2018-02-07 Assessment Manual

Joint Operational Programme Romania – Ukraine 2014 – 2020
ASSESSMENT MANUAL
CONTENT
ACRONYMS 2
Chapter 1 INTRODUCTION ...................................................................................................... 2
1.1 Joint Operational Programme Romania – Ukraine 2014 – 2020 ............................................... 2
1.2 The calls for proposals ............................................................................................................... 5
1.3 The Project Selection Committee .............................................................................................. 5
1.3 Programme Structures. Other actors involved in the process................................................... 6
Chapter 2 GENERAL FRAMEWORK .......................................................................................... 8
2.1 Legal and procedural framework............................................................................................... 8
2.2 Working principles ..................................................................................................................... 8
Chapter 3 THE EVALUATION PROCESS .................................................................................. 11
3.1 Process overview ..................................................................................................................... 11
3.2 Preparatory activities .............................................................................................................. 12
2.1 Submission of project proposals, receipt and registration ...................................................... 13
2.2 Administrative and eligibility check (step 1) ............................................................................ 14
2.3 Technical and financial evaluation (step 2) ............................................................................. 17
2.4 Preparation of additional documents (only for HARD projects) .............................................. 19
3.7 Submission of additional documents, receipt and registration ............................................... 20
3.8 Evaluation of the additional documents (step 3, only for HARD projects) .............................. 21
Chapter 4 PROCEDURES IN CASE OF EMS-ENI MALFUNCTION.............................................. 25
Chapter 5 LIST OF ANNEXES AND TEMPLATES ...................................................................... 25
5.1 General templates ......................................................................................................................... 25
5.2 Evaluation related templates ........................................................................................................ 25
5.3 Instructions for internal and external assessors ............................................................................ 26
5.4 Guidance for the Project Selection Committee ............................................................................. 26
TERMINOLOGY ........................................................................................................................... 26
Version 2018 Page 1 of 27

ASSESSMENT MANUAL
ACRONYMS
JMC Joint Monitoring Committee
JTS Joint Technical Secretariat
MA Managing Authority
NA National Authority
PSC Project Selection Committee
Chapter 1 INTRODUCTION
1.1 Joint Operational Programme Romania – Ukraine 2014 – 2020

The Joint Operational Programme Romania- Ukraine 2014-2020 contributes to the European
Neighbourhood Instrument strategic objectives, and focuses its intervention on four thematic objectives:
1. Support to education, research, technological development and innovation
2. Promotion of local culture and preservation of historical heritage
3. Improvement of accessibility to the regions, development of transport and communication
networks and systems
4. Common challenges in the field of safety and security
The general objective of the Joint Operational Programme Romania- Ukraine 2014- 2020 is to enhance the
economic development and to improve the quality of life of the people in the Programme area through
joint investments in education, economic development, culture, infrastructure and health while ensuring
the safety and security of the citizens in the two countries.
In order to achieve the general objective of the Programme and the thematic objectives chosen by the
participating countries, seven priorities were developed:
Priority 1.1 Institutional cooperation in the educational field for increasing access to education and
quality of education
Priority 1.2 Promotion and support to research and innovation
Priority 2.1 Preservation and promotion of the cultural and historical heritage
Priority 3.1 Development of cross border transport infrastructure and ICT tools
Priority 4.1 Support to the development of health services and access to health
Priority 4.2 Support to joint activities for the prevention of natural and man-made disasters as well as
joint actions during emergency situations
Priority 4.3 Prevention and fight against organised crime and police cooperation
The contribution of the European Union to the Programme is of 60 million EUR, while the participanting
countries must ensure a co-financing of at least 6 million EUR.
The core regions of the Joint Operational Programme Romania-Ukraine 2014-2020 cover:
 Romania (5 counties) Suceava, Botoșani, Satu-Mare, Maramureș, Tulcea
 Ukraine (4 oblasts) Zakarpattia, Ivano-Frankivsk, Odessa, Chernivtsi
Type of projects, Programme expected results, Programme result and (common) output indicators for
each priority, including description, baseline and target values are shown in the table below:

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Type of Programme expected Indicator Output indicator2 Indicator

Priority Result indicator1
projects result value value
1.1 – Institutional Enhanced cooperation RI 111 Increase from COI 111 Number of institutions using 15
cooperation in the between educational Percent of tertiary 14 % to 16% Programme support for
educational field for institutions leading to an education students from cooperation in education, R&D
increasing access to increase in quality of the eligible area from total and innovation
education and education programs available no. of students OI 112 Number of people benefitting 5,000
quality of education in the eligible area, as well as from all types of activities that
SOFT
improving accessibility to RI 112 Increase from received funding within the CBC
education and ensuring Employment rate in the Programme
57.77 % to
appropriate, labour market eligible area OI 113 Number of rehabilitated / 5
59%
relevant skills of the modernized educational
graduates. institutions
1.2- Promotion and Improved pre-conditions for RI 121 Increase of OI 121 Number of institutions using 5
support to research sustained cooperation in the Number of employees in about 2% Programme support for
and innovation field of research and research & development (from 4380 to cooperation in R&D and support
SOFT innovation contributing to activity 4468 of innovation
economic development of employees)
the region
2.1- Preservation Restored cultural and RI 211 Increase of COI 211 Number of institutions using 10
and promotion of historical sites that enhance Number of overnight about 5% Programme support for
the cultural and SOFT the cross – border touristic stays in the eligible area (from promoting local culture and
historical heritage potential of the eligible area. 1,820,017 to preserving historical heritage
1,912,000) COI 212 Number of improved cultural and 5
historical sites
3.1 Development of 1.Increased mobility of RI 311 Increase 5% of COI 311 Total length of reconstructed or 10
cross border persons and goods in the Cross border traffic crossings on upgraded roads
transport eligible area through a volume (by rail, road) cross points OI 312 Number of joint mechanisms to 3
infrastructure and modernized transport (auto and rail) support improvement of cross-
ICT tools network border infrastructure (joint
SOFT and 2. Improved integrated ICT planning documents including:
HARD tools to support the cross – strategies, plans, action plans; as
border connections. well as multi-modal facilitation
mechanisms) developed
1
Definition of Programme result indicators, sources of data, measuring units and, indication on measurement and targets are provided in Annex IV to the Joint Operational Programme
Romania – Ukraine 2014-2020 (Report on indicators). During evaluation, this will be the only reference to decide on the correctness of the indicators chosen by the projects.
2
Definition of Programme output indicators, sources of data, measuring units and, indication on measurement and targets are provided in Annex IV to the Joint Operational Programme
Romania – Ukraine 2014-2020 (Report on indicators). During evaluation, this will be the only reference to decide on the correctness of the indicators chosen by the projects.

