture of the "rogramme for

a? search for proect partners from the 'onors /tate>s? prior to or during thepreparation of a proect application@ the deelopment of such partnerships@and the preparation of an application for a 'onor partnership proectG

andLor

+? networing@ echange@ sharing and transfer of nowledge@ technolog3@eperience and +est practices +etween "roect "romoters and entities inthe 'onor /tate>s?*

&he "rogramme #perator shall in this section state which of the measures >a? and>+? a+oe it intends to mae use of* %f the "rogramme #perator intends to use+oth measures@ it shall state and ustif3 the split +etween the two measures* &hestructure that will +e esta+lished in order to mae use of the funds for this shallalso +e descri+ed@ i*e* selection procedures and criteria for awarding support@ thegrant rate and the maimum grant amount@ and measures in place to proide

adice on and chec compliance with pu+lic procurement rules*

3(9 Pre-deBned pro+ects"denti1 and +usti1 an1 planned pre-deBned pro+ects and descri)e howthe1 will contri)ute to the rele,ant Outcome(

"re-de;ned proects do not need to +e selected through calls for proposals* %f an3pre-de;ned proects are proposed@ the3 shall +e listed under the releantoutcome as a separate output* "re-de;ned proects ma3 hae +een identi;ed inthe Mo(@ and additional pre-de;ned proects can also +e included in the"rogramme proposal*

&he following information on the pre-de;ned proects shall +e proided as an

Anne to the "rogramme proposal>a? +acground and usti;cation for the proect including reference to releant

pu+lic plans and prioritiesG

>+? o+ectie and epected outcome>s? of the proectG

>c? information on the "roect "romoterG

>d? the results of feasi+ilit3 studies when applica+leG

>e? a timeta+le for implementing the proectG and

>f? the ;nancing plan showing the total planned ;nancial resources and theplanned contri+ution from the ;nancial mechanisms*

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3(0 mall grant schemes"denti1 and +usti1 an1 planned small grant schemes? >e*g* amount offunding@ plan for call>s? for proposals@ selection procedures@ grant rate@ adancepa3ment including information on an3 restrictions@ maimum grant amount@procedures and the set-up for eri;cation of pa3ment claims@ information wor@adice in respect of pu+lic procurement and state aid etc?*

%f the management of the small grant scheme>s? is to +e su+-contracted@ descri+ethe "rogramme #perator$s re8uirements is-W-is the small grant scheme$soperator>s? and how the diision of tass +etween the "rogramme #perator andthe small grant scheme operator>s? is enisaged* %f the su+-contractor>s?hasLhae not +een identi;ed@ then descri+e how this will +e done* %f the su+-contractor>s? hasLhae alread3 +een indenti;ed@ then descri+e the su+-contractor>s? as well as how and on what +asis this L these su+-contractor>s? has Lhae +een identi;ed*

3('ross-cutting issues%escri)e the speciBc measures that ha,e )een put in place to ensurethat the principles o good go,ernance are integrated in the planningand implementation o the ProgrammeC as well as pro+ects(

Assess how the pro+ects positi,el1 or negati,el1 will aHect theen,ironment( %escri)e the speciBc measures that ha,e )een I will )eput in place to ensure that the en,ironment is not harmedC and how thiswill )e ,eriBed(

%escri)e how the economic sustaina)ilit1 o the pro+ects will )eensured(

%escri)e how the social sustaina)ilit1 o the pro+ects will )e ensured(

%escri)e the speciBc measures that ha,e )een put in place to ensuregender eualit1 is integrated into the planningC implementation andmonitoring o the Programme and pro+ects(

For more information on what is re8uired in order to assess challenges and

o+stacles related to the cross-cutting issues@ see section 2*6of this Manual*

3(2Pro+ect monitoring )1 the Programme Operator.usti1 the methodolog1 or monitoring o pro+ects under a Programmeas set out in su)paragraph


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3(3"normation and pu)licit1"nclude a 'ommunication PlanC in accordance with the Article!(D(2 o the $egulationsC and the "normation and Pu)licit1$euirements(

