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BỘ NGOẠI GIAO
--------
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CỘNG HÒA XÃ HỘI
CHỦ NGHĨA VIỆT NAM
Độc lập - Tự do - Hạnh phúc
----------------
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Số:
03/2015/TB-LPQT
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Hà Nội, ngày 12
tháng 01 năm 2015
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THÔNG BÁO
VỀ VIỆC ĐIỀU ƯỚC QUỐC TẾ CÓ HIỆU LỰC
Thực hiện quy định tại khoản
3 Điều 47 của Luật Ký kết, gia nhập và thực hiện điều ước quốc tế năm 2005,
Bộ Ngoại giao trân trọng thông báo:
Hiệp định tài chính Dự án “Nâng cao
năng lực và tính hiệu quả cho Cục An toàn bức xạ và hạt nhân và các tổ chức hỗ
trợ kỹ thuật của Cục” giữa Chính phủ nước Cộng hòa xã hội chủ nghĩa Việt Nam và
Liên minh Châu Âu ký tại Hà Nội ngày 31 tháng 12 năm 2014, có hiệu lực kể từ
ngày 31 tháng 12 năm 2014.
Bộ Ngoại giao trân trọng gửi Bản sao
Hiệp định theo quy định tại Điều 68 của Luật nêu trên./.
|
|
TL. BỘ TRƯỞNG
KT. VỤ TRƯỞNG
VỤ LUẬT PHÁP VÀ ĐIỀU ƯỚC QUỐC TẾ
PHÓ VỤ TRƯỞNG
Nguyễn Văn Ngự
|
FINANCING AGREEMENT
SPECIAL
CONDITIONS
The European Commission, hereinafter referred to as
"the Commission", acting on behalf of the European Union,
hereinafter referred to as "the EU",
of the one part, and
The Government of the Socialist Republic of Viet
Nam, hereinafter referred to as "the Beneficiary", represented
by the Ministry of Science and Technology (MOST)
of the other part,
have agreed as follows:
Article 1 - Nature of the
action
1.1. The EU agrees to finance and the Beneficiary
agrees to accept the financing of the following action:
VN 3.01/13 "Enhancing the capacity and
effectiveness of the Vietnam Agency for Radiation and Nuclear Safety and its Technical
Support Organisation/s"
CRIS N°: NSI/2013/024-787
This action is financed from the EU Budget under
the following basic act: Instrument for Nuclear Safely Cooperation under the
Multiannual Financial Framework 2007-2013.
1.2. The total estimated cost of this action is EUR
2,000,000 and the maximum EU contribution to this action is set at EUR
2,000,000.
1.3. The Beneficiary shall contribute "in-kind
contribution" to the project.
Article 2 - Execution period
2.1. The execution period of this Financing
Agreement as defined in Article 15 of Annex II (General Conditions) shall
commence on the entry into force of this Financing Agreement and end 96 months
after this date.
2.2. The duration of the operational implementation
phase is fixed at 72 months.
2.3. The duration of the closure phase is fixed at
24 months.
Article 3 - Addresses
All communications concerning the implementation of
this Financing Agreement shall be in writing, shall refer expressly to this
action as identified in Article 1.1 of these Special Conditions and shall be
sent to the following addresses:
a) for the Commission
Ms Lotte Knudsen, Director, Human and Society
Development
DG Development and Cooperation - EuropeAid
European Commission
Rue Joseph II 59
B-1000 Brussels, Belgium
Email: EUROPEAID-B@ec.europa.eu
b) for the Beneficiary
H.E. Mr Minister Nguyen QUAN
Ministry Of Science And Technology (MOST)
Vietnam, Ha Noi, Cau Giay district, Trung Hoa ward,
113 Tran Duy Hung Street
Tel: (84.4) 35563456; Fax: (84.4) 39439733
Article 4 - OLAF contact point
The contact point of the Beneficiary having the
appropriate powers to cooperate directly with the European Anti-Fraud Office
(OLAF) in order to facilitate OLAF's operational activities shall be:
Government Inspectorate
Address: D29 Lot Tran Thai Tong - Yen Hoa - Cau
Giay - Hanoi
Email: ttcp@thanhtra.gov.vn
Article 5 -
Annexes
5.1. This Financing Agreement is composed of:
(a) these Special Conditions;
(b) Annex I: Technical and Administrative Provisions,
detailing the objectives, expected results, activities, description of the
budget-implementation tasks entrusted and budget of this Action;
(c) Annex II: General Conditions;
5.2. In the event of a conflict between, on the one
hand, the provisions of the Annexes and, on the other hands, the provisions of
these Special Conditions, the latter shall take precedence. In the event of a
conflict between, on the one hand, the provisions of Annex I (Technical and
Administrative Provisions) and, on the other hand, the provisions of Annex II
(General Conditions), the latter shall take precedence.
Article 6 - Entry into force
This Financing Agreement shall enter into force on
the date on which it is signed by the last party.
Done in 2 original copies, 1 copy being handed to
the Commission and 1 to the Beneficiary.
|
For the Beneficiary:
H.E. Mr Minister Nguyen QUAN
Minister,
Ministry of Science and Technology
|
For the Commission:
Ms Lotte Knudsen
Director, Human Society Development
DG Development and Cooperation
European Commission
|
|
Date 31/12/2014
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Date 23/12/2014
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ANNEX I
TO FINANCING AGREEMENT N° NSI/2014/024-787
TECHNICAL AND
ADMINISTRATIVE PROVISIONS
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PARTNER COUNTRY / REGION
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The Government of the Socialist Republic of Vietnam
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BUDGET HEADING
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BGUE-B2013-19.060400-C1-DEVCO
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TITLE/CRIS NR
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VN 3.01/13 Enhancing the capacity and
effectiveness of the Vietnam Agency for Radiation and Nuclear Safety and its
Technical Support Organisation/s
CRIS N°: NSI/2013/024-787
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|
TOTAL COST
|
Total estimated cost: EUR 2,000,000
Total amount of EU budget contribution: EUR
2,000,000
|
|
AID METHOD / MANAGEMENT MODE AND TYPE OF
FINANCING
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Project Approach
Direct management (implemented by the Commission as
the Contracting Authority) -procurement of services
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DAC-CODE
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23064
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SECTOR
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Nuclear Safety
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1. DESCRIPTION
The Vietnamese National Assembly adopted, in 2009,
a plan for the use of nuclear energy. This foresaw the installation of about 10.7
GW of nuclear generating capacity by 2030 and the construction of a 550 kV
electricity grid from the north to the south of Vietnam. Construction of the
first nuclear power plant (NPP) was scheduled to start in 2014 with
commissioning scheduled for 2020. Approximately 1 GW of new capacity was
scheduled to be commissioned each year from 2020 to 2030. Bi-lateral agreements
(including loans) have been signed with the Russian Federation (2010) and Japan
(2011) for the construction of two reactors (each of 1 GW installed capacity)
at each of two sites, Phuoc Dinh and Vinh Hai.
The Vietnam Agency for Radiation and Nuclear Safety
(VARANS) is responsible for the regulation and control of radiation and nuclear
safety in Vietnam. VARANS is a relatively new organization. It has grown from
less than 10 professional staff in 2004 to about several hundred foreseen by
2020. Most of the staff are relatively young, have a high level of education
but with little practical experience of nuclear safety and/or its regulation.
VARANS is also in the process of establishing its Technical Support
Organisations (TSOs); this will comprise members of current VARANS staff,
personnel from the Vietnamese nuclear related organizations and from other
institutes where appropriate.
VARANS, because of the relative inexperience and
rapid growth of its staff, will face major challenges over the coming decade in
regulating the introduction and use of nuclear energy in Vietnam. This
challenge will be exacerbated by the installation of two different reactor
designs (i.e., Russian and Japanese) for the first two nuclear power stations.
Cooperation, under the auspices of the INSC programme, is therefore both timely
and needed; in particular, it will contribute to ensuring that VARANS has the
necessary competence and expertise for regulating nuclear safety in accordance
with best international standards and practice.
This project is a follow-up to project VN 3.01/09,
the first cooperation with Vietnam in the area of nuclear safety under the
auspices of INSC. The initial project began in mid-2012 and focused on
enhancing the capacity and effectiveness of the regulatory body, VARANS.
Maintaining continuity between the projects is important given the major
challenges VARANS faces in establishing, in a timely manner, the necessary
experience and competence for regulating nuclear safety in accordance with best
international standards and practice.