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Type of Programme expected Indicator Output indicator2 Indicator

Priority Result indicator1
projects result value value
OI 313 Number of additional ICT based 3
tools developed supporting cross-
border cooperation
OI 314 Number of environmentally 3
friendly (carbon-proofed) cross-
border transport initiatives
developed
4.1 Support to the Improved health condition of RI 411 Decrease of ~ COI 411 Population covered by improved 150,000
development of citizens in the eligible area Number of newly 20% of cases health services as a direct
health services and SOFT and and reduced risks for human registered cases of of illness consequence of Programme
access to health HARD epidemiology hazards. illness3 support
OI 412 Number of medical service 3
infrastructure units improved
4.2 – Support to Reduced risks for natural or RI 421 Targets for COI 421 Population benefiting from flood 10,000
joint activities for man-made disasters and Average response time 2023: protection measures
the prevention of improved cross-border joint for emergency situations - 13´50” OI 422 Number of joint actions, including 20
natural and man- SOFT emergency situation systems. in the eligible area in 2023 for soft operations, as well as joint
made disasters as Romania; infrastructure investments in the
well as joint actions - 22´23’’ in field of emergency situations and
during emergency 2023 for the prevention of man-made
situations Ukraine (3% disasters.
decrease)
4.3 Prevention and Increased efficiency of the RI 431 Increase 15% OI 431 Number of participants involved 200
fight against police, border police and Increase of the ratio of in joint capacity building activities
organized crime and custom services in coping annual number of (exchanges of experience, study
police cooperation with cross border organized persons crossing the visits, trainings etc.)
crime, increased level of trust border to the number of
SOFT and and confidence of the customs personnel OI 432 Number of modernized facilities 10
HARD citizens in these structures directly employed at the of police, border police and
border crossing points custom services
RI 432 Increase:
Level of trust of citizens 3% - RO
in the police 8% UA
3
The indicator only counts the newly registered diseases, as reported by the medical staff of each country.

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1.2 The calls for proposals

Distinct calls for proposals are lauched for SOFT and HARD projects and have specific requirements
detailed in the Guidelines for grant applicants approved by the Joint Monitoring Committee.
Information about the calls, the application package, actions and events by which the Programme
supports the potential applicants to participate in the respective calls, are widely disseminated,
especially by posting the related documents and information on the Programme webpage www.ro-
ua.net
1.3 The Project Selection Committee (PSC)

A Project Selection Committee is a temporary structure set by the Programme for a call for proposals,
and assigned to evaluate and select the projects to be financed by the Programme.
Members of the Project Selection Committee are approved, by name, by the Joint Monitoring
Committee.
Each Project Selection Committee consists of one coordinator (appointed by Managing Authority),
one secretary (appointed by Joint Technical Secretariat) and four voting members (two members per
country, appointed by the National Authorities of Romania and Ukraine, and approved by the Joint
Monitoring Committee).
Project Selection Committee is entrusted to:
 coordinate the internal and external assessors, and perform quality check of their work;
 draw up Evaluation Reports at the end of each evaluation stage;
 maintain the written correspondence with the Joint Monitoring Committee;
 analyse and decide on the received appeals to the outcomes of evaluation
More specifically:
 PSC coordinator is responsible for the overall management of PSC proceedings, ensures
compliance with the Programme rules and requirements and implementation of PSC
decisions.
 PSC secretary carries out administrative tasks and performs preliminary quality check of
the work performed by internal/external assessors.
 Project Selection Committee checks the quality of work done by assessors, and if justified,
may request revisions, corrections or a suplimentary assessment of projects in case
situations specified in the present manual arise. Decides on the appropriatness of the
assessors’ proposals to request clarifications from the applicants, by duly considering if,
as a result, the respective projects are altered or improved, prepares the Evaluation
Reports for each evaluation stage and any revision of these, if so decided by the JMC.
Provided that JMC is informed beforehand, representatives of the Managing Authority, the European
Commission and the EU Delegation to Ukraine may participate at the PSC meetings, as observers.
Before participating in any quality to the evaluation process, any person must fill in, sign and forward
to the PSC Secretary, a Declaration of impartiality, confidentiality (annex g_1) and a Declaration
regarding the conflict of interest (annex g_2) which are to be annexed to the corresponding
Evaluation Report.
Any person who has a potential conflict of interest with any applicant or partner must declare it and
immediately withdraw from the Project Selection Committee. (S)He will be excluded from
participating further in any capacity to the evaluation process.

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1.3 Programme Structures. Other actors involved in the process

Selection of the projects to be financed by the Programme requires involvement of different
Programme structures (e.g. National Authorities) and actors (e.g. internal and external assessors)
having clear roles and responsibilities, as presented bellow. During the process, no structure or
person can go beyond his/her respective duties.
 Joint Monitoring Committee
The Joint Monitoring Committee approves the criteria for selecting projects, provides guidance from
the legal perspective for requirements and further evaluation, nominates, with the National
Authorities, members of the PSC and approves composition of the team involved in evaluation
(coordinator, secretary, internal assessors), approves the Evaluation Reports prepared after each
evaluation stage and, in duly justified cases, thoroughly substantiated in its decision, may require a
third independent assessor to perform supplementary evaluation (e.g. in case that the scores
awarded lack consistency and coherence), approves the terms of reference for the external assessors.
The JMC is not allowed to change the scores resulted following the evaluation.
 Managing Authority
The Managing Authority prepares the documentation related to the calls for proposals, nominates the
PSC coordinator, and takes measures for avoiding any double funding of project activities by
circulating the list of projects to the National Authorities and the EC.
The MA oversees the PSC proceedings with the view to ensure full compliance with Programme
requirements, and provides procedural support, as requested.
The MA may act as mediator in case PSC does not reach consensus.
 National Authorities
National Authorities (Ministry of Regional Development and Public Administration, Romania, and the
Ministry of Economy and Trade, Ukraine) support the MA in preparation of the evaluation and
selection procedures, including the contract template, ensuring compliance with the national
legislation, and support the PSC in performing the eligibility check.
Based on the assessment done by internal assessors, NAs check eligibility of the organizations from
the country concerned and are the sole responsible for deciding upon the eligibility of an applicant or
partner located on their national territory.
The NAs are free to take all the necessary steps to get a substantiated opinion over any analysed case,
including by consultation with other relevant national institutions, while keeping the confidentiality
over the evaluation process, and taking measures to avoid any potential conflict of interest.
They also support MA in undertaking any verifications deemed necessary to avoid double founding of
project activities.
 External assessors
The external assessors perform technical and financial assessment of projects, evaluation of
additional documents (in case of HARD projects), and evaluation of appeals declared admissible by
the PSC.
The external assessors must fill in individual evaluation grids only by using the templates provided by
the Guidelines for grant applicants for the respective call and according to the instructions provided
by the present manual, upload them into the Programme electronic system EMS-ENI. If justified, they
may propose PSC to request clarifications from the applicants.