Bith the aim of highlighting the role of the ;nancial mechanisms and to ensurethat assistance from the mechanism is transparent@ the )ommunication "lan shalldescri+e measures that aim at creating awareness of the eistence@ theo+ecties@ the possi+ilities for and actual +ilateral cooperation with 'onor /tateentities@ the implementation of the "rogramme@ and the oerall impact of supportfrom the ;nancial mechanisms to the e3 staeholders and the general pu+lic*

%n line with the R,M approach@ emphasis in communication shall +e placed onepected and actual +ene;ts and changes@ results and achieements@ due to the"rogramme and the ;nancial mechanisms support* Aims@ target groups@actiities@ communication tools and timeframe shall all +e descri+ed in the)ommunication "lan*

For more details on the o+ligations of the "rogramme #perator@ refer to Article4*6*2 of the Regulations and the %nformation and "u+licit3 Re8uirements in Anne4 to the Regulation*

3(!Management"n this sectionC Programme Operators shall descri)e the entiremanagement structure and planned implementation o the Programme(#he ollowing inormation must )e pro,ided8

3(!( Management structure"rogramme #perators are responsi+le for preparing and implementing a"rogramme* &his includes announcing a call@ receiing and selecting proects@

;nancial controls@ monitoring and reporting* For the tass of the "rogramme#perator see Article 4*6 of the Regulations*

"rogramme #perators shall proide information on how the "rogramme will +emanaged@ speci;call3 listing the responsi+ilities@ roles@ rights and o+ligations ofall engaged institutions and entities within the "rogramme #perator$sorganisation* &his should +e +ased on the appropriate proisions of theRegulations* Authors shall use charts showing the management structure*

"rogramme #perators shall proide a list of e3 personnel including informationon which tass the3 are dedicated to undertae@ and their 8uali;cations inrespect of these tass* "roide current ).s as an anne to the proposal* &his shallappl3 for personnel responsi+le for legal@ ;nancial and technical issues related tothe "rogramme area* Administratie departments or +odies responsi+le forimplementation of the information and pu+licit3 measures@ including a contactperson shall +e identi;ed*

%nformation a+out "rogramme partners >name@ contact details@ corecompetences? and their releance to the "rogramme must +e proided* &hepartner$s inolement in the deelopment of the "rogramme proposal must also+e descri+ed* %f the "rogramme #perator has preiousl3 cooperated with the"rogramme partner@ this must +e stated*

&he "rogramme #perator of a 'onor partnership programme shall esta+lish a)ooperation )ommittee* &he composition of the committee is descri+ed in Article

* of the Regulations* &he purpose of the )ooperation )ommittee is to esta+lisha formal meeting place for the "rogramme partner when preparing andimplementing the "rogramme* %f a )ooperation )ommittee is to +e esta+lished

0


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for the "rogramme@ the operator shall descri+e the foreseen esta+lishment andfunctioning of this within the "rogramme*

3(!(2 #imelineA timeline shall +e proided showing all maor steps in the implementation@including the launch of the "rogramme@ preparation of call>s?@ launch of the

call>s?@ completion of the selection of proects@ reporting c3cles@ informationactiities@ inolement of entities in the 'onor /tate>s?@ etc* Authors shall usetet and charts to present this information*

3(!(3 'alls&his information must include the num+er of calls and their detailed plannedtiming@ as well as the indicatie amount +eing made aaila+le in each call* An3diHerences +etween calls in terms of o+ecties@ eligi+le applicants@ etc@ shall +ehighlighted* &he "rogramme #perator shall also eplain the methods of pu+licit3planned for the calls* &he calls shall +e widel3 pu+licised with a iew to reach allpotential applicants* An3 limitation on the pu+lication shall +e usti;ed*

&he minimum and maimum grant amounts for proects within the "rogrammeshall +e de;ned@ as shall the grant rates at the proect leel* Eligi+le applicantsshall also +e de;ned* An3 restrictions placed on eligi+ilit3 of applicants andLorproect partners shall +e usti;ed* %f ciil societ3 or small and medium-siQedenterprises >/MEs? are encouraged to appl3@ this should +e stated* Refer toArticle 5* of the Regulations for more details on calls for proposals* )alls that areopen to applications for cross-+order proects@ andLor international organisationsshould speci;call3 state so*