An initial logical framework is attached (see
Appendix I). It may be updated or adapted without an amendment to the financing
agreement as long as these modifications do not change the objectives of the
action.
1.1. Objectives
The overall objective is to further enhance the
capacity and effectiveness of the Vietnamese regulatory body, VARANS, and its
Technical Support Organisation (TSO) in the regulation of nuclear safety.
The enhanced efficacy and capabilities of VARANS
will improve the governance of nuclear safety in Vietnam and contribute to
bringing it in accordance with best international standards and practice.
1.2. Expected results and main activities
The project will be implemented through six tasks
or activities, each of which is largely self- contained but, when taken
together, form part of a broader and more integrated strategy aimed at
enhancing the capacity and effectiveness of VARANS to regulate nuclear safety.
The strategy and approach adopted to achieve the
objectives of this project reflect those adopted successfully in several
previous cooperation projects with nuclear regulatory bodies in countries embarking
on the use of nuclear energy. The strategy is to actively engage with the
regulatory body, assess its needs in terms of regulating nuclear safety in
accordance with best European and international practice, and identify
priorities for cooperation taking due account of the current state of
development of its capabilities and the foreseen timescale for the use of
nuclear energy.
The activities will be implemented in a framework
of cooperation with the concerned Vietnamese authorities and agencies and aimed
at transferring EU know-how and experience in the related domains, without
interfering with the exclusive responsibilities of the involved Vietnamese
stakeholders.
- Task 1 - Further development of the legal
and regulatory frameworks for nuclear safety in Vietnam
The objective of this task is:
● to cooperate in the further development of the
legal and regulatory frameworks for nuclear safety in accordance with best
international standards and practice and on a timescale consistent with the
planned use of nuclear energy in Vietnam
The cooperation will have two main directions.
Firstly, the prevailing status and/or completeness of the legal and regulatory
frameworks will be assessed and priorities for further development established taking
account of the road map for the installation and operation of NPPs. Secondly,
regulations and related guidance still under development, or yet to be
developed, will be finalised according to the established priorities with a
view to completing the legal and regulatory frameworks for inspection and
licensing of all stages in the construction and operation of a nuclear reactor.
- Task 2 - Further development of a quality
management system for use by VARANS in the regulation of nuclear installations
The objective of this task is:
● to cooperate in the further development and
completion of a quality management system for use by the regulatory body in
fulfilling its functions of assessing and verifying the safety of nuclear
installations (internal regulatory guides and procedures).
The cooperation will have four main directions.
Firstly, the overall structure of the quality management system will be
reviewed, its fitness for purpose evaluated and improvements made where
necessary. Secondly, the prevailing status and completeness of the system will
be evaluated, in particular identifying any major gaps or deficiencies and
establishing priorities for the further development of internal guides and
procedures taking into account of needs in relation to the road map for the
installation and operation of NPPs.
In this context the following will, inter alia,
be addressed: the development of a procedure or procedures for the
commissioning and oversight of independent reviews and assessments of safety
submissions; and the development of a system and/or procedures for effectively
managing and coordinating the diverse support being provided to VARANS through
various cooperation programmes.
Thirdly, procedures and related guidance still
under development, or yet to be developed, will be finalised according to the
established priorities with a view to covering inspection and licensing of all
stages in the construction and operation of a nuclear reactor. Fourthly,
first-hand experience with the use of quality management systems, including the
practical application of various procedures and guides (e.g., for carrying out
safety assessments and reviews, inspections, enforcement actions, etc.), by
European regulators will be mainly transferred through ‘on the job training’ in
Europe for VARANS staff members.
- Task 3 - Further development of
capabilities within VARANS for undertaking and/or commissioning independent
reviews and assessments of safety submissions
The objective of this task is:
● to cooperate in the further development of
capabilities within VARANS and its TSOs to perform and/or to commission
independent reviews and assessments of safety submissions for nuclear power
plants in accordance with best international standards and practice
The cooperation will focus on the further
development of capabilities relevant to the construction and operational
stages. Particular attention will be given to enhancing capabilities within
VARANS for the commissioning and oversight of independent reviews, etc., of
safety; during the early stages of the nuclear programme in Vietnam (i.e.,
while VARANS and its TSO are in the process of enhancing their experience and
capabilities), such reviews and assessments will often need to be undertaken by
external consultants. The priority areas where capabilities will be enhanced
will be determined at a later stage in the process but will be selected from
among the following: site characteristics; fuel; materials and ageing; design
of safety systems, structures and components; safety analysis; operations; and
quality assurance. The further development of capabilities will be achieved
through focused training courses in Vietnam complemented by more extended
periods of ‘on the job training’ of VARANS staff members in Europe (i.e.,
within European regulatory bodies or their TSO).
- Task 4 - Human resources development plan
and sustainable training programme for VARANS and its TSOs
The objectives of this task are:
● to cooperate in further refining the human
resources development plan for VARANS and its TSOs such that it is fully
commensurate with the anticipated level and timing of the introduction and use
of nuclear energy in Vietnam and
● to cooperate in the establishment of a
sustainable training programme capable of delivering the goals of the human resources
development plan.
The existing human resources development plan and
the associated training programme will be reviewed, their fitness for purpose
evaluated (in particular in relation to the prevailing road map for the
introduction of nuclear energy in Vietnam) and improvements made where
necessary. Particular attention will be given to the adequacy of the plan and
programme in relation to the planned increase in personnel in VARANS and its
TSO from about 90 in 2011 to about several hundred in 2020.
- Task 5 - Nuclear safeguards and security
The objective of this task is:
● to support the development of a comprehensive
system for nuclear safeguards and security in Vietnam
Cooperation will focus on: the development of a
legal framework for the overall management of nuclear security and safeguards
in Vietnam; the development of systems of accounting for and control of nuclear
materials; the import and export of nuclear materials and their associated
controls, the security of nuclear materials during transports, the management,
use, maintenance and disposal of radioactive sources and equipment in the
nuclear fuel cycle and of mobile radioactive sources; the provision of advice
on the design, the setting up and the operation of dedicated laboratories for the
support of nuclear security and safeguards; and training in all aspects of
nuclear safeguards and security.
- Task 6 - Transparency and Public
Information
The objective of this task is:
● to assist VARANS and its TSO with communication
in a transparent way to the general public about the VARANS role and
responsibilities in the process of nuclear safety regulation of nuclear power.
Progress within each task and the project overall
will be mapped against indicators set out in the logframe matrix (see Appendix
I) and IAEA’s Specific Safety Guide, SSG-16 - ‘Establishing the Safety
Infrastructure for a Nuclear Power Programme’. The latter provides guidance to
States deciding and/or preparing to embark on a nuclear power programme on the
establishment of a framework for safety in accordance with IAEA safely
standards.
2. IMPLEMENTATION
2.1. Indicative operational implementation
period
The indicative operational implementation period of
this action is as specified in Article 2 of the Special Conditions.
2.2. Location
The project activities will mainly take place in
Hanoi, Vietnam.
2.3. Implementation components and modules
2.3.3. Procurement (direct management
implemented by the Commission as the Contracting Authority)
|
Subject in generic terms, if possible
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Type (works, supplies, services)
|
Indicative number of contracts
|
Indicative trimester of launch of the procedure
|
|
Support to Regulatory Authority
|
Services
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1
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2/2015
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2.4. Scope of geographical eligibility for
procurement and grants
Subject to the following, the geographical
eligibility in terms of place of establishment for participating in procurement
procedures and in terms of origin of supplies and materials purchased as
established in the basic act shall apply.
The responsible authorising officer may extend the
geographical eligibility in accordance with Article 14(7) of the basic act on
the basis of the unavailability of products and services in the markets of the
countries concerned, for reasons of extreme urgency, or if the eligibility
rules would make the realisation of this action impossible or exceedingly
difficult.
2.5. Indicative budget
|
Module
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Amount in EUR
thousands
|
Third party
contribution
|
|
4.3.3. - Procurement (direct management)
|
1.850
|
N.A.
|
|
4.7. - Evaluation and audit (indicative)
|
100
|
N.A.
|
|
4.8. - Communication and visibility (indicative)
|
50
|
N.A.
|
|
Contingencies
|
0
|
N.A.
|
|
Totals
|
2.000
|
N.A.
|
2.6. Performance monitoring
The European Commission may carry out Results Oriented
Monitoring (ROM) via independent consultants, starting from the sixth month of
project activities, which will be finalised at the latest 6 months before the
end of the operational implementation phase.
