Having regard to article 6 of the Ministry of Foreign Affairs Grants Decree;

Transcription

1 Order of the Minister of Foreign Affairs of 12 July 2013, no. DEU-0575/2013, laying down administrative rules and a ceiling for grants awarded under the Ministry of Foreign Affairs Grant Regulations 2006 (Matra CoPROL ) The Minister of Foreign Affairs, Having regard to article 6 of the Ministry of Foreign Affairs Grants Decree; Having regard to articles 2.2 (a), (c) and (d) of the Ministry of Foreign Affairs Grant Regulations 2006; Orders: Article 1 The administrative rules appended as an annexe to this Order apply to grants awarded under article 2.2 (a), (c) and (d) of the Ministry of Foreign Affairs Grant Regulations 2006 with a view to financing activities aimed at strengthening the rule of law and furthering the process of accession to the European Union in the framework of the Matra (social transformation) programme on Cooperation with Pre-accession Countries on the Rule of Law (CoPROL). Article 2 A ceiling of 6,500,000 applies to Matra CoPROL grants awarded for the period 1 January 2014 to 31 December 2015, subject to the condition that sufficient funds are made available by the budget legislator. Article 3 1. Applications for grants must be submitted using the application form stipulated by the Minister of Foreign Affairs and accompanied by the documents stipulated in the form Applications for grants for activities as referred to in article 2.2 (a), (c) and (d) of the Ministry of Foreign Affairs Grant Regulations 2006 can be submitted from the date on which this Order enters into force until 18 October Article 4 1 The application form will be posted at

2 The funds will be allocated in accordance with an assessment based on the criteria set out in the annexe to this Order, on the understanding that of the applications that meet the criteria, those that meet them best will be given priority, with due regard for the need for an even distribution as referred to in article 8, paragraph 3 (d) of the Ministry of Foreign Affairs Grants Decree. Article 5 The Order of the Minister of Foreign Affairs of 30 November 2012, no. DEU-1055/2012, laying down administrative rules and a ceiling for grants awarded under the Ministry of Foreign Affairs Grant Regulations 2006 (Matra CoPROL), 2 lapses, with the proviso that it continues to apply to grants awarded pursuant to it. Article 6 This Order enters into force on the day after the date of the Government Gazette in which it appears and lapses with effect from 1 January 2016, with the proviso that it continues to apply to grants awarded prior to that date. This Order and its accompanying annexe will be published in the Government Gazette. R. Jones-Bos Secretary-General For the Minister of Foreign Affairs 2 Government Gazette 2012, no

3 1 Introduction 1.1 Grants policy framework for Matra CoPROL (Second Phase) This is the grants policy framework for the Matra (social transformation) programme on Cooperation with Pre-accession Countries on the Rule of Law (CoPROL) (Second Phase) for the period It contains the administrative rules for assessing applications for grants under this framework. It is also to be used, together with the compulsory model application form published on the Ministry of Foreign Affairs website, as a guide for drawing up grant applications for the 2014 to 2015 period. 3 In the 2014 to 2015 period, the Netherlands will deploy human and material resources realistically and selectively for the purpose of helping countries satisfy the political (Copenhagen) criteria. In doing so, the effective use of funds will be our first concern. The policy principles underpinning Matra CoPROL (Second Phase) in the 2014 to 2015 period are set out in chapter 2 of this policy framework. Based on these principles, threshold criteria have been drawn up which all applications must meet in order to qualify for funding under the Matra CoPROL (Second Phase) framework for The assessment criteria, which are used to assess applications that meet the threshold criteria, are also based on the policy principles. Before these criteria are described in chapter 4, the assessment procedure is described in chapter 3. Applications are assessed in three consecutive stages. The first stage consists of the threshold criteria check, and the second stage of an organisational check, which enables the Minister to judge the quality and efficiency of the applicant organisation. In stage 3, the quality of the programme is assessed by means of a programme check. 1.2 Background The Union is founded on the values of respect for human dignity, freedom, democracy, equality, the rule of law and respect for human rights, including the rights of persons belonging to minorities. These values are common to the Member States in a society in 3 3