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The external assessors must formulate clear conclusions and recommendations for each project
assessed, and revise their work in case of errors or inconsistencies between the scores awarded and
the comments provided.
They must always act in highly professional manner, in full compliance with Programme
requirements, and avoid by any means delays and poor quality performance.
They may be invited to PSC meetings to present the results of the assessment done, provide
clarifications and, in case of appeals declared admissible by the PSC, review their assessment.
 Internal assessors
Internal assessors are nominated from the JTS and Branch Offices’ in Ukraine staff, and work under
the supervision of PSC coordinator.
They perform the administrative and eligibility check of projects, and must fill in or revise, as required,
the checklists provided by the Guidelines for grant applicants for the respective call and according to
the instructions provided by the present manual.
If justified, the internal assessors may propose PSC to request clarifications from the applicants. The
internal assessors must formulate clear conclusions and recommendations for each project assessed,
and revise their work in case of errors or inconsistencies.
They must always act in highly professional manner, in full compliance with Programme
requirements, and avoid by any means delays and poor quality performance.
They may be invited to PSC meetings to present the results of the assessment done, provide
clarifications and, in case of appeals declared admissible by the PSC, review their assessment.
 Observers
Under the condition that JMC is informed beforehand, MA, EC and EU Delegation to Ukraine may
participate to the evaluation process, as observers in order to enable a better synergy between
bilateral and regional assistance provided to the country by the EU, on one hand, and assistance
provided through the Programme, on the other hand. They do not have decision power and cannot
express their point of view on the projects evaluated/under evaluation or on the PCS decisions.
 The European Commission
European Commission supports the MA in verifying double funding of project activities.

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Chapter 2 GENERAL FRAMEWORK
2.1 Legal and procedural framework

 EU Regulations4
 Regulation (EU) no. 232/2014 of the European Parliament and of the Council establishing a
European Neighbourhood Instrument;
 Regulation (EU) no. 236/2014 of the European Parliament and of the Council laying down
common rules and procedures for the implementation of the Union’s instruments for financing
external actions;
 Commission Implementing Regulation (EU) no. 897/2014 laying down specific provisions for the
implementation of cross border cooperation Programmes financed under Regulation (EU) no.
232/2014 of the European Parliament and the Council establishing a European Neighbourhood
Instrument;
 Commission Decision no. C(2015) 9143/17.12.2015 approving the Joint Operational Programme
Romania – Ukraine 2014-2020
 Specific Programme framework5
 Joint Operational Programme Romania – Ukraine 2014-2020, including any annex to it
 Guidelines for grant applicants in force for the respective call for proposals and any corrigenda to
it, approved by the JMC
 Assessment Manual and any corrigenda to it, approved by the JMC
 Joint Monitoring Committee’s Rules of procedure
 Other decisions or instructions issued by the Joint Monitoring Committee and/or the Managing
Authority with regard to the evaluation process
2.2 Working principles

The working principles shall be thoroughly followed by the Programme structures and any person
involved or participating to the evaluation process, as they are the basis for taking decisions or
performing related actions.
 Objectivity, impartiality and equality of treatment
All projects have to be assessed alike and treated impartially, based on their merits and following a
review strictly based upon the information contained therein. They are assessed against the checklists
and evaluation grids provided by the Guidelines for grant applicants for the respective call, regardless
of where the applicant or partners originate, or their identity.
Evaluation and selection of projects must be completely impartial. This means notably that projects
must be evaluated by assessors and selected by PSC by using only the published Guidelines for grant
applicants, instructions provided by the Assessment Manual and any related JMC decision. In case
situations not covered by the Guidelines for grant applicants or by the present manual arise, the MA
and, ultimately, the JMC support will be required.
The evaluation and selection methodology must not be changed, except in duly justified cases and
following the JMC approval, by means of corrigenda published on the Programme website.
 Confidentiality and secrecy
4
Available online on www.ro-ua.net
5
Available online on www.ro-ua.net

ASSESSMENT MANUAL
Proceedings of the JMC or PSC in regard of evaluation of projects are confidential and conducted in
camera. As such, attendance at PSC or JMC meetings held in this respect is strictly limited to their
members, internal or external assessors and to authorised persons.
The Programme electronic system EMS-ENI shall be used during the evaluation process, as it gives
specific access rights, in accordance with the responsibilities underlying to each type of user.
Assessors will have access to the application packages through EMS-ENI, which ensures confidentiality
of communications.
Apart from the application packages made available to the assessors through EMS-ENI system, hard-
copies of projects must not leave the room/building where they are archived by the JTS. Access and
use of the hard-copy projects is to be done in exceptional circumstances described chapter 4 of the
present manual.
In any stage of the process, including analysis of appeals received on the outcomes of evaluation, all
information and documents must remain confidential and secret. Any person, involved or
participating in any way to the evaluation process, is bound to confidentiality.
Projects, appeals, outcomes of evaluation, recommendations to award or reject a project, PSC/JMC
decisions and their deliberations are not to be disclosed to third parties, be it physical or legal
persons, or to the media. PSC notifications sent to the applicants make exception to this rule.
The following shall be considered:
 Communication with applicants and/or their partners is prohibited during evaluation, except
for the situations explicitly mentioned in the present manual.
 Copying or distributing to third parties whatever related information or documents related to
the process (e.g. projects, evaluation grids, Evaluation Reports), in paper or in electronic
form, is prohibited.
 Any person involved or participating to the process (PSC members, observers, internal or
external assessors, JMC members, and representatives of the Managing Authority, National
Authorities, Joint Technical Secretariat and Branch Offices in Ukraine) must sign beforehand a
Declaration of impartiality and confidentiality (annex g_1). PSC secretary is responsible to
check the declarations, and attach them to the respective Evaluation Report.
 Any attempt by an applicant to influence the process in any way (whether by making contact
with PSC, MA, JTS, branch offices, or otherwise) will result in immediate exclusion of the
respective project from further consideration. In such case, all persons facing this situation
must immediately inform the PSC coordinator.
 Avoiding the conflicts of interest
Any person involved or participating to the evaluation process (PSC members, observers, internal or
external assessors, JMC members, representatives of the Managing Authority, National Authorities,
Joint Technical Secretariat and Branch Offices in Ukraine), who has a potential conflict of interest6
with an applicant or partner must declare it and immediately withdraw.
To this purpose, any person must sign beforehand a Declaration regarding the conflict of interest
(annex g_2). PSC secretary is responsible to check these declarations, and attach them to the
respective Evaluation Report.
Acts likely to be affected by a conflict of interest may, inter alia, take one of the following forms:
6
There is a conflict of interests where the impartial and objective exercise of the functions of a financial actor or
other person involved or participating to the evaluation process is compromised for reasons involving family,
emotional life, political or national affinity, economic interest or any shared interest with the
applicants/partners.