In addition to Results Oriented Monitoring, the
action will be monitored internally using traditional project management Key
Performance Indicators, such as:
● Achievement of milestones;
● Progress reports and technical reports;
● Use of resources.
The long term aspects will be based on Key
Performance Indicators to be specified in the Terms of Reference. They will be
defined so as to quantify the medium-long term impact of the action. The
involvement of the Beneficiary in this evaluation exercise is important for the
sustainability of the activities and the project results.
2.7. Donor Coordination
VARANS is cooperating with several other countries
and the IAEA in enhancing its capabilities for regulating nuclear safety. In
particular, regulatory bodies in the Russian Federation and Japan (i.e., the countries
supplying the reactors for the first two nuclear sites in Vietnam) have, or are
in the process of establishing, cooperation programmes with Vietnam in the area
of nuclear safety. Similarly IAEA, under the auspices of its Technical
Cooperation Programme, will continue to support VARANS in further enhancing its
capabilities. In principle, the multiplicity and diversity of sources of
cooperation will be beneficial - in practice, however, there is a risk that the
outcome will be otherwise (e.g., insufficient capacity in VARANS and its TSO to
absorb the various sources of cooperation, inability to rationalise disparate
approaches to regulation, etc.). Therefore effective donor coordination is
essential between all cooperation programmes in order to ensure that they
remain focused on the right priorities, avoid duplication and take the
absorption capacity within VARANS into account. Arrangements will be put in
place to achieve the necessary degree of coordination. The establishment,
within this action (see Task 2), of approaches and/or procedures to ensure
effective coordination-and management within VARANS of various cooperation
programmes is one of a number of measures that will be taken. The IAEA
established the Regulatory Cooperation Forum (RCF), which identifies the areas
(defined as actions in the IAEA Special Safety Guide SSG-16) in which the
VARANS is supported by the various donors. This is another measure to avoid
possible overlap of donor’s support.
2.8. Communication and visibility
Communication and visibility of the EU is a legal
obligation for all external actions funded by the EU.
Communication and visibility activities shall be
implemented according to the well-defined standards and rules in The
Communication and Visibility Manual for European Union External Action. These
manual is part of the contractual oblisations of implementing
partners/contractors and must therefore be carried out in the same way as any
other contractual element.
On a regular basis, the contractor will submit
Progress Reports to the European Commission with copies to the Beneficiary, the
EU Delegation in the partner country, the EU Joint Research Centre and the EU
Monitoring Team. The contractor shall pay particular attention to the
confidentiality of the data. Other deliverables dedicated to visibility may
include:
● An inception press release at the start-up of the
project;
● A final press release to be provided with the
project final report;
● A final presentation meeting for the dissemination
of the project results organised by the Contractor.
Other actions to disseminate results or increase
the visibility of the EU action may be implemented in parallel to the present
projects.
2.9. Organisational set-up and responsibilities
The project will be implemented by the European
Commission, DG Development and Cooperation - EuropeAid, Unit B5, Instrument
contributing to Stability and Peace, Nuclear Safety.
All contracts and payments are made by the European
Commission, on behalf of the Beneficiary.
3. MONITORING, EVALUATION AND AUDIT
3.1. Monitoring and Evaluation
The project will be monitored in compliance with
standard procedures. Monitoring and assessment should be based on periodic
assessment of project activity progress, achievement of project outputs and its
objectives. In addition to the follow-up and controls carried out on the spot,
as necessary, by the Commission, including the European Antifraud Office (OLAF)
and the Court of Auditors, projects shall be monitored on a regular basis by
appropriately qualified specialists based in the field. Independent ex-post
evaluations will be conducted periodically, in order to assess the relevance,
effectiveness, efficiency and impact of the programme.
3.2. Audit
Internationally recognised external auditor shall
be appointed, in accordance with EU procurement rules. Expenditure
verifications will be submitted as part of the service and supply contract
requirements.
ANNEXES
Appendix 1 - Logical Framework
Appendix
I to TAP VN3.01/13 (CRIS N. NSI/2013/024-787) - LOGICAL FRAMEWORK FOR THE
ACTION
|
|
Description
|
Key Performance
Indicators (KPI)
|
Sources and
means of verification of KPI
|
Assumptions
|
|
Overall
Objectives
|
To further enhance
the capacity and effectiveness of the Vietnamese regulatory body, VARANS, and
its Technical Support Organisations (TSOs) in the regulation of nuclear
safety in accordance with best international standards and practice
|
Transfer of best
international practice, methods, procedures, approaches, etc, for regulating
nuclear safety and establishing a system for nuclear safety and safeguards
|
Project
documentation and adoption (or commitment to do so) by VARANS of methods,
procedures, approaches, knowledge, etc, transferred
|
Adequate and
efficient involvement and consultation with the relevant stakeholders;
provision of all relevant documents by the Beneficiary; compliance with
national regulations and taking into account best international practice and
standards; coordination of tasks with other international donors; capacity
building at local level
|
|
Specific
Objectives
|
To cooperate in
the further development of the legal and regulatory frameworks for nuclear
safety in accordance with best international standards and practice and on a
timescale consistent with the planned use of nuclear energy in Vietnam (Task
1)
|
Regulations and
related guidance developed and/or finalised within project
|
Regulations and
related guidance (draft or final). Project documentation
|
Timely
identification of gaps or deficiencies in regulatory framework and
prioritisation of effort. Sufficient resources and absorption capacity in
VARANS
|
|
To cooperate in the
further development and completion of a quality management system for use by
the regulatory body in fulfilling its functions of assessing and verifying
the safety of nuclear installations (internal regulatory guides and
procedures). (Task 2)
|
Quality management
system in operation and incorporating regulatory guides and procedures for
all key activities.
‘On the job’
training
|
Quality management
system in operation. Regulatory guides and procedures. Project documentation
|
Timely
identification of gaps and deficiencies in the quality management system -
Sufficient resources and absorption capacity in VARANS
|
|
To cooperate in
the further development of capabilities within VARANS and its TSOs to perform
and/or to commission independent reviews and assessments of safety
submissions for nuclear power plants in accordance with best International
standards and practice (Task 3)
|
Methods
transferred for carrying out independent assessments and for commissioning
and evaluating assessments made by third parties.
Workshops,
training courses and ‘on the job’ training
|
Training courses
Project
documentation
|
Documentation on
existing capabilities.
Absorption
capacity in VARANS is sufficient
|
|
Specific
Objectives
|
To cooperate in further
refining the human resources development plan for VARANS and its TSOs such
that it is fully commensurate with the anticipated level and timing of the
introduction and use of nuclear energy in Vietnam; and
in the
establishment of a sustainable training programme capable of delivering the
goals of the human resources development plan. (Task 4)
|
Revised human
resources development plan.
Sustainable
training programme
|
Human resources
development plan.
Training
programme.
Project
documentation
|
Availability of
documentation on existing human resources development plan and training
programme
|
|
To support the
development of a comprehensive system for nuclear safeguards and security in
Vietnam (Task 5)
|
Legal framework.
Systems for
accounting and auditing, and the import and export, of nuclear materials,
etc; Workshops and training in all aspects of safeguards and security
|
Legal framework
Systems for
accounting and audit, etc
Training material
Project
documentation
|
Availability of
documentation on the activities to be brought within the system for
safeguards and security
|
|
To assist VARANS
in communicating transparently with the general public about its role in
regulating nuclear safety
(Task 6)
|
Practicable
guidance on effective communication approaches.
Training in use of
approaches.
Practical
application of approach by VARANS
|
Guidance
Training material
Feedback on use of
approach
|
Availability of
documentation on current approaches in VARANS to public communication
|
|
Expected
Results
|
Completion of the
legal and regulatory frameworks for inspection and licensing of all stages in
the construction and operation of a nuclear reactor (Task 1)
|
Regulations and related
guidance developed and/or finalised within project
|
Regulations and
related guidance (draft or final). Project documentation
|
Timely
identification of gaps or deficiencies in regulatory framework and
prioritisation of effort. Sufficient resources and absorption capacity in
VARANS
|
|
Further
development and completion of a quality management system for VARANS
(including internal regulatory guides and procedures for all stages in the
construction and operation of a nuclear reactor) (Task 2)
|
Quality management
system in operation and incorporating regulatory guides and procedures for
all key activities.
‘On the job’
training
|
Quality management
system in operation. Regulatory guides and procedures. Project documentation
|
Timely
identification of gaps and deficiencies in the quality management system.