4 which pluralism, non-discrimination, tolerance, justice, solidarity and equality between women and men prevail. (Treaty on European Union, Article 2) The rule of law, human rights and good governance are among the core values of the European Union. Under the Copenhagen criteria, the conditions that countries must meet before they can accede to the Union, a future EU member state must therefore: have stable institutions guaranteeing democracy, the rule of law, human rights and respect for and protection of minorities; have a functioning market economy as well as the capacity to cope with competitive pressure within the Union; adopt and implement the body of EU legislation (the acquis communautaire). Without a credible, functioning legal order, countries cannot participate fully in a Union based on mutual trust and shared interests and values. The rule of law is now more than ever the litmus test for EU enlargement, from the European Commission s opinion on a membership application to the moment of ultimate accession. The European Commission s new method for negotiating with candidate countries on chapters 23 (Judiciary and fundamental rights) and 24 (Justice, freedom and security) of the EU acquis plays a crucial role in this regard. From now on these chapters will be among the first to be opened and among the last to be closed, so that countries are better able to establish a positive, sustainable track record. There are also explicit provisions now for taking corrective measures if candidate countries backslide in the areas of the rule of law or fundamental freedoms, including the possibility of putting negotiations on other chapters on hold. Most of the current and potential candidate countries face major challenges in the area of the rule of law: tackling corruption and organised crime, reforming the judiciary and civil service, encouraging independent institutions like the Ombudsperson, protecting minorities (including Roma), ensuring equal treatment for lesbian, gay, bisexual, transgender and intersex (LGBTI) persons, and protecting fundamental freedoms (including media freedom). Tackling these challenges in the field of the rule of law often demands far-reaching, difficult reforms, with effective implementation of legislation as the foremost task. Entrenched political and administrative patterns of behaviour (often reflecting the interests of influential groups) must be changed to meet European standards for the 4

5 organisation of a modern legal order. There are no quick fixes for this problem; reforms addressing the rule of law require evolution, not revolution. The country in question itself therefore needs to start these reforms as early as possible in the accession process. 5

6 2 Policy principles underpinning Matra CoPROL The overall objective of the Matra (social transformation) programme when it was launched in November 1993 was essentially to support democratisation in Central and Eastern European countries following the upheavals that had taken place there in the 1980s. Over the years Matra has changed from a programme focusing on the transition in the former East Bloc countries to a bilateral complement to the European Instrument for Pre- Accession Assistance and the European Neighbourhood Policy. It has been a great success. Its main strength has been the assistance it has given to countries with the prospect of EU accession in satisfying the Copenhagen criteria. EU membership prospects seem in general to be a powerful catalyst for social transformation. Matra s overall objective remains to contribute to pre-accession countries evolution towards democracy, pluralism, the rule of law, and room for dialogue between government and civil society. Capacity building and institutional strengthening of civil society organisations and government institutions, on the one hand, and closer bilateral relations, on the other, are central focuses. In view of the need to be more selective in Dutch foreign policy, from 2012 the Matra programme will only be used to help Southeast European pre-accession countries (Albania, Bosnia and Herzegovina, Kosovo, Macedonia, Montenegro, Serbia and Turkey). This Matra programme has the following components, which fall under the Ministry of Foreign Affairs budget: 1. Matra CoPROL: Targeted support for central governments of pre-accession countries This component finances partnerships between Dutch government bodies and their counterparts in Matra countries. The partnerships must be aimed at adopting the EU acquis in the area of the rule of law and must complement the activities of the European Commission. They must also raise the Netherlands profile as regards the recipient governments. 6

7 2. Training civil servants and young diplomats from Matra countries Civil servants from pre-accession countries can take short courses in the Netherlands on subjects relevant to EU accession (the Matra Pre-Accession Training on the Rule of Law programme, PATROL), as can young diplomats from these countries. Besides contributing to strengthening the rule of law and helping countries meet the EU accession criteria, these courses create an extensive network of alumni who will be useful contacts for the Netherlands. 3. Supporting and strengthening civil society initiatives The third component of the Matra programme emphasises strengthening the rule of law as a key element of the Copenhagen criteria. Its implementation is delegated to the Dutch embassies in the target countries; the embassies can use the funds to support the activities of local organisations. Dutch civil society organisations may be involved in implementation at the local organisation s request. 2.1 Aim and policy themes of Matra CoPROL Matra CoPROL s overarching policy objective is to strengthen the capacity of government institutions in Southeast European countries with EU accession prospects to meet the political (Copenhagen) criteria, by means of partnerships with Dutch governmental and semi-governmental institutions on negotiation chapters 23 (Judiciary and fundamental rights) and 24 (Justice, freedom and security) of the EU acquis. The programme also promotes closer ties between Dutch government institutions and their counterparts in the target countries, particularly by strengthening these countries ties to the Netherlands and their appreciation of the Netherlands strict and fair approach to EU enlargement. For the period from 1 January 2013 to 31 December 2015, the Minister of Foreign Affairs has made 12 million available for Matra CoPROL grants for activities that contribute to attaining these objectives. Under the Order of the Minister of Foreign Affairs of 30 November 2012, no. DEU-1055/2012, laying down administrative rules and a ceiling for grants awarded under the Ministry of Foreign Affairs Grant Regulations 2006 (Matra CoPROL), 4 a first tranche of 6 million was allocated in the first round. The present Order provides for the allocation of the second tranche. 4 Government Gazette 2012, no