ASSESSMENT MANUAL
 granting oneself or others unjustified direct or indirect advantages;

 refusing to grant an applicant or partner the rights or advantages to which he is entitled;
 committing undue or wrongful acts or failing to carry out acts that are mandatory
Should the conflict of interest be proven, the respective person will be excluded from participating
further in any capacity to the evaluation process. The PSC coordinator decides whether the evaluation
process must be restarted. The decision and underlying reasons must be recorded in the Evaluation
Report.
 Transparency and clarity
Guidelines for grant applicants and any related corrigenda, the Assesment Manual are subject to JMC
approval and their provisions must not be changed whatsoever. They shall be made available on the
Programme webpage http://www.ro-ua.net .
The methodology of scoring and ranking the projects is detailed in the Guidelines for grant applicants
for the respective call and must be strictly followed. The evaluation grids must not be changed
whatsoever.
Scores, comments and recommendations given by assessors in the checklists/evaluation grids, the
common evaluation grids and decisions taken by PSC, as reflected in the Evaluation Reports, should
be clear, grounded on Programme requirements and specific to each project, explaining its strengths
and weaknesses, justifying the score and the decision taken, so as to support the JMC decisions and
feedback to be given to applicants on the outcomes of evaluation.
 Best quality of projects
The Programme is seeking to finance projects that envisage clear cross border impact and support
achievement of the expected results, outputs and the related indicators, fulfil clear quality criteria,
and demonstrate technical and financial viability.
Quality criteria ensure that projects are relevant to the Programme, have strong and consistent
internal logic, and main pre-requisites for their successful implementation are in place. Technical and
financial viability give to Programme the assurance that projects can be successfully implemented and
continue after the end of EU financing.
Each project selected or put on the reserve list shall demonstrate clear contribution to Programme
expected result(s) and (common) output(s) specific for the priority chosen. Contribution to the
Programme must be clear, effective, quantifiable and verifiable.
Taking into account all the above, a range of eliminatory criteria are mentioned in the Guidelines for
grant applicants and cannot be changed. The eliminatory criteria and the overall score require
minimum thresholds as pre-conditions to place the project on the list of selected projects or on the
reserve list.
The JMC may decide not to award all the funds available per priority, but redirect them to other
priorities or calls.
 Efficiency and speed
Evaluation should be as swift as possible and clearly focused on the quality and compliance of projects
with the Programme requirements. The Programme structures involved or participating to the
process should give adequate priority to their underlying responsibilities, keep the pace and support
by any means delivery of the best results. The work should take place in a reasonable timeframe, by
avoiding any delays.
 Traceability

ASSESSMENT MANUAL
The evaluation process should be entirely documented, including the PSC/JMC decisions and any
communication with the applicants. The respective evidence must be properly archived and kept for
further controls.
Records will be made into EMS-ENI system by the users having special access rights, including the
applicants. EMS-ENI will provide a log of interventions in the system, thus ensuring their traceability.
 Proportionality
Any PSC/JMC action or decision shall not go beyond what is necessary to achieve the Programme’s
objectives, outputs and results. Therefore, decisions should always be objective, based on Programme
rules and documents, compliant with the working principles and by avoiding an excessive effect on
the applicants’ interest.
When using their power of action or decision, the PSC/JMC must also take into account the gravity of
the infringement or error identified, and determine whether there are grounded reasons to exclude a
project from further evaluation. Application of the principle of proportionality should be always
accompanied by application of the principle of equal treatment.
 Consensus
Decisions of PSC/JMC need to be taken having in view only the agreed upon procedures, in
compliance with Programme documents and requirements, and by consensus.
Consensus implies agreement and commitment of the persons appointed in the PSC/JMC, and
represents a collective decision. In case consensus is not/hardly to be reached, the Programme may
decide upon a mediation procedure chaired by e.g. the MA.
2.4 Publicity rules
Information on the calls for proposals, the corresponding guidelines and any corrigenda, the
Assessment Manual, the list of grants awarded etc. are to be published on the Programme website
www.ro-ua.net
Chapter 3 THE EVALUATION PROCESS
3.1 Process overview

For each evaluation stage, the reader has a synopsis on its purpose and focus, main tasks to be
performed and the actors involved, the expected results and documents to be produced and available
at completion.
The application packages are submitted online into EMS-ENI electronic system and in hard-copy
version, and have different content according to their type, SOFT or HARD, and detailed in the
respective Guidelines for grant applicants.

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The evaluation process begins when the call for proposals is closed and takes place in English. Its
duration depends on the number of projects submitted, their quality, and also on other factors
outside the PSC control (eg. decisions of the structures involved in the process).
Overview of the evaluation process is shown below:
 online submission of projects

Submission of proposals  hard-copy submission of projects
 administrative and eligibility checklists

 requests of clarification (if the case)
Administrative and
 1st evaluation report
eligibility check
 JMC decision
 notifications to applicants
 evaluation grids
Technical and financial  requests of clarifications (if the case)

assessment  2nd evaluation report
 JMC decision
(HARD projects) Submission  online submission

of additional documents  hard-copy submission
 evaluation grids
 requests of clarifications (if the case)
Assessment of additional
 3rd evaluation report
documents
 JMC decision
HARD projects selected or included on the reserve list, have to prepare and submit additional
documents within 6 months from the date of PSC notification. A third evaluation step is then
performed to assess the additional documents and deliver the final ranking of projects.
3.2 Preparatory activities

 Purpose of the stage is to set the framework for the structures and persons involved and
participating to evaluation, and also to get them acquainted with the process.
ACTORS MAIN TASKS
Managing Authority  Prepare the Assessment Manual

and Joint Technical  Propose PSC coordinator and PSC secretary to the JMC
Secretariat  JTS&BO provide internal assessors (for the administrative and eligibility

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ACTORS MAIN TASKS

(incl.Branch Offices) check)
 MA requests NAs to appoint evaluators and substitues for PSC
 MA manages EMS-ENI system at Programme level
 PSC coordinator manages EMS-ENI system at the level of evaluation
 JTS&MA ensure training of internal/external assessors, and of evaluators
 MA&JTS sign Declarations of impartiality and confidentiality, and
Declarations regarding the conflict of interest
National Authorities  Propose 2 evaluators and 2 substitues per PSC per country
 Appoint one representative per country to assess eligibility of
applicants/partners located on the national territory, provide her/him with
the necessary logistics (IT equipment, internet connection etc)
Joint Monitoring  Approves the Assessment Manual

Committee  Approves composition of PSC
Project Selection  Participate to the training sessions organized by the Programme

Committee
Internal and  Participate to the training sessions organized by the Programme

external assessors
 Results expected
 Assessment Manual approved by JMC
 PSC operational and available to start the evaluation work
 Internal/external assessors and evaluators trained
 Documents produced during this step
 Assessment Manual
 JMC decisions (approving the Assessment Manual, the PSC composition etc.)
 Declarations of impartiality and confidentiality, declarations regarding the conflict of interest
signed
2.1 Submission of project proposals, receipt and registration

 Purpose of the stage is to keep evidence on the projects submitted online and in hard-copy version
at the moment of closing a call for proposals.
The following approach shall be applied:
 The application package required by the call is uploaded into EMS-ENI and also delivered in
hard-copy version at JTS headquarters.
 No project shall be rejected at this stage, whether it complies or not with the requirements of
the call.
 All the hard-copies received shall be registered into the Submission Register (annex g_4). In
case the proposal is sent by fax or by e-mail, the respective e-mail or fax shall be kept and
attached to the Submission Register.
 Envelopes containing hard-copies shall not be opened, unless situations presented in chapter
4 arise, or at the beginning of the contracting phase.