Sufficient resources and absorption capacity in VARANS
|
|
Expected
results
|
VARANS and its
TSOs able to perform and/or to commission independent reviews and assessments
of safety submissions for nuclear power plants in accordance with best
international standards and practice (Task 3)
|
Methods
transferred for carrying out independent assessments and for commissioning
and evaluating assessments made by third parties.
Workshops,
training courses, and ‘on the job’ training
|
Training courses
Project
documentation
|
Documentation on
existing capabilities.
Absorption
capacity in VARANS is sufficient
|
|
Refined human
resources development plan for VARANS and its TSOs and
a sustainable
training programme capable of achieving the goals of that plan (Task 4)
|
Revised human
resources development plan.
Sustainable
training programme
|
Human resources
development plan.
Training
programme.
Project
documentation
|
Availability of documentation
on existing human resources development plan and training programme
|
|
Legal framework
for nuclear security and safeguards. Systems for: accounting and auditing of
nuclear materials; import and export of nuclear materials, etc; control of mobile
radioactive sources. Advice on the design and equipping of dedicated
laboratories. Training in all aspects of safeguards and security (Task 5)
|
Legal framework.
Systems for
accounting and auditing, and the import and export, of nuclear materials, etc;
Workshops and training in all aspects of safeguards and security
|
Legal framework
Systems for
accounting and audit, etc
Training material
Project
documentation
|
Availability of
documentation on the activities to be brought within the system for safeguards
and security
|
|
VARANS able to
communicate more effectively and transparently with the general public about
its role in regulating nuclear safety (Task 6)
|
Practicable
guidance on effective communication approaches.
Training in use of
approaches.
Practical
application of approach by VARANS
|
Guidance
Training material
Feedback on use of
approach
|
Availability of
documentation on current approaches in VARANS to public communication
|
|
Activities
|
Assessment of the prevailing
status and/or completeness of the legal and regulatory frameworks.
Development of further regulations and related guidance to complete the legal
and regulatory frameworks for inspection and licensing of all stages in the
construction and operation of a NPP (Task 1)
|
Regulations and
related guidance developed and/or finalised within project
|
Regulations and
related guidance (draft or final). Project documentation
|
Timely
identification of gaps or deficiencies in regulatory framework and prioritisation
of effort. Sufficient resources and absorption capacity in VARANS
|
|
Review, further
development and completion of a quality management system for VARANS. Further
development of internal guides and procedures for: the commissioning and
oversight of independent reviews and assessments of safety submissions;
managing and coordinating cooperation projects/programmes; inspection and
licensing of all stages in the construction and operation of a NPP (Task 2)
|
Quality management
system in operation and incorporating regulatory guides and procedures for
all key activities.
‘On the job’
training
|
Quality management
system in operation. Regulatory guides and procedures. Project documentation
|
Timely
identification of gaps and deficiencies in the quality management system.
Sufficient resources and absorption capacity in VARANS
|
|
Further
development of the capabilities of VARANS and its TSOs to perform and/or to
commission and oversee independent reviews and assessments of safety submissions
for nuclear power plants, in particular for the construction and operational
stages (Task 3)
|
Methods
transferred for carrying out independent assessments and for commissioning
and evaluating assessments made by third parties.
Workshops, training
courses and ‘on the job’ training
|
Training courses.
Project
documentation
|
Documentation on
existing capabilities.
Absorption
capacity in VARANS is sufficient
|
|
Review and
improvement of the existing human resources development plan. Development of
a sustainable training programme capable of meeting the goals of the plan
(Task 4)
|
Revised human
resources development plan.
Sustainable
training programme
|
Human resources
development plan. Training programme.
Project
documentation
|
Availability of
documentation on existing human resources development plan and training
programme
|
|
Activities
|
Develop legal
framework for nuclear security and safeguards. Develop systems for:
accounting and auditing of nuclear materials; import and export of nuclear materials,
etc; control of mobile radioactive sources. Prepare advice on the design and
equipping of dedicated laboratories. Carry out training in all aspects of
safeguards and security
(Task 5)
|
Legal framework.
Systems for
accounting and auditing, and the import and export, of nuclear materials,
etc. Workshops and training in all aspects of safeguards and security
|
Legal framework.
Systems for
accounting and audit, etc,
Training material.
Project
documentation
|
Availability of
documentation on the activities to be brought within the system for
safeguards and security
|
|
Develop approaches
for use by VARANS in communicating effectively and transparently with the
general public as to its roles and responsibilities for nuclear safety.
Training in use of approaches. Feedback on application of approaches by
VARANS in public communication (Task 6)
|
Practicable
guidance on effective communication approaches.
Training in use of
approaches.
Practical
application of approach by VARANS
|
Guidance
Training material
Feedback on use of
approach
|
Availability of
documentation on current approaches in VARANS to public communication
|
Financing Agreement - Annex II - General Conditions
ANNEX II –
GENERAL CONDITIONS
Part One:
Provisions Applicable to Activities for which the Beneficiary is the
Contracting Authority
Article 1 - General principles
1.1. The purpose of Part One is to define the
budget-implementation tasks entrusted to the Beneficiary in indirect management
as described in Annex I (Technical and Administrative Provisions) and to define
the rights and obligations of the Beneficiary and of the Commission in carrying
out these tasks.
Part One shall apply to the budget-implementation
tasks related to the EU contribution alone or in combination with the funds of
the Beneficiary or of a third party where such funds are implemented in joint
co-financing, i.e. where they are pooled. These tasks encompass the
implementation by the Beneficiary as contracting authority of procurement and
grant award procedures, and the awarding, signing and enforcing the resulting
procurement and grant contracts.
As a rule, the Commission shall carry out related
payments to contractors and grant beneficiaries. However, the Beneficiary shall
carry out certain payments including to its own staff on the basis of a
programme estimate as defined in Article 5 of these General Conditions.
Where the Beneficiary is an ACP State and the
action is financed by the EDF pursuant to Article 1.1 of the Special
Conditions, the tasks entrusted shall be those listed in points (c) to (k) of
the sixth subparagraph of Article 35(1) and in Article 35(2) of Annex IV to the
ACP-EC Partnership Agreement.
Where the Beneficiary is an OCT and the action is
financed by the EDF pursuant to Article 1.1 of the Special Conditions, the
exercise of tasks entrusted shall also respect the conditions of Article 86(3)
of Council Decision 2013/755/EU of 25 November 2013 on the association of the
overseas countries and territories with the European Union (Overseas
Association Decision).
1.2. The Beneficiary shall remain responsible for
the fulfilment of the obligations stipulated in this Financing Agreement even
if it designates other entities identified in Annex I (Technical and
Administrative Provisions) to carry out certain budget-implementation tasks in
the context of the implementation of a programme estimate referred to in
Article 5 of these General Conditions. The Commission, in particular, reserves
the right to suspend payments, and to suspend and/or terminate this Financing Agreement
on the basis of the acts, omissions and/or situations of any designated entity.
1.3. The tasks identified in Article 1.1 of these
General Conditions shall be carried out by the Beneficiary in accordance with
the procedures and standard documents laid down and published by the Commission
for the award of procurement and grant contracts, in force at the time of the
launch of the procedure in question.
1.4. The Beneficiary shall set up and ensure the
functioning of an effective and efficient internal control system. The
Beneficiary shall respect the principles of sound financial management,
transparency and non-discrimination and avoid situations of conflict of
interest.
A conflict of interest exists where the impartial
and objective exercise of the functions of any responsible person is
compromised for reasons involving family, emotional life, political or national
affinity, economic interest or any other shared interest with a tenderer or
applicant, or contractor or grant beneficiary.
Internal control system is a process aimed at
providing reasonable assurance that operations are effective, efficient and
economical, that the reporting is reliable, that assets and information are
safeguarded, that fraud and irregularities, are prevented, detected and corrected,
and that risks relating to the legality and regularity of the financial
operation are adequately managed, taking into account the multiannual character
of the activities as well as the nature of the payments concerned.
In particular, where the Beneficiary carries out
payments pursuant to a programrae estimate, the functions of the authorising
and accounting officers shall be segregated and mutually incompatible and the
Beneficiary shall operate an accounting system that provides accurate,
complete, reliable and timely information. The Beneficiary shall also
reasonably protect data enabling the identification of a natural person
(personal data).
1.5. Where made a part of this Financing Agreement
pursuant to Article 5 of the Special Conditions, the report on the
implementation of the tasks entrusted to the Beneficiary shall follow the
template provided in Annex III. However, where programme estimates are used
pursuant to Article 5 of these General Conditions, the report shall follow the
requirements stipulated in the standard documents referred to in Article 5.3 of
these General Conditions. Where made a part of this Financing Agreement
pursuant to Article 5 of the Special Conditions, the management declaration
shall follow the template provided in Annex IV.