8 To qualify for a grant, the activities for which the grant is requested must be carried out by at least one Dutch governmental or semi-governmental institution and must benefit at least one government institution in at least one of the target countries in the area of one of the subjects mentioned in chapters 23 and 24 of the acquis, with the aim of strengthening the rule of law. To qualify for a grant activities must also be relevant to both of the following goals: A. Strengthening capacity The capacity of one or more governmental or semi-governmental institutions in one of the target countries to adopt and implement the EU acquis must be strengthened by drawing on the capacity of one or more relevant governmental or semi-governmental institutions in the Netherlands. B. Strengthening bilateral relations between the Netherlands and the Matra countries Cooperation between Dutch government institutions and their counterparts in the target countries must not only strengthen our bilateral ties but also foster greater understanding of Dutch policy in the target countries. 2.2 Qualifying themes The term the rule of law in English can be considered the equivalent of the Dutch concept rechtstaat. Neither concept is clear-cut, however, and both include various themes that are sometimes formulated in other ways. To make it possible to cover the full range of these themes, a number of them have been identified below, and proposed activities should address these in order to qualify for grants. They all concern aspects of the acquis that are considered relevant to the process of transformation. These qualifying themes are: 1. Law enforcement and the administration of justice - organisation of the judiciary and the professional, efficient, independent, predictable, impartial, transparent and honest administration of justice; - law enforcement, crime-fighting, investigation and prosecution of offences, including strengthening the public prosecution service; 8

9 - adoption of international standards on criminal law, trying war criminals in their own country, and cooperation with international tribunals; - juvenile justice policy: the system of juvenile criminal law, child protection services and combating domestic violence. 2. Public administration/public order/police/immigration policy - good governance, particularly: o enhancing the verifiability, legitimacy, predictability, transparency and democratic character of government action; o decentralisation and deregulation, management and funding of public services; o anti-corruption; - professionalising the police notably its relationship with the general public, public administration and the public prosecution service prevention, integrity and community policing; - prison reform and probation; - strengthening the immigration system, applying the Schengen rules, guarding the EU s external borders and implementing its asylum and migration policy. 3. Human rights and minorities - activities in the field of human rights, with a special focus on gender equality, media freedom (including internet freedom), religious freedom, protection of the rights of LGBTI persons and the protection and integration of minorities; - the role of government in promoting human rights and protecting minorities; - public information campaigns aimed at a more smoothly functioning democratic society and strengthening a culture of tolerance towards minorities and LGBTI persons. Activities should be relevant to one or more of the themes mentioned above. Priority will be given to proposals that involve cooperation with several partners as links in a chain, each with its own, specific, more or less autonomous role, for example in the immigration system or the criminal justice system. 2.3 What are grants intended for, and who can apply for them? Eligible activities Matra CoPROL grants are intended for activities related to one of the themes listed in section 2.2, on which Dutch governmental and semi-governmental institutions work in a 9