3(!(! Pro+ect selection&he "rogramme #perator shall proide a step-+3-step description of the selectionprocesses and procedures >ref* )hapter 5 of the Regulations for further details?@

and which shall as a minimum contain the following information

a? /election )ommittee ! the composition of the committee >ref* Article5*4 of the Regulations?G

+? selection criteria ! these should +e de;ned up front@ clearl3 de;ningwhat aspects will +e scored and weighted in the ealuation ofapplications@ and including how the3 contri+ute to achieing the"rogramme's epected outcome>s? and "rogramme outputsG

c? administratie and eligi+ilit3 compliance ! including the re8uirementsand the processes for ensuring re8uirements are metG

d? appraisal ! information on the planned s3stem for the appraisal ofproects@ including who appraise the applications from a 8ualit3 controlperspectie in respect of releance@ planning@ proect design@ feasi+ilit3@;nancial forecasting@ riss@ and sustaina+ilit3@ eri;cation of whetherthe information proided is sucient and relia+le@ to identif3 an3additional information needed@ and to de;ne an3 necessar3modi;cations that will contri+ute to an improed proectG

e? communication with applicants ! this should +e de;ned throughout theselection process and whether@ and in what cases@ applicants ma3su+mit missing information after the closure of the callG and

f? appeal processes ! including steps@ timelines and reiewing +odies*

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&he "rogramme #perator shall proide information on the methods@ +oth generaland speci;c@ of how conict of interest situations with persons inoled in theselection@ eri;cation and monitoring processes will +e aoided*

3(!(6 Financial management&he "rogramme #perator shall +e responsi+le for the ;nancial management of

the "rogramme in accordance with the Regulations and the releant countr3-speci;c Mo(*

&his section shall@ as a minimum@ include

an assessment on whether proects within the "rogramme are liel3 togenerate economic +ene;ts@ e*g* cost saings or increased pro;tG

esta+lishment and maintenance of a separate interest-+earing +an accountdedicated to the funds intended for regrantingG

when applica+le@ rules on the eligi+ilit3 of in-ind contri+ution and the unitprices for oluntar3 wor >ref* Articles *4*4 and *4* of the Regulations?G

arrangements for pa3ments from the "rogramme #perator to the "roect

"romoters@ including the percentage and oH-set mechanism of adancepa3ments and an3 restrictions appl3ing to them@ fre8uenc3 and calculation ofinterim pa3ments@ and conditions and timing of ;nal pa3mentsG and

procedures and the set-up for eri;cation of pa3ment claims from "roect"romoters*

3(!(7 ModiBcation o pro+ectsExplain the procedures en,isaged to handle pro+ect modiBcationsCincluding8

procedures for dealing with amendment re8uests +3 "roect "romotersG

procedures for initiating amendments in proects +3 the "rogramme #peratorG

an3 limitations to modi;cationsG and deadlines*

3(6*udgetA +udget for the "rogramme shall +e proided +3 the "rogramme #perator* Allamounts set out in the +udget shall +e shown in euro* &he amounts shall +erounded to the nearest euro*

#erall ;gures shall +e proided per +udget heading@ +roen down to eligi+leependiture and non-eligi+le ependiture* Eligi+le ependiture is further +roendown per source of contri+ution whether the ;nancial mechanisms or national co-;nancing according to the grant rate re8uested*

&he distri+ution of the ;nancial mechanism$s contri+ution per calendar 3ear shall+e proided*

3(6( *udget headingsManagement costs incurred +3 the "rogramme #perator are eligi+le inaccordance with Article 6*10 of the Regulations* &he management costs cannoteceed the ceiling proided in the Regulations* &he "rogramme #perator shallinclude a detailed +udget in a standard format anneed to the "rogrammeproposal@ and shall proide calculations and eplanations on unit costs@ hourl3rates@ 8uantities used@ etc*

&he contri+ution for re-granting towards proects shall +e +roen down perepected outcome>s? of the "rogramme as de;ned in section **2 of the

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"rogramme proposal* &he proposed +udget shall +e consistent with the timing ofthe planned calls descri+ed in section *14*of the "rogramme proposal*