1.6. An independent external audit opinion on the
management declaration, performed in accordance with internationally accepted
auditing standards, does not have to be provided in this case as the Commission
shall conduct the audits for this action. These audits will verify the
truthfulness of the assertions made in the management declaration and the
legality and regularity of the underlying transactions made.
1.7. The Beneficiary shall conduct the procurement
and grant award procedures and conclude the resulting contracts in the language
of this Financing Agreement.
1.8. The Beneficiary shall inform the Commission
when a candidate, tenderer or applicant is in a situation of exclusion from participating
in procurement and grant award procedures referred to in Article 1.3 and when a
contractor or grant beneficiary has been guilty of making false declarations or
has made substantial errors or committed irregularities and fraud, or has been
found in serious breach of its contractual obligations.
In such cases, without prejudice to the power of
the Commission to take measures against such entity according to the applicable
Financial Regulation, financial penalties mentioned in the provisions on administrative
and financial penalties of the General Conditions of procurement and grant
contracts concluded by the Beneficiary pursuant to standard documents referred
to in Article 1.3 may be imposed on the contractors and grant beneficiaries by
the Beneficiary if this is allowed by its national law. Such financial
penalties shall be imposed following an adversarial procedure ensuring the
right of defence of the contractor or grant beneficiary.
The Beneficiary may take into account, as
appropriate and on its own responsibility the information contained in the
Central Exclusion Database, when awarding procurement and grant contracts.
Access to the information can be provided through the liaison point(s) or via
consultation to the Commission1 (European
Commission, Directorate- General for Budget, Accounting Officer of the
Commission, BRE2-13/505, B-1049 Brussels, Belgium and by email to
BUDG-C01-EXCL-DB@ec.europa.eu in copy to the Commission address identified in
Article 3 of the Special Conditions). The Commission may refuse payments to a
contractor or grant beneficiary in an exclusion situation.
1.9. The Beneficiary shall keep all relevant
financial and contractual supporting documents from the date of the entry into
force of this Financing Agreement or as from an earlier date which is
stipulated as the start date of cost eligibility in Article 6 of the Special
Conditions for five years as from the end of the execution period, in
particular, the following:
Procurement procedures:
a. Forecast notice with proof of publication of the
procurement notice and any corrigenda
b. Appointment of shortlist panel
c. Shortlist report (incl. annexes) and
applications
d. Proof of publication of the shortlist notice
e. Letters to non-shortlisted candidates
f. Invitation to tender or equivalent
g. Tender dossier including annexes,
clarifications, minutes of the meetings, proof of publication
h. Appointment of the evaluation committee
i. Tender opening report, including annexes
j. Evaluation / negotiation report, including
annexes and bids received2
k. Notification letter
l. Supporting documents
m. Cover letter for submission of contract
n. Letters to unsuccessful candidates
o. Award / cancellation notice, including proof of
publication
p. Signed contracts, amendments, riders and
relevant correspondence
Calls for proposals and direct award of grants:
a. Appointment of the evaluation committee
b. Opening and administrative report including
annexes and applications received3
c. Letters to successful and unsuccessful
applicants following concept note evaluation
d. Concept note evaluation report
e. Evaluation report of the full application or
negotiation report with relevant annexes
f. Eligibility check and supporting documents
g. Letters to successful and unsuccessful
applicants with approved reserve list following full application evaluation
h. Cover letter for submission of grant contract
l. Award/cancellation notice with proof of publication
j. Signed contracts, amendments, riders and
relevant correspondence
In case of programme estimates: In addition to the
above, all relevant documentation relating to payments, recoveries and
operating costs.
1.10. The Beneficiary shall ensure an appropriate
protection of personal data. Personal data means any information relating to an
identified or identifiable natural person. Any involving the processing of
personal data, such as collection, recording, organisation, storage, adaption
or alteration, retrieval, consultation, use, disclosure, erasure or
destruction, shall be based on rules and procedures of the Beneficiary and
shall only be done as far as it is necessary for the implementation of this
Financing Agreement.
In particular, the Beneficiary shall take
appropriate technical and organisational security measures concerning the risks
inherent in any such operation and the nature of the information relating to
the natural person concerned, in order to:
a) Prevent any unauthorised person from gaining
access to computer systems performing such operations, and especially
unauthorised reading, copying, alteration or removal of storage media;
unauthorised data input as well as any unauthorised disclosure, alteration or
erasure of stored information;
b) Ensure that authorised users of an IT system
performing such operations can access only the information to which their
access right refers;
c) Design its organisational structure in such a
way that it meets the above requirements.
Article 2 - Deadline for the signature of the
procurement and grant contracts by the Beneficiary
2.1. The procurement and grant contracts shall be
duly signed by both parties during the operational implementation phase of this
Financing Agreement and at the latest within three years of the entry into
force of this Financing Agreement. Additional procurement and grant contracts
resulting from an amendment of this Financing Agreement that adds new
activities and increases the EU contribution shall be duly signed by both
parties during the operational implementation phase of this Financing
Agreerment and at the latest within three years of the entry into force of that
amendment of this Financing Agreement.
Where this action is financed from the EDF,
programme estimates referred to in Article 5 of these General Conditions shall
also be endorsed by the Commission within that three-year deadline.
That three-year deadline may not be extended,
except when the action is financed by the EDF. The extension shall be
stipulated in Article 6 of the Special Conditions.
2.2. However, the following transactions may be
signed at any time during the operational implementation phase.
a. procurement and grant contracts implementing the
imprest component of a programme estimate financed under the EDF;
b. amendments to procurement and grant contracts
already signed;
c. individual procurement contracts to be concluded
after early termination of an existing procurement contract;
d. amendment of this Financing Agreement resulting
from the change of the entity charged with the entrusted tasks, referred to in
Article 1.2 of these General Conditions; the amendment shall also stipulate a
new period within which procurement and grant contracts shall be concluded by
this new entity in accordance with Article 2.1:
e. Contracts relating to audit and evaluation,
which may also be signed during the closure phase.
2.3. After expiry of the three years of the entry
into force of this Financing Agreement, any financial balance for activities
entrusted to the Beneficiary for which contracts have not been duly signed
shall be decommitted by the Commission.
2.4. Article 2.3 shall not apply to any financial
balance of the contingency reserve or to funds available again after early
termination of a contract. This balance or funds may be used to finance
contracts referred to in Article 2.2.
2.5. A procurement or grant contract which has not
given rise to any payment within three years of its signature shall be
automatically terminated and its funding shall be decommitted.
Article 3 - Visibility
3.1. The Beneficiary shall take the necessary
measures to ensure the visibility of EU funding for the activities entrusted to
it or for other activities under this action. These measures shall either be
defined in Annex I (Technical and Administrative Provisions) or shall be agreed
later between the Beneficiary and the Commission.
These communication and information measures shall
comply with the Communications and Visibility Manual for EU External Actions
laid down and published by the Commission, in force at the time of the
measures.
Article 4 - Provisions on payments made by the
Commission to contractors and grant beneficiaries on behalf of the Beneficiary
4.1. The Beneficiary shall provide the Commission
with the approved payment requests within the following deadlines, starting
from the date of receipt of the payment request, not counting the periods of
suspension of the time-limit for payment:
(a) for pre-financing specified in the procurement
or grant contract:
(i) 15 calendar days for an action financed under
the Budget;
(ii) 30 calendar days for an action financed under
the EDF;
b) 45 calendar days for other payments.
The Commission shall act in accordance with Articles
4.6 and 4.7 within the period amounting to the time-limit for payment provided
for in the procurement and grant contracts minus the above deadlines.
4.2. Upon receipt of a payment request from a
contractor or grant beneficiary, the Beneficiary shall inform the Commission of
its receipt and shall immediately examine whether the request is admissible,
i.e. whether it contains the identification of that contractor or grant
beneficiary, the contract concerned, the amount, the currency and the date. If the
Beneficiary concludes that the request is inadmissible, it shall reject it and
inform the contractor or grant beneficiary of this rejection and of its reasons
within 30 days of receipt of the request. The Beneficiary shall also inform the
Commission of this rejection and its reasons.