10 result-oriented way with governmental and semi-governmental institutions in the target countries. In view of the objectives of Matra CoPROL, the term Dutch governmental and semi-governmental institutions is understood to refer to the following parts of central government, including bodies falling under them such as agencies and inspectorates: - the Ministry of Foreign Affairs - the Ministry of Security and Justice - the Ministry of the Interior and Kingdom Relations - the Ministry of Defence - the Ministry of Finance as well as: - High Councils of State - the Public Prosecution Service - the Council for the Judiciary - the Dutch Probation Service - the National Police - the Netherlands Institute for Human Rights - the National Rapporteur on Trafficking in Human Beings and Sexual Violence against Children - the Data Protection Authority - the Training and Study Centre for the Judiciary - the Police College The eligible bodies in the target countries are governmental and semi-governmental institutions comparable to the Dutch institutions listed above. Activities should focus on (1) transferring substantive expertise and (2) strengthening institutions. The substantive expertise relevant to the country or countries and subject(s) concerned should come directly from one or more Dutch governmental or semigovernmental institutions. Limited use may also be made of the expertise of appropriate governmental or semi-governmental institutions in other EU member states, provided that this is not in conflict with the objectives set out in section 2.1. Local civil society organisations that are active in the target countries in the areas mentioned in section 2.2 can play a major role in attaining the objectives listed in section 2.1 and in ensuring that the results are sustainable, for example when a substantial part of the civil service is replaced following elections. The rule of law can 10

11 also be promoted through civil society organisations, as a strong civil society helps (directly or indirectly) to make government function better. Involving these organisations where appropriate in the activities will also increase public support for reforms that pave the way for eventual accession to the EU Eligible organisations The following kinds of organisations may apply for grants from the Matra projects programme: - non-governmental organisations (NGOs) and non-profit educational institutions based in the Netherlands; - Dutch branches of international NGOs that are registered at a Chamber of Commerce in the Netherlands as independent legal entities. Only legal entities are eligible for Matra CoPROL grants. Consultancies and for-profit organisations may not apply on their own account for grants; however, NGOs may include experts from for-profit organisations in a project budget where the nature of a project or activities requires. Projects will be largely implemented by staff of the governmental or semi-governmental institutions listed in section 2.3.2, which often rely in practice on the additional capacity of consultants in the private sector. Organisations may either submit a grant application independently or form part of a consortium in a joint application. A consortium is a partnership between two or more civil society organisations as defined above that are carrying out a joint, integrated programme, to which each partner contributes, and that have concluded a cooperation agreement for this purpose. In this case the lead party submits the application for the entire programme on the consortium s behalf; the other partners are co-applicants. If the application is granted, the lead party is responsible for implementing the consortium s programme. Only civil society organisations as defined above may participate in a consortium. Organisations that are present in one or more of the target countries but not in the Netherlands may be part of a consortium, but not as the lead party. 11

12 3 Assessment procedure 3.1 Assessment criteria Organisations applying for grants under the Matra CoPROL programme must meet certain criteria in order to qualify for a grant. There are three types of criteria: 1. threshold criteria: criteria which all applications must meet. If an application does not meet all of the threshold criteria (threshold check), it will be rejected; 2. criteria relating to the quality of the applicant organisation or the lead party of the consortium (organisational check); 3. criteria relating to the quality of the programme proposal (programme check). These criteria are explained in more detail in chapter Evaluation The provisions of the General Administrative Law Act, the Ministry of Foreign Affairs Grants Decree and the Ministry of Foreign Affairs Grant Regulations 2006 are fully applicable to the assessment of applications and the award of grants. Applications will be assessed in accordance with the above legislation and pursuant to the requirements set out in these administrative rules. The assessment of grant applications and the award and allocation of the available funds will take place by means of a call for proposals: the quality of all applications that meet the requirements set out in these administrative rules will be assessed according to the same criteria. The applications that best meet the criteria will be given priority in the award of grants. The Minister will award grants in accordance with this ranking, taking account of the need for an even distribution of the available resources as referred to in article 8, paragraph 3 (d) of the Ministry of Foreign Affairs Grants Decree. The Minister will make a decision on the grant applications no later than 29 November In view of the above, the criteria set out below in chapter 4 have been formulated to supplement the provisions of the Ministry of Foreign Affairs Grants Decree and the Ministry of Foreign Affairs Grant Regulations