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 No clarification will be requested from the applicants at this stage.
ACTORS MAIN TASKS
Applicants  Submit online and hard-copy application packages within the deadlines set
by the call
Managing Authority  Opens and closes calls for proposals into EMS-ENI system
PSC secretary  Issues acknowledgements of receipt for hand-delivered proposals

 Registers the hard-copies proposals into the Submission Register,
irrespective they were received via courier, postal services, hand-delivered,
by fax or e-mail
 Archives the envelopes containing the hard-copies, unopened, in safe
location
 Collects Declarations of impartiality and confidentiality, and Declarations
regarding the conflict of interest from PSC coordinator and secretary
 Calls for proposals opened and closed by MA
 Proposals registered into the Submission Register
 Envelopes containing hard-copy proposals archived in safe location, unopened
 Acknowledgements of receipt (for hand-delivered proposals) – annex g_3
 Submission Register – annex g_4
 Declarations of impartiality and confidentiality, and Declarations regarding the conflict of
interest signed
2.2 Administrative and eligibility check (step 1)

 Purpose of the stage is to assess projects against the administrative and eligibility criteria set in the
Guidelines for grant apllicants. The criteria refer, on one hand, to deadlines, use of templates,
existence of the supporting documents and compliance with the formal requirements set by the call,
and to eligibility of the applicant/partners, of the cross border partnership and of the project itself, on
the other hand.
 Each proposal shall be checked by 2 internal assessors, following the “4 eyes” principle.
 Checklist provided by the Guidelines for grant applicants, and the application packages
uploaded into EMS-ENI system are to be used.
 In order to keep the pace of evaluation, each internal assessor shall fully check minimum 6
projects per day.
 A project shall only be rejected if is found in the situations listed in annex ev_1. Even so, the
respective checklists must be fully filled in.
 If the project does not fall under the situations listed in annex ev_1, internal assessors may
propose the PSC to request clarifications from the applicant. Such request can be accepted
only if does not improve or modify the project content. Missing or uncompliant supporting
documents are not considered improvements to the project.

ASSESSMENT MANUAL
 In case request for clarifications is proposed to PSC, the respective assessor must fill in the
specific section of the checklist (section Explanatory note from annex 5.2.1) and explain, per
project and per partner, the reasons for his request.
 Based on the checklists compiled by internal assessors and through written procedure, if so
agreed, PSC decides if there is ground for the requests of clarification.
 Following PSC decision and based on the respective checklists, letters are prepared by PSC
secretary and forwarded to applicants by fax or e-mail. PSC secretary may contact them to
ensure that response will be givenin due time.
 Deadline for submission of clarifications cannot go over 10 calendar days (from the date
following that when the request is sent).
 It is advisable to have no more than 1 clarification letter per project. In case that more than 1
request of clarification is sent to the same project, PSC must explain it in the Evaluation
Report with due reference to the equality of treatment principle.
 Clarifications must be uploaded into EMS-ENI system and sent in hard-copy version at the JTS
headquarters.
 On the basis of the clarifications received, the internal assessors finalize the checklists and
forward them to PSC secretary.
 Final opinion on the eligibility of applicants/partners located on the national territory shall be
given by the NAs, by means of the Eligibility Reports (annex 5.2.4)
 Work of internal assessors shall be carried out in line with the instructions in annex as_1, and
work of PSC in line with the guidance in annex ev_1.
ACTORS MAIN TASKS
Applicants  Provide clarifications, as required, within the deadlines indicated in PSC

letter, uploaded into EMS-ENI and in hard-copy version
PSC secretary  Checks Declarations of impartiality and confidentiality, and Declarations

regarding the conflict of interest, signed by PSC, internal assessors, and any
observer
 Distributes projects to the internal assessors (2 assessors per project),
performs preliminary quality verification of the checklists, requires revision,
if the case
 Forwards the checklists to PSC in case the internal assessors have proposed
to request clarifications from the applicants
 If approved by PSC, prepares and sends clarification letters to the
applicants and may contact them to ensure that responses will be sent in
due time
 = 10 calendar days from the day following that when the request is sent
 Registers hard-copy versions of clarifications into the Submission Register,
archive them in safe location, unopened
 Provides PSC with the checklists compiled by the internal assessors and the
Eligibility Reports compiled by NAs
 Supports PSC in preparing the Evaluation Report and any revision of it,
submits the report to JMC for approval
 Notifies the applicants on the outcomes of evaluation (step 1), keeps
evidence of such communications (fax, e-mail)
PSC coordinator  Ensures the overall management of PSC proceedings

ASSESSMENT MANUAL
ACTORS MAIN TASKS

 Coordinates the activity of internal assessors
 Informs the Programme bodies (MA/JMC) in case PSC consensus is not
reached or the working principles are broken, including those referring to
confidenciality and secrecy or the conflict of interest
 Endorses the clarification letters and notifications sent to the applicants,
on behalf of PSC
Internal assessors  Sign Declarations of impartiality and confidentiality and Declarations

regarding the conflict of interest, forward them to PSC secretary
 Perform administrative and eligibility check of the projects attributed, and
each assessor compiles one checklist per project
 Revise the checklists, as required, and may propose PSC to request
clarifications from the applicants, and highlight any case in which eligibility
of an organization is not resulting clearly from the documents available
although the proposal is administratively compliant
 Analyze clarifications received and finalize the checklists
 Participate to PSC/JMC meetings, as required
National Authorities  Sign Declarations of impartiality and confidentiality, and Declarations

(the appointed regarding the conflict of interest, forward them to PSC secretary
representatives)  Perform eligibility check of applicants and partners from the national
territory using the supporting documents uploaded into EMS-ENI system
 Consult other national institutions in case opinion on the eligibility of an
applicant/partner cannot be given on the basis of the documents available
 Prepare Eligibility Reports, forward them to PSC secretary
Project Selection  Sign Declarations of impartiality and confidentiality, and Declarations

Committee regarding the conflict of interest, forward them to PSC secretary
 Based on the checklists compiled by assessors, decides if requests of
clarification proposed are appropriate
 Analyzes the administrative and eligibility checklists and the Eligibility
Reports, decides on the projects to be selected or rejected for further
evaluation
 Prepares the Evaluation Report (step 1)
Joint Monitoring  Sign Declarations of impartiality and confidentiality, and Declarations

Committee regarding the conflict of interest, forward them to PSC secretary
 Analyzes the Evaluation Report (step 1), issues decision approving the
report and the lists of selected and rejected projects
Managing Authority  Provides procedural support

 Acts as mediator if PSC does not reach consensus or if the working
principles are broken
Observers  Sign Declarations of impartiality and confidentiality, and Declarations

 Participate to PSC/JMC meetings

ASSESSMENT MANUAL
 JMC decision approving the Evaluation Report
 Lists of selected and rejected projects
 Applicants notified on the outcomes of evaluation (step 1)
 EMS-ENI system updated
 Declarations of impartiality and confidentiality, and Declarations regarding the conflict of
interest signed
 Checklists on administrative and eligibility verifications
 Eligibility Reports
 Letters of clarification for the applicants
 Submission Register updated
 Evaluation Report (step 1)
 Notifications to the applicants informing on the outcomes of evaluation step 1 (annex 5.2.5)
2.3 Technical and financial evaluation (step 2)