4.3. Upon receipt of an admissible payment request,
the Beneficiary shall examine whether a payment is due, i.e. whether all
contractual obligations justifying the payment have been fulfilled, including
examining a report, where applicable. If the Beneficiary concludes that a
payment is not due, it shall inform the contractor or grant beneficiary thereof
and of the reasons. The dispatch of this information suspends the time-limit
for payment. The Commission shall receive a copy of the information so
dispatched. The Commission shall also be informed of the reply or corrective
action of the contractor or grant beneficiary. That reply or action aimed at
correcting the non-compliance with its contractual obligations shall restart
the time-limit for payment. The Beneficiary shall examine this reply or action
pursuant to this paragraph.
4.4. If the Commission disagrees with the
Beneficiary's conclusion that a payment is not due, it shall inform the
Beneficiary thereof. The Beneficiary shall re-examine its positions and, if it
concludes that the payment is due, it shall inform thereof the contractor or
grant beneficiary. The suspension of the time-limit for payment shall be lifted
upon dispatch of this information. The Beneficiary shall also inform the
Commission. The Beneficiary shall further proceed as provided for in Article
4.5.
If disagreement between the Beneficiary and the
Commission persists, the Commission may pay the undisputed part of the invoiced
amount provided that it is clearly separable from the disputed amount. It shall
inform the Beneficiary and the contractor or grant beneficiary of this partial
payment.
4.5. Where the Beneficiary concludes that the
payment is due, it shall transfer the payment request and all necessary
accompanying documents to the Commission for approval and payment. It shall
provide an overview of how many days of the time-limit for payment are left and
of all periods of suspension of this time-limit.
4.6. After transfer of the payment request pursuant
to Article 4.5, if the Commission concludes that the payment is not due, it
shall inform the Beneficiary and, in copy, the contractor or grant beneficiary
thereof and of the reasons. Informing the contractor or grant beneficiary shall
have the effect of suspending the time-limit for payment, as provided for in
the contract concluded. A reply or corrective action of the contractor or grant
beneficiary shall be treated by the Beneficiary in accordance with Article 4.3.
4.7. Where the Beneficiary and the Commission
concludes that the payment is due, the Commission shall execute the payment.
4.8. Where late-payment interest is due to the
contractor or grant beneficiary, it shall be allocated between the Beneficiary
and the Commission pro rata to the days of delay in excess of the time limits
stipulated in Article 4.1, subject to the following:
(a) the number of days used by the Beneficiary is
calculated from the date of the registration of an admissible payment request
referred to in Article 4.3 to the date of the transfer of the request to the
Commission referred to in Article 4.5 and from the date of information by the
Commission referred to Article 4.6 to the following transfer of the request to
the Commission referred to in Article 4.5. Any period of suspension of the
time-limit for payment shall be deducted.
(b) the number of days used by the Commission is
calculated from the date following that of transfer of the request by the
Beneficiary referred to in Article 4.5 to the date of payment and from the date
of transfer to the date of informing the Beneficiary pursuant to Article 4.6.
4.9. Any circumstances unforeseen by the above
procedure shall be solved in a spirit of cooperation between the Beneficiary
and the Commission by analogy to the above provisions while respecting the
contractual relations of the Beneficiary with the contractor or grant
beneficiary.
Where feasible, one party shall cooperate at the
request of the other party in providing useful information for the assessment
of the payment request, even before the payment request is formally transferred
to or returned from the first party.
Article 5 - Programme estimate
5.1. When the Beneficiary is additionally entrusted
with making payments to contractors, grant beneficiaries and/or in the context of
direct labour, it shall do so on the basis of a programme estimate agreed by
the Beneficiary and the Commission beforehand.
5.2. The programme estimate is a document laying
down the programme of activities to be carried out and the human and material
resources required, the corresponding budget and the detailed technical and
administrative implementing arrangements for the execution of these activities
over a specified period by means of procurement, grants and/or direct labour.
The programme estimate shall have an imprest
component and a component of specific commitments.
Under the imprest component of a programme
estimate, the Beneficiary shall be entrusted with implementing the procurement
and grant award procedures and carry out the related payments and the payments
for direct labour.
Under the component for specific commitments, the
Beneficiary shall carry out tasks as referred to in the second subparagraph of
Article 1.1 of these General Conditions; the Commission shall carry out related
payment to contractors and grant beneficiaries. Certain identified activities,
including audits, evaluations and recourse to the framework contract, shall be
implemented directly by the Commission.
Where the action is financed under the EDF, the
tasks described in Annex I may be implemented by a body governed by private law
on the basis of a service contract, awarded by the Beneficiary in accordance
with the procedures and standard documents referred to in Article 1.3.
5.3. All programme estimates implementing the Financing
Agreement must respect the procedures and standard documents concerning
programme estimates and laid down by the Commission, in force at the time of
the adoption of the programme estimate in question.
Ordinary operating costs incurred by the entity in
charge of the tasks entrusted to the Beneficiary referred to in Articles 1.1
and 5.1 of these General Conditions shall be eligible for EU financing under
the imprest component of a programme estimate during the entire duration of the
execution period of this Financing Agreement, unless an earlier start of cost
eligibility is stipulated in Article 6 of the Special Conditions. These costs
are incurred in carrying out budget-implementation tasks and include local
staff, utilities (e.g. water, gas, and electricity), rental of premises,
consumables, maintenance, short-term business trips and fuel for vehicles. They
shall not include purchase of vehicles or of any other equipment, or any
operational activity. Article 1.3 and 2.1 of these General Conditions shall not
apply to these ordinary operating costs.
5.4. The Beneficiary shall submit to the Commission
annually, by the date stipulated in Article 6 of the Special Conditions, a
management declaration signed by the Beneficiary at the appropriate level using
the template in Annex IV.
Article 6 - Payments to the Beneficiary
implementing the imprest component of a programme estimate
6.1. The Commission shall transfer funds no later
than 30 calendar days after the date on which it registers an admissible
payment request for pre-financing from the Beneficiary which contains the date,
the amount and the currency; the time-limit shall be 90 calendar days for a
payment request for replenishment or closure. Late-payment interest shall be
due pursuant to the applicable Financial Regulation. The time-limit for the
payment may be suspended by the Commission by informing the Beneficiary, at any
time during the period referred to above, that the payment request cannot be
met, either because the amount is not due or because the appropriate supporting
documents have not been produced. If information which puts in doubt the
eligibility of expenditure appearing in a payment request comes to the notice
of the Commission, the Commission may suspend the time-limit for the payment
for the purpose of further verification, including an on-the-spot check, in
order to ascertain, prior to payment, that the expenditure is indeed eligible.
The suspension and the reasons for it shall be communicated to the Beneficiary
as soon as possible. The time-limit for the payment shall resume once the
missing supporting documents have been provided or the payment request has been
corrected.
6.2. The Commission shall make payments to a bank
account opened at a financial institution accepted by the Commission.
6.3. The Beneficiary shall guarantee that funds
paid by the Commission can be identified in this bank account.
6.4. Transfers in euro shall, if necessary, be
converted into the Beneficiary's national currency as and when payments have to
be made by the Beneficiary, at the bank rate in force on the day of payment by
the Beneficiary.
6.5. The imprest component of a programme estimate
which has not given rise to any payment to the Beneficiary within three years
of the conclusion of the programme estimate shall be automatically terminated,
and the corresponding committed amount shall be decommitted.
Article 7 - Publication of information on
procurement and grant contracts by the Beneficiary
7.1. The Beneficiary undertakes to publish each
year in a dedicated and easily accessible place of its internet site, for each
procurement and grant contract for which it is contracting authority under the
programme estimates referred to in Article 5, its nature and purpose, the name
and locality of the contractor (contractors in case of a consortium) or grant
beneficiary (grant beneficiaries in case of a multi-beneficiary grant), as well
as the amount of the contract.
The locality of a natural person shall be a region
at NUTS2 level. The locality of a legal person shall be its address.
If such internet publication is impossible, the
information shall be published by any other appropriate means, including the
official journal of the Beneficiary.
Article 6 of the Special Conditions shall stipulate
the location, on the internet or otherwise, of the place of publication;
reference shall be made to this location in the dedicated place of the internet
site of the Commission.
7.2. Scholarships to, and direct financial support
of natural persons most in need-shall be published anonymously and in an
accumulated manner by category of expenditure.
Otherwise, names of natural persons shall be
replaced by "natural person" two years after publication. The name of
a legal entity containing that of a natural person involved in this entity
shall be treated as a natural person's name.
Publication of names of natural persons shall be
waived if such publication risks violating their fundamental rights or damaging
their commercial interests.
The Beneficiary shall present a list of data to be
published on natural persons with any justifications for proposed waivers of
publication to the Commission which must grant prior approval to this list.