13 3.3 Checks and the allocation of available resources The assessment of applications for Matra CoPROL grants will take place in stages, resulting in a decision on the allocation of resources to the applicants. The first stage consists of checks of the threshold criteria, and the second stage of checks of the organisational criteria. The third stage consists of checks of the programme criteria. In the second stage only proposals that have met the threshold criteria are considered, and in the third stage only proposals from organisations that have scored adequately in the organisational check are considered Checks in stage 1 The threshold criteria are criteria that applications for Matra CoPROL grants must meet. No points are awarded; applications that fail to meet all of the threshold criteria are rejected and not assessed further Checks in stage 2 The organisational check looks at criteria relating to the quality and efficiency (track record, planning, monitoring and evaluation, and financial and administrative management) of the applicant organisation. Applications from organisations whose quality and efficiency are judged to be deficient are rejected and not assessed further Checks in stage 3 Stage 3 involves assessing the quality of the programme proposal. If the quality of the programme is judged to be deficient, the application will not qualify for a grant and the applicant will receive a letter of rejection Allocation of available resources Allocation of the available resources to applicants that have already satisfied the threshold criteria and organisational check takes place at the end of stage 3, i.e. on the basis of the results of the qualitative assessment of the applications (the programme check). In order to qualify for a grant, applications must have scored adequately on the criteria of the programme check. If insufficient resources are available to fully honour all the applications that score adequately on the programme check, funds will be allocated to these applications according to their ranking on the basis of the criteria specified in section 4.3 (the programme check) of these administrative rules. As far as possible, grant funds will be 13

14 allocated in such a way that each of the subjects referred to in section 2.2 is represented and the activities are distributed evenly over the target countries. In the final allocation of resources, the applications that best meet the criteria under the ranking mentioned above will be first to qualify for a grant, until the available resources are exhausted. It is therefore possible for a project to attain a satisfactory score, but still be rejected because the budget available for that round is insufficient to award grants to all satisfactory applicants. 3.4 Application procedure Applications for grants must be submitted using the model application form as stipulated and made available by the Minister, and received by the Ministry of Foreign Affairs, DEU, Bezuidenhoutseweg 67, 2500 EB The Hague by Central European Summer Time (CEST) on 18 October Applications should be complete and without reservations, signed by an officially authorised signatory and submitted in duplicate on paper and on CD-ROM. A copy should also be submitted by to deu-tender@minbuza.nl. It is not possible to submit a provisional application. Applications should be submitted in Dutch or English. Questions about this policy framework or other matters may be submitted at two different times. The questions will be anonymised and sent and published electronically in full with complete answers on The first deadline for submitting questions is 26 August 2013 at CEST. The second deadline for submitting questions is 23 September 2013 at CEST. In each round answers will be published a week later. Questions can be submitted by to deu-tender@minbuza.nl. 3.5 Procedure and timeline for decision-making The assessment of applications will be carried out at civil service level by an assessment committee consisting of at least two members of staff of the Ministries of Foreign Affairs and of Security & Justice, and possibly an external consultant. The assessment committee may call on relevant parties to verify the applications and draw on this verification in assessing the applications. If other parties are consulted, this fact will be mentioned in the Minister s decision. The Embassies of the Kingdom of the Netherlands in the target countries will be invited to give opinions on the applications at stage 3. Their opinions will weigh heavily. 14

15 The assessment procedure is based on the legislation governing the award of grants by the Minister and this grants policy framework. The Minister will decide on the grant applications no later than 29 November

16 4 Assessment of applications 4.1 Threshold criteria Applications that fail to meet all the threshold criteria will be rejected and will not be assessed further. These criteria are listed below and explained where necessary. Criterion D.1 The applicant, or the lead party if the application is made by a consortium, is a Dutch non-governmental organisation, an international NGO established in the Netherlands, or a Dutch educational institution, which is not-for-profit and possesses legal personality. This should be evident from its attached constitution, track records, policy plans and/or strategic multi-annual plans. Criterion D.2 The applicant must demonstrate that Dutch governmental or semi-governmental institutions, as referred to in section 2.3.1, will be directly involved in the activities by working in a results-oriented way with one or more governmental or semi-governmental institutions in one or more of the target countries (Albania, Bosnia and Herzegovina, Kosovo, Macedonia, Montenegro, Serbia and Turkey). This should be evident from the proposal and the accompanying budget and multi-year estimate, as well as from declarations to this effect by the Dutch and foreign governmental or semi-governmental institutions. Criterion D.3 The applicant must demonstrate that, as of 1 January 2013, at least 25% of its annual income will derive from sources other than Ministry of Foreign Affairs grants. Matra CoPROL grants must never exceed 75% of the organisation s annual income. The applicant must demonstrate this plausibly on the basis of income over the period. If the applicant is the lead party of a consortium, this criterion applies to the whole consortium. Consequently, if one organisation derives less than 25% of its annual income from sources other than Ministry of Foreign Affairs grants, this may be offset by another party in the consortium. Funds which are directly or indirectly obtained from the 16