 Purpose of the stage is, on one hand, to evaluate eligibile and administratively compliant projects
against the objectives, priorities, and contribution brought to Programme results and outputs and, on
the other hand, to select proposals which maximise the overall effectiveness of the call and clearly
contribute to achievement of Programme indicators.
 Each proposal shall be assessed by 2 external assessors following the “4 eyes” principle.
 The evaluation grid for step 2 provided in the Guidelines for grant applicants and the
application packages uploaded into EMS-ENI system are to be used. In case of EMS-ENI
malfunction, provisions in chapter 4 shall apply.
 In order to keep the pace of evaluation, at least 42 proposals must be evaluated by the end of
each 5 working days period.
 A project shall only be rejected if is found in the situations listed in annex ev_2. Even so, the
evaluation grid must be fully filled in.
 If the project does not fall under the situations listed in annex ev_2, an assessor may propose
the PSC to request clarifications from the applicant. Such request can only be accepted if does
not improve or modify the project content.
 In case request for clarification is proposed to PSC, the respective assessor must compile an
Explanatory Note (annex g_5) explaining, per project and per partner, the reasons for
requesting clarifications
 Based on the Explanatory Notes and through written procedure, if so agreed, PSC takes final
decision if there is ground for the requests of clarification.
 Following PSC decision and based on the Explanatory Notes, letters are prepared by PSC
secretary and forwarded to the applicant by fax or e-mail. PSC secretary may contact them to
ensure that responses will be given in due time.
 Deadline for submission of clarifications cannot go over 10 calendar days per request (from
the date following that when the request is sent).
 It is advisable to have no more than 2 clarification letters per project. In case that more than 2
requests of clarification are sent per project, PSC must explain it in the Evaluation Report with
due reference to the equality of treatment principle.
 Clarifications must be uploaded into EMS-ENI system and sent also in hard-copy version at JTS
headquarters.

ASSESSMENT MANUAL
 Work of external assessors shall be carried out in line with the instructions in annex as_2, and
work of PSC in line with the guidance in annex ev_2.
ACTORS MAIN TASKS
Applicants  Provide clarifications, as required, within the deadlines indicated in the PSC
letter (into EMS-ENI system and in hard-copy version)
PSC secretary  Distributes projects to the external assessors (2 assessors per project),
performs preliminary quality verification of the evaluation grids, requires
revision, if the case
 Forwards Explanatory Notes to PSC in case the assessors have proposed to
request clarifications from the applicants
 If approved by PSC, prepares and sends clarification letters to the
applicants and may contact them to ensure that responses will be sent in
due time
 Registers hard-copy versions of the clarifications into the Submission
Register, archive them in safe location, unopened
 Provides PSC the individual evaluation grids and supports PSC in preparing
the common evaluation grids
PSC coordinator  Ensures the overall management of the PSC proceedings

 Coordinates the activity of external assessors
reached, or the working principles are broken, including confidentiality and
secrecy, or avoidance of any conflict of interest
 Endorses letters of clarification and notifications to the applicants on
behalf of PSC
External assessors  Sign Declarations of impartialiy and confidentiality, and Declarations

 Perform technical and financial evaluation of the projects attributed, and
each assessor compiles one evaluation grid per project and uploads it into
EMS-ENI system
 Revise, as required, the evaluation grid and, if the case, propose PSC to
request clarifications from the applicants by means of the Explanatory
Notes
 Analyze clarifications received and finalize the evaluation grids
Project Selection  Based on the Explanatory Notes compiled by assessors, decides if requests
Committee of clarification are appropriate
 Analyzes the evaluation grids for each project and calls for a 3rd assessor to
re-perform evaluation in case of projects having significant difference

ASSESSMENT MANUAL
ACTORS MAIN TASKS

between the total scores awarded by the assessors
 May ask for revision of the individual evaluation grids in case
inconsistencies between the scores awarded and the comments
accompanying the respective scores are identified
 Prepares one common evaluation grid per project, decides on the projects
to be selected, put on the reserve list or rejected
Joint Monitoring  Analyzes the Evaluation Report (step 2), issues decision approving the
Committee report and the lists of selected projects, rejected projects and projects put
on the reserve list

Observers  Participate to PSC/JMC meetings
 Lists of selected projects, rejected projects and projects put on the reserve list
 Explanatory Notes
 Letters of clarification from the applicants
 Notifications to the applicants informing on the outcomes of evaluation (step 2) (annex 5.2.5)
2.4 Preparation of additional documents (only for HARD projects)

 Purpose of the stage is to allow the applicants selected or put on the reserve list following step 2 of
evaluation to prepare and submit the additional documents required by the call. They have 6 months
at their disposal, starting from the date following that when the PSC notifications on the outcomes of
evaluation have been sent.

 Deadline for submission of the additional documents is mentioned in PSC notification and will
be posted on the Programme webpage.
 JTS provides helpdesk to the applicants during the preparation period.
 The additional documents must be uploaded into EMS-ENI system and also sent as hard-
copies, in sealed envelopes, at the JTS headquarters.
ACTORS MAIN TASKS

ASSESSMENT MANUAL
ACTORS MAIN TASKS
Applicants  Prepare additional documents for the projects, as required by the call
Joint Technical  Provides helpdesk to applicants and partners

Secretariat
 = questions may be received from the applicants/partners with 21
calendar days before the deadline
 = answers may be given by JTS with 11 calendar days before the deadline
 Additional documents prepared
 Helpdesk provided to applicants
 Programme webpage updated
3.7 Submission of additional documents, receipt and registration

 Purpose of the stage is to register the additional documents submitted by the applicants following
the PSC notification.
 Additional documents must be uploaded into EMS-ENI system and also delivered as hard-
copies at JTS headquarters.
 No project shall be rejected at this stage, whether it complies or not with the requirements of
the call.
 All the additional documents in hard-copy received shall be registered into the Submission
Register. In case of documents sent by fax or by e-mail, the respective e-mail or fax shall be
kept and attached to the Submission Register.
 Envelopes containing the hard-copies shall not be opened, unless there is a malfunction of
EMS-ENI system or at the beginning of the contracting phase.
 No clarification will be requested from the applicants at this stage.
ACTORS MAIN TASKS
Applicants  Submit online and sent hard-copy of additional documents within the
deadlines specified in PSC notification
Managing Authority  Opens and closes the EMS-ENI system
PSC secretary  Issues acknowledgements of receipt for hand-delivered proposals

 Registers the envelopes containing hard-copies of the additional
documents in the Submission Register, irrespective they were received via
courier, postal services, hand-delivered, or by fax or e-mail
 Archives the envelopes in safe location, unopened