Where necessary, the Commission shall complete the locality of the natural
person limited to a region at NUTS2 level.
7.3. Publication of the procurement and grant
contracts concluded (i.e. signed by the Beneficiary and the contractor or grant
beneficiary) during the reporting period shall take place within six months
following the date for submitting the report pursuant to Article 6 of Special
Conditions.
7.4. Publication of contracts may be waived if such
publication risks harming the commercial interests of contractors or grant
beneficiaries. The Beneficiary shall present a list with such justifications to
the Commission which must grant prior approval to such publication waiver.
7.5. Where the Commission carries out payments to
contractors and grant beneficiaries, it shall ensure the publication of
information on procurement and grant contracts according to its rules.
Article 8 - Recovery of funds
8.1. The Beneficiary shall take any appropriate
measures to recover the funds unduly paid.
Amounts unduly paid and recovered by the
Beneficiary, amounts from financial guarantees lodged on the basis of procurement
and grant award procedures, amounts from financial penalties imposed by the
Beneficiary on candidates, tenderers, applicants, contractors or grant
beneficiaries, as well as damages awarded to the Beneficiary shall be returned
to the Commission.
8.2. Without prejudice to the above responsibility
of the Beneficiary to recover funds unduly paid, the Beneficiary agrees that
the Commission may, in accordance with the provisions of the Financial
Regulation applicable and this Financing Agreement, formally establish an
amount as being unduly paid under procurement and grant contracts financed
under Part One and proceed to its recovery by any means on behalf of the
Beneficiary, including by offsetting the amount owed by the contractor or grant
beneficiary against any of his claims against the EU and by forced recovery
before the competent courts.
8.3. To this end, the Beneficiary shall provide to
the Commission all the documentation and information necessary. The Beneficiary
hereby empowers the Commission to carry out the recovery in particular by
calling on a guarantee of a contractor or grant beneficiary of which the
Beneficiary is the contracting authority or by offsetting the funds to be
recovered against any amounts owed to the contractor or grant beneficiary by
the Beneficiary as contracting authority and financed by the EU under this or
another Financing Agreement or by forced recovery before the competent courts.
8.4. The Commission shall inform the Beneficiary
that the recovery proceedings have been initiated (including where necessary
before a national court).
8.5. Where the Beneficiary is a sub-delegatee of an
entity with which the Commission concluded a delegation agreement, the
Commission may recover funds from the Beneficiary which are due to the entity
but which the entity was not able to recover itself.
Article 9 - Financial claims under procurement
and grant contracts
The Beneficiary undertakes to confer with the
Commission before taking any decision concerning a request for compensation
made by a contractor or grant beneficiary and considered by the Beneficiary to
be justified in whole or in part. The financial consequences may be borne by
the EU only where the Commission has given its prior approval. Such prior
approval is also required for any use of funds committed under the present
Financing Agreement to cover costs arising from disputes relating to contracts.
Article 10 - Cost overruns and ways of financing
them
10.1. Individual overruns of the budget headings of
the activities implemented by the Beneficiary shall be dealt with by
reallocating funds within the overall budget, in accordance with Article 25 of
these General Conditions.
10.2. Wherever there is a risk of overrunning the
amount foreseen for the activity implemented by the Beneficiary, the
Beneficiary shall immediately inform the Commission and seek its prior approval
for the corrective activities planned to cover the overrun, proposing either to
scale down the activities or to draw on its own or other non-EU resources.
10.3. If the activities cannot be scaled down, or
if the overrun cannot be covered either by the Beneficiary’s own resources or
other resources, the Commission may, at the Beneficiary's duly substantiated
request, decide to grant additional EU financing. Should the Commission take
such a decision, the excess costs shall be financed, without prejudice to the
relevant EU rules and procedures, by the release of an additional financial
contribution to be set by the Commission. This Financing Agreement shall be
amended accordingly.
Part Two:
Provisions Applicable to Budget Support
Article 11 - Policy dialogue
The Beneficiary and the EU commit to engage in a
regular constructive dialogue at the appropriate level on the implementation of
this Financing Agreement.
Where the Beneficiary is an ACP State and this
action is financed under the EDF pursuant to Article 1.1 of the Special
Conditions, this dialogue may form a part of the broader political dialogue
provided for in Article 8 of the ACP-EC Partnership Agreement.
Article 12 - Verification of conditions and
disbursement
12.1. The Commission shall verify the conditions
for the payment of the tranches of the budget support component, as identified
in Annex I (Technical and Administrative Provisions).
Where the Commission concludes that the conditions
for payment are not fulfilled, it shall inform the Beneficiary thereof without
undue delay.
12.2. Disbursement requests submitted by the
Beneficiary shall be eligible for EU financing provided that they are in
accordance with the provisions set out in Annex I (Technical and Administrative
Provisions) and that they are submitted during the operational implementation
phase.
12.3. The Beneficiary shall apply its national
foreign exchange regulations in a-nondiscriminatory manner to all disbursements
of the budget support component.
Article 13 - Transparency of budget support
The Beneficiary hereby agrees to the publication by
the Commission, of this Financing Agreement and any amendment thereof,
including by electronic means, and of such basic information on the budget
support which the Commission deems appropriate. Such publication shall not
contain any data in violation of the EU laws applicable to the protection of
personal data.
Article 14 - Recovery of budget support
All or part of the budget support disbursements may
be recovered by the Commission, with due respect to the principle of
proportionality, if the Commission establishes that payment has been vitiated
by a serious irregularity attributable to the Beneficiary, in particular if the
Beneficiary provided unreliable or incorrect information, or if corruption or
fraud was involved.
Part Three:
Provisions Applicable to This Action as a Whole, Irrespective of the Management
Mode
Article 15 - Execution period and contracting
deadline in direct management
15.1. The execution period of this Financing
Agreement shall comprise two phases:
- an operational implementation phase, in which the
principal operational activities of the action are carried out. This phase
shall start on the entry into force of this Financing Agreement and end with
the opening of the closure phase;
- a closure phase, during which final audits and
evaluation are carried out and contracts and programme estimates for the
implementation of this Financing Agreement are technically and financially
closed. The duration of this phase is stipulated in Article 2.3 of the Special
Conditions. It starts after the end of the operational implementation phase.
Only expenditure necessary for the closure shall be eligible.
These periods shall be reflected in the agreements
to be concluded by the Beneficiary and by the Commission in the implementation
of this Financing Agreement, in particular in delegation agreements and
procurement and grant contracts.
15.2. Costs related to the principal operational
activities shall be eligible for EU financing only if they have been incurred
during the operational implementation phase; the costs incurred by the
Beneficiary before the entry into force of this Financing Agreement shall not be
eligible for EU financing unless provided otherwise in Article 6 of the Special
Conditions. Costs related to final audits and evaluation, and to closure
activities shall be eligible until the end of the closure phase.
15.3. Any balance remaining from the EU
contribution will be automatically decommitted no later than six months after
the end of the execution period.
15.4. In exceptional and duly substantiated cases,
a request may be made for the extension of the operational implementation phase
and correlatively of the execution period. If the extension is requested by the
Beneficiary, the request must be made at least three months before the end of
the operational implementation phase and approved by the Commission before that
end. This Financing Agreement shall be amended accordingly.
15.5. In exceptional and duly substantiated cases,
and after the end of the operational implementation phase, a request may be
made for the extension of the closure phase and correlatively of the execution
period. If the extension is requested by the Beneficiary, the request must be
made at least three months before the end of the closure phase and approved by
the Commission before that end. This Financing Agreement shall be amended
accordingly.
15.6. Article 2 of these General Conditions shall
apply to activities implemented by the Commission as contracting authority
(direct management) with the exception of the second and third subparagraph of
Article 2.1.
Article 16 - Verifications and checks by the Commission,
the European Anti-Fraud Office (OLAF) and the European Court of Auditors
16.1. The Beneficiary shall assist and support the
verifications and checks carried out by the Commission, OLAF and the European
Court of Auditors at their request.
The Beneficiary agrees to the Commission, OLAF and
the European Court of Auditors conducting documentary and on-the-spot controls
on the use made of EU financing under the activities under this Financing
Agreement and carrying out a full audit, if necessary, on the basis of
supporting documents of accounts and accounting documents and any other
documents relating to the financing of the activities, throughout the duration
of this Financing Agreement and for five years from the end of the execution
period.