17 budget of the Ministry of Foreign Affairs (e.g. a grant or contribution from a Dutch embassy) do not count when determining the extent of the applicant s own income. Criterion D.4 From the start of the grant period, the gross salaries of the managers and board members of the applicant comply with the upper limit set in the Public and Semi-public Sector Senior Officials (Standard Remuneration) Act. The applicant must specify the annual salaries (including allowances) of managers and board members. Criterion D.5 The applicant is capable of proper financial management. The applicant can ensure effective and efficient implementation of the activities due to its expertise regarding the activities for which a grant is being applied for. Criterion D.6 The grant amount applied for is at least 500,000 and no more than 4 million, and the duration of the activities for which grant funding is sought is at least 12 months and no more than 24 months. This should be evident from the proposal and the accompanying budget and multi-year estimate. Criterion D.7 The programme involves substantial activities in at least one of the following target countries: Albania, Bosnia and Herzegovina, Kosovo, Macedonia, Montenegro, Serbia and Turkey. This should be evident from the proposal and the accompanying budget and multi-year estimate. Criterion D.8 The programme involves activities aimed at reaching the following objectives: 1. strengthening the capacity of one or more governmental or semi-governmental institutions in at least one of the target countries to adopt and implement the EU acquis by drawing on the capacity of one or more relevant governmental or semigovernmental institutions in the Netherlands, and 2. strengthening bilateral ties between Dutch government institutions and their counterparts in at least one of the target countries and fostering greater understanding of Dutch policy in the target countries. 17

18 This should be evident from the proposal and the accompanying budget and multi-year estimate. Criterion D.9 The programme involves activities related to one of the following subjects: 1. Law enforcement and the administration of justice - organisation of the judiciary and the professional, efficient, independent, predictable, impartial, transparent and honest administration of justice; - law enforcement, crime-fighting, investigation and prosecution of offences, including strengthening the public prosecution service; - adoption of international standards on criminal law, trying war criminals in their own country, and cooperation with international tribunals; - juvenile justice policy: the system of juvenile criminal law, child protection services and combating domestic violence. 2. Public administration/public order/police/immigration policy - good governance, particularly: o enhancing the verifiability, legitimacy, predictability, transparency and democratic character of government action; o decentralisation and deregulation, management and funding of public services; o anti-corruption; - professionalising the police notably its relationship with the general public, public administration and the public prosecution service prevention, integrity and community policing; - prison reform and probation; - strengthening the immigration system, applying the Schengen rules, guarding the EU s external borders and implementing its asylum and migration policy. 3. Human rights and minorities - activities in the field of human rights, with a special focus on gender equality, media freedom (including internet freedom), religious freedom, protection of the rights of LGBTI persons and the protection and integration of minorities; - the role of government in promoting human rights and protecting minorities; - public information campaigns aimed at a more smoothly functioning democratic society and strengthening a culture of tolerance towards minorities and LGBTI persons. 18

19 This should be evident from the proposal and the accompanying budget and multi-year estimate. Criterion D.10 The activities focus on: 1. transferring the substantive expertise contributed by one or more Dutch governmental or semi-governmental institutions, as referred to in section 2.3.1, or, provided that this is not contrary to the objectives listed in criterion D.8, by relevant governmental or semi-governmental institutions in other EU member states, and 2. institutional strengthening. This should be evident from the proposal and the accompanying budget and multi-year estimate. 4.2 Organisational check The aim of the organisational check is to enable the Minister to judge the quality and efficiency of the applicant organisations. If the quality of the programme is judged to be deficient, the application will not be assessed further and the application will be rejected. Assessment in the context of the organisational check is based on the extent to which the organisation meets the following criteria: Criterion O.1: Track record over the past three years O.1.a. Based on the results achieved over the past three years, the applicant is considered capable of achieving the planned outcomes. 5 O.1.b. Based on the results achieved over the past three years, the applicant is considered capable of achieving the planned outputs. 6 O.1.c. The applicant is capable of obtaining contributions from third parties (resources other than the Matra CoPROL grant) that are necessary to the implementation of the programmes. O.1.d. The applicant is capable of ensuring the sustainability of programmes visà-vis the ultimate target group. Criterion O.2: Planning, monitoring and evaluation (PME): 5 As defined by DAC/OECD; see 6 As defined by DAC/OECD; see 19