Ependiture on funds for +ilateral relations is eligi+le in accordance with Article6*6 of the Regulations* .arious t3pes of actiities falling under the scope of+ilateral relations are foreseen in Article *5 of the Regulations* &he allocation to

the funds for +ilateral relations shall not +e less than 1@ V of the eligi+leependiture of the "rogramme* A description of the planned actiities with adetailed usti;cation shall +e proided in section *of the "rogramme proposal*

Ependiture for complementar3 action is eligi+le in accordance with Article 6*11of the Regulations* )osts of complementar3 action ma3 not eceed 20V of themanagement cost for the "rogramme@ ecept in the case of funds for N7#swhere the ceiling shall +e 0V@ su+ect to the maimum ceiling in paragraph 4 ofArticle 6*10 of the Regulation* A description of the planned actiities with adetailed usti;cation shall +e proided +3 the "rogramme #perator*

Ependiture related to the preparation of a "rogramme proposal is eligi+le inaccordance with Article 6*9 of the Regulations* &he maimum amount of eligi+le

costs for the preparation of a "rogramme proposal shall not eceed 0*V of thetotal eligi+le ependiture of the "rogramme or 100@000 euro@ whicheer is lower*Ependitures can +e claimed with the ;rst %nterim Financial Report*

A resere related to the mitigation of echange rate losses suHered +3"rogramme #perators and "roect "romoters ma3 +e suggested in the"rogramme proposal >ref* Article *5* of the Regulations?* A usti;cationincluding a clear and transparent method of calculating echange rate losses andtheir settlement shall +e proided +3 the "rogramme #perator* &he amount ofthe resere shall not eceed 1V of the total eligi+le epense of the "rogramme*

3(6(2 Ad,ance pa1ment

&he "rogramme #perator ma3 receie an adance pa3ment in accordance withArticle *2 of the Regulations* &he amount of the adance shall +e calculated asthe ;nancial mechanism$s share of usti;ed estimated "rogramme ependiturefor up to two full reporting periods@ i*e* for up to +etween 4 and months fromthe ;rst date of eligi+ilit3 of the "rogramme* &he adance pa3ment re8uestedshall +e +roen down per +udget heading and a usti;cation shall +e proided*

3(7O,er,iew o annexes reuired to the Programmeproposal

%* if applica+le?

%%%* Monitoring plan%.* )ommunication "lan.* )hart>s? showing the management structure

.%* ).s of e3 personnel.%%* Maps and ;gures


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! F"NAN'"A5 $EPO$#"N"a3ments to "rogrammes shall tae form of adance pa3ment@ interim pa3ments@and pa3ment of the ;nal +alance* A re8uest for adance pa3ment shall +e part ofthe "rogramme proposal@ for more details see chapter *1*2 of this Manual*%nterim pa3ments and pa3ment of the ;nal +alance shall +e made in accordancewith Articles * and *4 of the Regulations* &he underl3ing principle of the;nancial ow is pa3ment of adance instalments to "rogramme #perators duringthe implementation period in order to coer estimated future ependiture@ and atthe same time reporting on the use of preiousl3 receied funds to coer actuall3incurred ependiture +3 "rogramme #perators*

!( "nterim pa1ments%nterim pa3ments shall +e paid +ased on %nterim Financial Reports su+mitted +3the "rogramme #perator@ certi;ed +3 the )ertif3ing Authorit3@ and approed +3

the FM)* A standard format of the report is proided in Anne 11 to theRegulations* Each report will +e customised to the speci;c "rogramme@ i*e* thereport will contain "rogramme speci;c data@ such as contact details of the"rogramme #perator@ ;nancial information from preiousl3 su+mitted reports@applica+le echange rate@ etc*

A we+-+ased interface will allow "rogramme #perators to su+mit %nterimFinancial Reports@ as well as )ertif3ing Authorities to certif3 the reports* &heinterface shall proide all necessar3 eplanations and guide to "rogramme#perators through all steps of completing and su+mitting the report*

Reports shall +e su+mitted with a pre-de;ned fre8uenc3@ coering three reportingperiods in each calendar 3ear

>a? 1 anuar3 ! 0 April@ with a deadline for su+mission to the FM# on 1 ul3G

>+? 1 Ma3 ! 1 August@ with a deadline for su+mission to the FM# on 1Noem+erG and

>c? 1 /eptem+er ! 1 'ecem+er@ with a deadline for su+mission to the FM# on1 March the following 3ear*