ASSESSMENT MANUAL
 Additional documents uploaded into EMS-ENI and sent in hard-copy version
 Envelopes containing hard-copy documents archived in safe location, unopened
 Acknowledgements of receipt (for hand-delivered proposals) – annex g_3
 Submission Register updated – annex g_4
3.8 Evaluation of the additional documents (step 3, only for HARD projects)
 Purpose of the stage is to make the final ranking (per priority) of projects to be financed by the
Programme, and also of the projects to be put on the reserve list based on their coherence and
maturity.
 Each project shall be assessed by the same 2 external assessors who have performed
evaluation in the previous stage, following the “4 eyes” principle.
 The evaluation grid for step 3 provided in the Guidelines for grant applicants and additional
documents and the application packages uploaded into EMS-ENI system are to be used. In
case of EMS-ENI malfunction, provisions in chapter 4 shall apply.
 In order to keep the pace of evaluation, at least 42 projects must be evaluated by all the
external assessors at the end of each 5 working days period.
 A project shall only be rejected if is found in the situations listed in annex ev_3. Even so, the
evaluation grid must be fully filled in.
 If the project does not fall under the situations listed in annex ev_3, the assessors may
propose the PSC to request clarifications from the applicant. Such request can only be
accepted if does not improve or modify the project content.
 In case request for clarifications is proposed to PSC, the respective assessor must compile an
Explanatory Note (annex g_5) explaining, per project and per partner, the reasons for his
request.
 Based on the Explanatory Notes compiled by the external assessors and through written
procedure, if so agreed, PSC decides if there is ground for the request of clarifications.
 Following PSC decision and based on the Explanatory Notes, letters are prepared by PSC
secretary and forwarded to the applicants by fax or e-mail. PSC secretary may contact them
to ensure that responses will be given in due time.
 Deadline to submit clarifications cannot go over 10 calendar days per request (from the date
following that when the request is sent).
 It is advisable to have no more than 1 clarification letter per project. In case more than 1
request of clarification is sent, PSC must explain it in the Evaluation Report with due reference
to the equality of treatment principle.
 Clarifications must be uploaded into EMS-ENI system and sent also in hard-copy version at JTS
headquarters.
 Work of the external assessors shall be carried out in line with the instructions in annex as_3,
and work of PSC shall be carried out in line with the guidance in annex ev_3.
ACTORS MAIN TASKS
Applicants  Provide clarifications, as required, within the deadlines indicated in the PSC
letter (into EMS-ENI and in hard-copy version)
PSC secretary  Distributes projects to assessors (same 2 external assessors who performed

ASSESSMENT MANUAL
ACTORS MAIN TASKS

evaluation in step 2), performs preliminary quality check of the evaluation
grids, requires revision, if the case
 Forwards the Explanatory Notes to PSC in case the assessors have
proposed requests of clarification from the applicants
 Prepares and sends clarification letters to the applicants and may contact
them to ensure that responses will be given in due time
 Registers hard-copy versions of the clarifications into the Submission
Register, archive them in safe location, unopened
 Provides PSC with the individual evaluation grids
 Supports PSC in preparing the common evaluation grids
PSC coordinator  Ensures the overall management of PSC proceedings

achieved, or the working principles are broken, including confidentiality
and secrecy, or avoidance of any conflict of interest
 Endorses letters of clarification and notifications to the applicants, on
behalf of PSC
External assessors  Perform evaluation of additional documents of the projects attributed,

each assessor compiles one evaluation grid per project and uploads it into
EMS-ENI system
 Revise, as required, the evaluation grids and, if the case, propose PSC to
request clarifications from the applicants by means of the Explanatory
Notes
 Analyze clarifications received and finalize the evaluation grids
Project Selection  Based on the Explanatory Notes compiled by assessors, decides if requests
Committee of clarification are appropriate
 Analyzes the evaluation grids for each project and calls for a 3rd assessor to
re-perform evaluation in case of projects having significant difference
between the total scores awarded by the assessors
 May ask for revision of the individual evaluation grids in case
inconsistencies between the scores awarded and the comments
accompanying the respective scores are identified
 Prepares one common evaluation grid per project, decides on the projects
to be selected, put on the reserve list or rejected
Joint Monitoring  Analyzes the Evaluation Report (step 3), issues decision of approving the

ASSESSMENT MANUAL
ACTORS MAIN TASKS

on the reserve list

 Acts as mediator in case PSC does not reach consensus, or if the working
 Explanatory Notes
 Clarification requests to the applicants
 Notifications to the applicants on the outcomes of evaluation step 3 (annex 5.2.5)
3.9. The appeal procedure

 Purpose of the stage is to analyse the appeals received from applicants, decide whether they are
admissible or not, and re-perform evaluation in case the appeal submitted is justified and grounded
acoording to provisions of the Guidelines for grant applicants.
 Each appeal is analized by PSC to establish if is substantiated and if requirements from the
Guidelines for grant applicants (section 3.2) were observed.
 For the admissible appeals, analyzes the evaluation grids for material errors and, if the case,
requests formal point of view of the assessors.
 Requests independent evaluation to be made by a 3rd assessor, in case the assessors
performing the initial evaluation of the project maintain their opinion.
 If the appeal proves to be justified, PSC amends the Evaluation Report accordingly and
request JMC approval on the amended Evaluation Report and the corresponding lists of
projects.
 PSC decision on the appeals is final, and no other supplementary complaint shall be
considered.
ACTORS MAIN TASKS
Applicants  May submit appeals in the conditions described in the Guidelines for grant
applicants (section 3.2)
PSC secretary
 = within 10 calendar days from the day following that when notifications

ASSESSMENT MANUAL
ACTORS MAIN TASKS

on the outcomes of evaluation are sent
 Collects and registers the appeals received following each step of
evaluation and provides them to PSC
 Following PSC decision, distributes projects to assessors for independent
evluation, performs preliminary quality verification of the evaluation grids,
requires revision, if the case
 Following JMC decision, prepares notifications to the respective applicants
 Updates information into EMS-ENI system
PSC coordinator  Ensures the overall management of the PSC proceedings

reached, or if the working principles are broken, including confidentiality
and secrecy, or avoidance of any conflict of interest
 Endorses notifications to the applicants on behalf of PSC
External assessors  Perform independent evaluation of the projects attributed, compiles one
evaluation grid per project and uploads it into EMS-ENI system
 Revise, as required, the evaluation grid
Project Selection  Analyzes the appeals received and takes decision if they are admissible or
Committee not
 For the admissible appeals, analyzes the evaluation grids for material errors
and if the case, requests formal point of view of the respective assessor
 Requests independent evaluation to be made by the 3rd assessor, in case
the assessors performing the initial evaluation of the project maintain their
opinion
 Revises the Evaluation Report, if the case
Joint Monitoring  Analyzes the Evaluation Report ammended, issues decision approving the
on the reserve list

 JMC decision approving the Evaluation Report ammended
 Applicants informed about PSC decision on the appeals submitted
 Evaluation Report ammended

ASSESSMENT MANUAL
 Notifications to the applicants submitting an appeal (annex 5.2.5)
Chapter 4 PROCEDURES IN CASE OF EMS-ENI MALFUNCTION