20 O.2.a. The PME system is sufficient for monitoring progress in terms of outcomes, outputs and sustainability at programme and organisational level. O.2.b. The organisation periodically commissions independent evaluations of programmes, programme components and its own functioning. O.2.c. The organisation has a sound quality management system in place for its primary processes. Criterion O.3: Financial and administrative management: O.3.a. The organisation has a satisfactory policy on the financial supervision of organisations with which it has a funding relationship. O.3.b. The organisation has a satisfactory system for assessing the quality of partner organisations with which it has a funding relationship. O.3.c. The organisation has a financial monitoring system in place to identify shortfalls (or potential shortfalls) or surpluses at an early stage and take adequate measures to anticipate these contingencies. 4.3 The programme check The programme check assesses the quality of the programme. If the quality of the programme is judged to be deficient, the application will not qualify for a grant. The quality of the programme is assessed on the basis of the following criteria: Criterion P.1: Policy relevance: the extent to which the programme is relevant to policy. This is assessed on the basis of the following factors: P.1.A. Relevance to the objective of this call for proposals: the extent to which the activities contribute to enhancing the capacity of governmental or semi-governmental institutions in the target countries to meet the political (Copenhagen) criteria, and to strengthening bilateral ties between the Netherlands and the target countries with regard to one of the themes mentioned in section 2.2. P.1.B. Relevance of the activities in the selected countries: the extent to which the activities correspond to the key challenges identified by the European Commission in the enlargement package it published in 2011 and 2012, with regard to the themes mentioned in section 2.2, for the country or countries in which the activities are to be carried out. P.1.C. Relevance of the Dutch governmental or semi-governmental institutions: the extent to which the expertise of the institution(s) 20

21 involved in carrying out the activities will contribute to enhancing the capacity of governmental or semi-governmental institutions in the target countries to meet the political (Copenhagen) criteria, to strengthening bilateral ties between the Netherlands and the target countries, and to responding to the key challenges identified by the European Commission in the enlargement package it published in 2011 and 2012 as mentioned in P.1.B. P.1.D. Chain approach: the extent to which the programme is based on collaboration among a chain of partners in which each partner has its own specific, (semi-)autonomous role. P.1.E. Civil society: the extent to which suitable civil society organisations in the target countries are involved in devising and carrying out the activities. P.1.F. Complementarity: the extent to which the activities are aligned with the policy of the Netherlands and other donors in the countries in which the activities are to be carried out. Criterion P.2.: Contextual analysis: the extent to which the proposal, especially the defined problem and objective, reflects contextual analysis findings. Criterion P.3.: Position of the governmental or semi-governmental institutions in the target countries in the programme: the extent to which the programme contributes to institutional capacity building of the governmental or semi-governmental institutions in the country in question and the extent to which they can effectively influence the programme. Criterion P.4.: Ownership: the extent to which the governmental or semi-governmental institutions in the target countries make an independent contribution to the activities. Criterion P.5.: Details of envisaged outcomes, outputs, activities and resources: P.5.A. The extent to which the programme is formulated in terms of specific, measurable, acceptable, realistic and time-related (SMART) outcomes and outputs. The outcomes and outputs are within the programme s span of influence, are a logical extension of the definition of the problem in the contextual analysis, and are acceptable for the target group and other stakeholders. The proposed 21

22 volume is realistic in view of the scale of the programme and the capacity of the third parties involved. P.5.B. The extent to which the programme includes activities planned in detail, which bear a logical relation to the envisaged outputs. P.5.C. The extent to which the programme makes a logical connection between the outputs to be achieved and the resources necessary to do so. Criterion P.6.: Risks, monitoring and corrective action: the extent to which satisfactory risk management is in place. P.6.A. The extent to which a satisfactory, professional, systematically conducted risk analysis has addressed all relevant risks. The risk analysis sets out mitigating measures for every risk it identifies at both programmatic and organisational level. P.6.B. The extent to which the programme has a satisfactory system for monitoring and corrective action. P.6.C. The extent to which the funding necessary to implement the programme, in addition to the requested grant, is guaranteed. P.6.D. The extent to which the programme will be evaluated in a satisfactory manner. Criterion P.7.: Sustainability: the extent to which the activities will produce a lasting effect and contribute to the institutional sustainability of governmental or semigovernmental institutions in the target countries. P.7.A. The extent to which the activities will be continued after implementation of the programme, and the extent to which the programme includes a transition plan or exit plan. P.7.B. The extent to which the programme contributes to the institutional sustainability of governmental or semi-governmental institutions in the target countries. 22