&he purpose of the %nterim Financial Report is twofold* Firstl3@ the "rogramme#perator shall proide a statement of actual ependiture incurred for thereporting period preceding the su+mission date of the report >i*e* if thesu+mission deadline is 1 ul3@ reporting shall coer the period 1 anuar3 ! 0April?* &he "rogramme #perator shall report separatel3 on eligi+le and non-eligi+le ependiture incurred* All amounts in this section shall +e denominated inlocal currenc3@ and will +e automaticall3 conerted to euro with the applica+leechange rate*

/econdl3@ the "rogramme #perator shall proide a statement for proposedeligi+le ependiture for the reporting period immediatel3 following thesu+mission date of the report >i*e* if the su+mission deadline is 1 ul3@ theproposed ependiture shall coer the period 1 /eptem+er ! 1 'ecem+er?* Allamounts in this section shall +e denominated in euro* &he FM) will dis+urse thegrant part of the proposed ependiture@ unless ependiture proposed +3 the"rogramme #perator is considered unusti;ed* Also the amount of an3 preiousl3dis+ursed@ +ut unused funds will +e taen into consideration when approing the

claim* %n order for a pa3ment to +e approed@ an3 conditions set out in theRegulations and the "rogramme Agreement must +e ful;lled*

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Reporting on incurred ependiture as well as on proposed ependiture shall +e+roen down per +udget heading as set out in the "rogramme proposal andapproed for the "rogramme* Appropriate +udget headings for each "rogrammewill +e proided in the %nterim Financial Report template* For more information on+udget headings see chapter *1*1 of this Manual*

&he "rogramme #perator will +e a+le to claim the cost incurred in relation topreparation of "rogrammes in the ;rst %nterim Financial Report*

!(2 Final )alance&he ;nal +alance shall +e paid +ased on the calculation of the ;nal +alance in theFinancial anne of the Final "rogramme Report@ which is certi;ed +3 the )ertif3ingAuthorit3 and approed +3 the FM)* A standard format of the report is proidedin attachment 2 of this Manual* /imilarl3 to the %nterim Financial Report@ thisreport will also +e customised to the speci;c "rogramme@ and the report will +esu+mitted +3 the "rogramme #perator and certi;ed +3 the )ertif3ing Authorit3through the we+-+ased interface*

&he calculation of the ;nal +alance will tae into consideration on the one handall eligi+le ependiture reported +3 the "rogramme #perator@ on the other handall preious pa3ments made towards the "rogramme and an3 possi+ledeductions@ such as interest earned +ut not 3et reim+ursed@ or an3 fundsreim+ursed from "roect "romoters not 3et reim+ursed +3 the "rogramme#perator to the FM)*

%n most cases the ;nal +alance will +e an amount pa3a+le from the FM) to the"rogramme #perator@ howeer in eceptional cases it can +e an amount pa3a+lefrom the "rogramme #perator to the FM)*

A statement of actual ependiture incurred for the last reporting period will also+e included in the Financial anne of the Final "rogramme Report* &his section

will follow the standard format of the same section of the %nterim FinancialReport*


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6 ANN&A5 P$O$AMME $EPO$# ON"MP5EMEN#A#"ON AN% F"NA5$EPO$#

&he Annual Programme $eportis prepared +3 the "rogramme #perator andshall gie an oeriew of the implementation of the "rogramme with directreference to the information proided in the "rogramme proposal and there8uirements of the "rogramme Agreement* &he information proided in thereport shall +e limited to the reporting period >the preious 12 months?@ withoutrepeating what has preiousl3 +een reported on*

&he reports shall +e su+mitted as set out in the Mo( and the Regulations >ref*Article *10?*

&he Final $eport shall focus on achieement of the "rogramme o+ecties@epected outcome>s? and outputs* #nl3 the main elements of the implementationof the "rogramme shall +e included* &he reporting period is in the case of theFinal Report the same as the entire "rogramme period >ref* Article *11 of theRegulations?*

&he main +od3 of the report should not eceed 20 pages@ ecluding an3attachments* &he report shall consist of the sections set out +elow*