To be discussed
Chapter 5 LIST OF ANNEXES AND TEMPLATES
5.1 General templates

Annex g_1 Declaration of impartiality and confidentiality
Annex g_2 Declaration regarding the conflict of interest
Annex g_3 Acknowledgement of receipt (for hand delivered proposals)
Annex g_4 Submission Register
Annex g_5 Explanatory Note (justifying the request for clarifications)
Annex g_6 PSC letter to request of clarifications
5.2 Evaluation related templates

Annex 5.2.1 Administrative and eligibility check-list
Annex 5.2.2 Technical and financial Evaluation Grid

ASSESSMENT MANUAL
Annex 5.2.3 Evaluation grid for the additional documents (only for HARD projects)
Annex 5.2.4 Eligibility Report
Annex 5.2.5 Evaluation Report (irrespective the evaluation stage)
Annex 5.2.6 PSC notification to applicants (irrespective the content)
5.3 Instructions for internal and external assessors

Annex as_1 Instructions for internal assessors and National Authorities during step 1
Annex as_2 Instructions for external assessors during step 2
Annex as_3 Instructions for external assessors during step 3
5.4 Guidance for the Project Selection Committee

Annex ev_1 Reasons for rejecting a proposal and guidance for PSC during step 1
TERMINOLOGY
APPLICANT A legal entity who submits the Application Form on behalf of all the project Partners
and is the only direct contact with the Project Selection Committee during the
evaluation process. Provided that the project is selected and a grant contract is signed,
the applicant becomes the “Lead Beneficiary”.
ASSESSMENT MANUAL Working document approved by the Joint Monitoring Committee that provides an
overview of the entire process, including templates to be used.
CALL FOR PROPOSALS A public invitation addressed to legal entities which may propose projects within the
framework of a specific Programme.
(EMS-ENI) Electronic system developed for the purpose of recording and storing information
PROGRAMME related to programme and project implementation, supporting monitoring, evaluation,
ELECTRONIC SYSTEM financial management, control and audit activities.
EVALUATION GRID Standardized document based on which the extent to which a project meets the
programme requirements is assessed (eg. contribution to programme results and
outputs, quality criteria, technical and financial viability).
Evaluation grids are specific to each stage of the evaluation process and to each type
of projects: SOFT or HARD.
GUIDELINES FOR Document explaining the rules of a Call for proposals regarding who may apply, the

ASSESSMENT MANUAL
APPLICANTS types of projects and costs which may be financed, and the evaluation process,
including the evaluation criteria. It also provides practical information on how to
complete the Application Form, what documents must be annexed, the rules and
procedures for applying.
HARD PROJECT Projects submitted within the 1st Call for proposals, having an infrastructure
component with a value of at least 1 million euro at project level.
INFRASTRUCTURE Permanent works and/ or permanent installation of equipment which contribute to at

COMPONENT least one Programme (common) output that is specifically addressed by the project.
Infrastructure must be entirely described in the Feasibility studies.
JOINT MONITORING Structure composed of representatives of the participating countries in the

COMMITTEE programme, without legal personality, being the main joint decision – making
structure. It follows the programme implementation and progress towards its
priorities; examines all issues affecting the programme performance.
JOINT TECHNICAL Joint operational body assisting the Managing Authority, the Joint Monitoring
Committee and the Audit Authority, in carrying out their respective duties within the
SECRETARIAT
Joint Operational Programme Romania-Ukraine 2014-2020.
MANAGING Ministry of Regional Development and Public Administration from Romania bearing
AUTHORITY the overall responsibility for the management and implementation of the Programme.
NATIONAL Programme national structure representing the Partner State in relations with the
AUTHORITY other State participating in a programme, responsible for coordinating the state's
contribution and for supporting the Managing Authority in the implementation of the
programme on its own territory, in accordance with the principle of sound financial
management. The national authorities designated by the programme are: in Romania,
the Ministry of Regional Development and Public Administration and in Ukraine, the
Ministry of Economy and Commerce.
PARTNER Entity acting in partnership to implement a project. Provided that the project is
selected and a grant contract is signed, the Partner become a “Beneficiary” and shall
be responsible for the implementation of its share of project’s activities.
PROJECT A set of activities addressing the Programme objectives and aiming at achieving
specific results, in a limited period of time and using a determined budget.
PROJECT SELECTION Structure temporary set at Programme level and approved by the Joint Monitoring
COMMITTEE Committee and assigned to evaluate and select the projects submitted within the calls
for proposals.
SOFT PROJECT Project submitted within the 2nd Call for proposals, not having an infrastructure
component or with an infrastructure component of less than 1 million euro at project
level.

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Joint Operational Programme Romania – Ukraine 2014 – 2020

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1.1 Joint Operational Programme Romania – Ukraine 2014 – 2020

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Type of Programme expected Indicator Output indicator2 Indicator

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Type of Programme expected Indicator Output indicator2 Indicator

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1.2 The calls for proposals

1.3 The Project Selection Committee (PSC)

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1.3 Programme Structures. Other actors involved in the process

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Chapter 2 GENERAL FRAMEWORK

2.1 Legal and procedural framework

2.2 Working principles

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 granting oneself or others unjustified direct or indirect advantages;

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Chapter 3 THE EVALUATION PROCESS

3.1 Process overview

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 online submission of projects

 administrative and eligibility checklists

Technical and financial  requests of clarifications (if the case)

(HARD projects) Submission  online submission

3.2 Preparatory activities

ACTORS MAIN TASKS

Managing Authority  Prepare the Assessment Manual

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ACTORS MAIN TASKS

Joint Monitoring  Approves the Assessment Manual

Project Selection  Participate to the training sessions organized by the Programme

Internal and  Participate to the training sessions organized by the Programme

2.1 Submission of project proposals, receipt and registration

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 No clarification will be requested from the applicants at this stage.

ACTORS MAIN TASKS

PSC secretary  Issues acknowledgements of receipt for hand-delivered proposals

2.2 Administrative and eligibility check (step 1)

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ACTORS MAIN TASKS

Applicants  Provide clarifications, as required, within the deadlines indicated in PSC

PSC secretary  Checks Declarations of impartiality and confidentiality, and Declarations

PSC coordinator  Ensures the overall management of PSC proceedings

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ACTORS MAIN TASKS

Internal assessors  Sign Declarations of impartiality and confidentiality and Declarations

National Authorities  Sign Declarations of impartiality and confidentiality, and Declarations

Project Selection  Sign Declarations of impartiality and confidentiality, and Declarations

Joint Monitoring  Sign Declarations of impartiality and confidentiality, and Declarations

Managing Authority  Provides procedural support

Observers  Sign Declarations of impartiality and confidentiality, and Declarations

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2.3 Technical and financial evaluation (step 2)

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ACTORS MAIN TASKS

PSC coordinator  Ensures the overall management of the PSC proceedings

External assessors  Sign Declarations of impartialiy and confidentiality, and Declarations

Version 2018 Page 18 of 27

ACTORS MAIN TASKS