6( Executi,e summar1&his section shall proide a short summar3 of the principal ;ndings and points ofthe report*

6(2 Programme area speciBc de,elopmentsBith reference to the information proided in the "rogramme proposal >inparticular chapter *?@ descri+e important deelopments in the "rogramme area@also in respect of polic3@ ;nancial or administratie changes*

6(3 $eporting on outputs7ie a summar3 and anal3sis of how the selected proects hae contri+uted orare contri+uting to each of the "rogramme outputs set out in the "rogrammeproposal* Anal3se progress towards the de;ned outputs@ and eplain an3deiation from the plan*

(se the indicators that hae +een set to erif3 progress* %f an3 reiews of proectshae +een undertaen@ these shall also +e used to erif3 progress* (se eamplesto illustrate and show progress* Focus on the most important results at outputleel*

7ie a summar3 of the implementation of each pre-de;ned proect* Bhenproects hae +een completed gie a summar3 of their actual contri+utions to theoutput targets*

7ie a summar3 of the implementation of small grant schemes* %f this is a FinalReport@ proide a summar3 of their actual contri+utions to the "rogrammeoutput*

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6(! $eporting on Programme outcomeAnal3se how the proects$ and "rogramme$s outputs contri+ute to the epectedoutcome de;ned in the "rogramme proposal* (se the indicators that hae +eenset to erif3 progress* %f the "rogramme has +een su+ect to a reiew@ this shallalso +e used to erif3 progress* Focus on the most important results at the

outcome leel*%f this is a Final Report@ then report on the outcome compared to the epectedoutcome* (se the indicators that hae +een set to erif3*

6(6 Pro+ect selectionBith reference to the "rogramme proposal list the calls carried out during thereporting period* %nclude a summar3 of the call>s? and descri+e the leel ofinterest*

%f this is a Final Report@ then proide a summar3 of all the calls in the whole"rogramme period*

6(7 Progress o )ilateral relations7ie a summar3 of how partnerships +etween the ,ene;ciar3 /tates and the'onor /tate>s? hae +een facilitated during the reporting period* %n cases ofdonor partnership programmes@ the cooperation +etween the "rogram #peratorand the donor programme partner shall +e assessed* /tate the num+er of donorpartnership proects@ and descri+e what has +een done to encourage theesta+lishment of such partnership* 7ie a +rief oeriew of the use of the Fundsfor +ilateral relations at "rogramme leel*

6(D MonitoringBith reference to the monitoring plan for the current reporting period@ descri+e

the monitoring actiities that hae +een carried out and gie a summar3 of the;ndings*

"roide a monitoring plan for the net reporting period@ following the formatgien in )hapter 6*2 of this Manual*

6( Need or ad+ustmentsAll planning is to a certain etent +ased on assumptions@ and the assumptionsmade when designing a "rogramme plan might change oer time* &his mightagain impl3 a need to adust the plan* %f the "rogramme #perator has made useof a possi+ilit3 to modif3 the "rogramme in line with Article * of the Regulationsand the "rogramme Agreement during the reporting period@ the modi;cationsshall +e descri+ed in this section*

6(9 $is managementBith reference to the riss identi;ed in the "rogramme proposal@ gie an anal3sisof the situation and an3 mitigating actions carried out or planned* %f an3 newriss hae +een identi;ed@ then the3 shall also +e discussed in this section*

6(0"normation and pu)licit1Bith reference to the )ommunication "lan proided in the "rogramme proposal>ref* )hapter *1a+oe? gie a summar3 of the actiities carried out during thereporting period*

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6('ross-cutting issues'escri+e how the "rogramme has performed >positiel3 or negatiel3? in relationto the three cross-cutting issues >ref* )hapter *11 in this Manual?@ and whichmeasures@ if an3@ that hae +een put in place to improe performance*

6(2$eporting on sustaina)ilit1%f this is a Final Report@ proide an assessment of the etent to which the positieeHects of the "rogramme will continue after the funding period*

6(3Attachment to the Annual Programme $eportMonitoring "lan@ see section 6* in this Manual

6(!Attachment to the Final Programme $eportFinancial anne@ see attachment 2 of this Manual*


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7 P$O.E'# 5E/E5 "NFO$MA#"ON

7( $euirements or standardised inormation/tandardised information allowing for aggregation of data is needed at proectleel* "rogramme #perators are responsi+le for su+mitting information related toeach approed proect* (pdates and changes to this information during theproects$ life c3cles are also the responsi+ilit3 of the "rogramme #perators*

"rogramme #perators should +e aware that additional information ma3 +ere8uested ad hoc +3 the FM# for purposes such as sure3s@ reiews andealuations@ and to compl3 with information re8uests from the 'onor /tate>s?*

According to su+paragraph >p? of Article 4*6 of the Regulations@ "rogramme#perators are responsi+le for ensuring entr3 of proect-speci;c information tomaintain the information data+ase* 'is+ursement of funds from the ;nancial

mechanisms is su+ect to the ful;lment of this re8uirement according to Article12*1 of the Regulations*

7(2 u)mission o inormationA we+-+ased interface TlinU will allow "rogramme #perators to su+mit andupdate statistical information to the FM#* &he interface shall proide allnecessar3 eplanations and templates@ and guide "rogramme #perators throughall steps of su+mitting and updating the information* A preiew of all re8uiredstatistical information at "rogramme and proect leel will also +e aaila+le onthe we+site* All information shall +e su+mitted in English*

7(3 Pro+ect "normationFor each approed proect@ the "rogramme #perator shall +e responsi+le forproiding the information listed in 5**1 ! 5**6 +elow* &he "rogramme #peratorshall use the we+-+ased reporting s3stem to su+mit speci;c proect information

no later than 1 da3s after the conclusion of the proect contractG

no later than 1 da3s after amendments in proects or reision of proectinformationG

7(3( *asic inormation"roide +asic proect details

proect %'-num+er >"rogramme #perators$ own?G

name of the proectG name of "roect "romoter and contact informationG and

epected startLend date of the proect%n addition an %'-num+er speci;c for the ;nancial mechanisms will +e proided+3 the we+-+ased interface* &his is the main identi;er of a proect and shall +eused in all communication*

7(3(2 Pro+ect partnersFor other proect partners@ the following information shall +e proided

name of proect partners and contact informationG

countr3 of originG and

information a+out the content of the partnership and how it will contri+uteto the achieement of the proect$s o+ecties*

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7(3(3 Pro+ect summar1A short proect summar3 >+etween 600 and 1000 characters? shall +e proidedfor each proect@ including the proect$s epected outcome and main actiities*

&he summaries will +e made aaila+le on the online proect data+ase for the EEAand Norwegian Financial Mechanisms >see www*eeagrants*org andwww*norwa3grants*org? and shall +e made aaila+le on "rogramme #perator$swe+ pages@ in accordance with the re8uirements set out in Anne 4 to theRegulations* A template for and eamples of proect summaries is aaila+le in theinformation and reporting s3stem*

7(3(! Programme area speciBc inormation&he "rogramme #perator shall proide information speci;c to the "rogrammearea the proect falls under andLor the actiities undertaen +3 the proect* &hecategories for each "rogramme area will +e aaila+le with eplanations in thewe+-+ased interface*

7(3(6 'oding)oding is used as a classi;cation of the sector@ the target groups and thegeographical scope*

&he classi;cation of sector information +reas down the grants +3 sector speci;cthematic areas@ and therefore maes possi+le to compare the amount spent withother international thematic codes as the 'A) )#'E used +3 #E)'@ and the F#%>Field of %nterention? used +3 the European )ommission for the period 2006-201*

&he "rogramme #perator shall identif3 the main target group>s? which +ene;tfrom the proect* A num+er of pre-de;ned target groups are listed@ +ut "roect"romoters shall identif3 other target groups when necessar3*

&he identi;cation of the geographical dimension of proects is important to

understand where and how the funding is distri+uted within the ,ene;ciar3 /tate*&he ;nancial mechanisms appl3 the N(&/ coding standard s3stem to classif3geographical information* "roects ma3 either hae a local@ regional or nationalfocus@ depending on the target and impact of the proect actiities* &he lowestpossi+le leel of N(&/ coding shall +e applie

Programme Operators' Manual (Final)

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Transcript of Programme Operators' Manual (Final)