16.2. The Beneficiary also agrees that OLAF may
carry out on-the-spot checks and verifications in accordance with the
procedures laid down by EU law for the protection of the EU’s financial
interests against fraud and other irregularities.
To that end, pursuant to Regulation (EC, Euratom)
No 2185/96 and to Regulation (EC, Euratom) No 883/2013, the Beneficiary shall
grant officials of the Commission, OLAF and the European Court of Auditors and
their authorised agents access to sites and premises at which operations
financed under this Financing Agreement are carried out, including their
computer systems, and to any documents and computerised data concerning the
technical and financial management of those operations, and to take every
appropriate measure to facilitate their work. Access by authorised agents of
the Commission, OLAF and the European Court of Auditors shall be granted on
conditions of strict confidentiality with regard to third parties, without
prejudice to public law obligations to which they are subject. Documents must
be accessible and filed in a manner permitting easy inspection, the Beneficiary
being bound to inform the Commission, OLAF or the European Court of Auditors of
the exact location at which they are kept.
16.3. The checks and audits described above shall
also apply to contractors and grant beneficiaries, and subcontractors who have
received EU financing.
16.4. The Beneficiary shall be notified of on the
spot missions by agents appointed by the Commission, OLAF or the European Court
of Auditors.
Article 17 - Tasks of the Beneficiary in
fighting irregularities, fraud and corruption
17.1. The Beneficiary shall immediately inform the
Commission of any element brought to its attention which arouses suspicions of irregularities,
fraud or corruption and of any measure taken or planned to deal with them.
17.2. The Beneficiary shall ensure and check
regularly that the actions financed from the budget are effectively carried out
and implemented correctly. It shall take appropriate measures to prevent,
detect and correct irregularities and fraud and where necessary, bring
prosecutions and recover funds unduly paid.
"Irregularity" shall mean any
infringement of this Financing Agreement, implementing contracts and programme
estimates or of EU law resulting from an act or omission by anyone who has, or
would have, the effect of prejudicing the funds of the EU, either by reducing
or losing revenue owed to the EU, or by an unjustified item of expenditure.
"Fraud" shall mean any intentional act or
omission concerning:
- the use or presentation of false, incorrect or
incomplete, statements or documents which has as its effect the
misappropriation or wrongful retention of funds from the general budget of the
EU or the EDF;
- non-disclosure of information in violation of a
specific obligation, with the same effect;
- the misapplication of such funds for purposes
other than those for which they are originally granted.
17.3. The Beneficiary undertakes to take every
appropriate measure to prevent, detect and punish any practices of active or
passive corruption during the implementation of the Financing Agreement.
"Passive corruption" shall mean the
deliberate action of an official, who, directly or through an intermediary,
requests or receives advantages of any kind whatsoever, for himself or for a
third party, or accepts a promise of such an advantage, to act or refrain from
acting in accordance with his duty or in the exercise of his functions in
breach of his official duties, which has, or would have, the effect of harming
the EU’s financial interests.
“Active corruption” shall mean the deliberate
action of whosoever promises or gives, directly or through an intermediary, an
advantage of any kind whatsoever to an official, for himself or for a third
party, to act or refrain from acting in accordance with his duty or in the
exercise of his functions in breach of his official duties, which has, or would
have, the effect of harming the EU’s financial interests.
17.4. The Beneficiary shall immediately inform the
Commission (contacts pursuant to the third subparagraph of the Article 1.8 of
the General Conditions) of the name of the entity that has been the subject of
a judgment which has the force of res judicata for fraud, corruption, involvement
in a criminal organisation, money laundering or any other illegal activity
detrimental to the EU’s financial interests.
17.5. If the Beneficiary does not take appropriate
measures to prevent fraud, irregularities and corruption, the Commission may adopt
precautionary measures including the suspension of this Financing Agreement.
Article 18 - Suspension of payments
18.1. Without prejudice to the suspension or
termination of this Financing Agreement according to Articles 26 and 27,
respectively, the Commission may suspend payments partially or fully, if:
a) the Commission has established that or has
serious concerns, on the basis of information it received, and needs to verify,
whether the Beneficiary has committed substantial errors, irregularities or fraud
in the procurement and grant award procedure or in the implementation of the
action, or the Beneficiary has failed to comply with its obligations under this
Financing Agreement, including obligations regarding the implementation of the
Communications and Visibility plan;
b) the Commission has established that or has
serious concerns, on the basis of information it received, and needs to verify,
whether the Beneficiary has committed systemic or recurrent errors,
irregularities, fraud or breach of obligations under this or other Financing
Agreements, provided that those errors, irregularities, fraud or breach of
obligations have a material impact on the implementation on this Financing
Agreement or call into question the reliability of the Beneficiary's internal
control system or the legality and regularity of the underlying expenditure;
c) the Commission suspects that the Beneficiary
committed substantial errors, irregularities, fraud or breach of obligations in
the procurement and grant award procedure or in the implementation of the
action and needs to verify whether they have occurred.
d) it is necessary to prevent significant damage to
the financial interests of the EU.
18.2. The Commission shall immediately inform the
Beneficiary about the suspension of payments and of the reasons for this
suspension.
18.3. The suspension of payments shall have the
effect of suspending payment time-limits for any payment request pending.
18.4. In order to resume payments the Beneficiary
shall endeavour to remedy the situation leading to the suspension as soon as
possible and shall inform the Commission of any progress made in this respect.
The Commission shall, as soon as it considers that the conditions for resuming
payments have been met, inform the Beneficiary thereof.
Article 19 - Allocation of funds recovered by
the Commission to the action
Where the action is financed under the EDF, amounts
unduly paid and recovered by the Commission, amounts from financial guarantees
lodged on the basis of procurement and grant award procedures, amounts from
financial penalties imposed on candidates, tenderers, applicants, contractors
or grant beneficiaries, as well as damages awarded to the Commission shall be
allocated to this action.
Article 20 - Right of establishment and residence
20.1. Where justified by the nature of the
procurement or grant contract, the Beneficiary shall entitle natural and legal
persons participating in invitations to tender for works, supply or service
contracts or calls for proposals and entities expected to be entrusted with
budget- implementation tasks identified in Annex I with a provisional right of
establishment and residence in the Beneficiary’s territory(ies). This right
shall remain valid for one month after the contract is awarded.
20.2. The Beneficiary shall also entitle
procurement contractors and grant beneficiaries, entities entrusted with
budget-implementation tasks identified in Annex I (Technical and Administrative
Provisions), natural persons whose services are required for the performance of
this action and members of their families with similar rights during the
implementation of the action.
Article 21 - Tax and customs provisions
21.1. The Beneficiary shall apply to procurement contracts
and grants financed by the EU the most favoured tax and customs arrangements
applied to States or international development organisations with which it has
relations.
Where the Beneficiary is an ACP State, account
shall not be taken of arrangements applied by it to the other ACP States or to
other developing countries for the purpose of determining the
most-favoured-State treatment.
21.2. Where a Framework Agreement is applicable,
which includes more detailed provisions on this
21.3. subject, these provisions shall apply as
well.
Article 22 - Confidentiality
22.1. The Beneficiary agrees that its documents and
data held by an entity with which the Beneficiary is in a contractual
relationship regarding them may be forwarded to the Commission by that entity
for the sole purpose of implementing this or another Financing Agreement. The
Commission shall respect all confidentiality arrangements agreed between the
Beneficiary and that entity.
22.2. Without prejudice to Article 16 of these
General Conditions, the Beneficiary and the Commission shall preserve the
confidentiality of any document, information or other material directly related
to the implementation of this Financing Agreement that is classified as
confidential.
22.3. The Parties shall obtain each other’s prior
written consent before publicly disclosing such information.
22.4. The Parties shall remain bound by the
confidentiality until five years after the end of the execution period.
Article 23 - Use of studies
The contract related to any study financed under
this Financing Agreement shall include the right for the Beneficiary and for
the Commission to use the study, to publish it and to disclose it to third
parties.
Article 24 - Consultation between the
Beneficiary and the Commission
24.1. The Beneficiary and the Commission shall
consult each other before taking any dispute relating to the implementation or
interpretation of this Financing Agreement further pursuant to Article 29 of
these General Conditions.
24.2. Where the Commission becomes aware of
problems in carrying out procedures relating to management of this Financing
Agreement, it shall establish all necessary contacts with the Beneficiary to
remedy the situation and take any steps that are necessary.
24.3. The consultation may lead to the amendment,
suspension or termination of this Financing Agreement.
24.4. The Commission shall regularly inform the
Beneficiary of the implementation of activities described in Annex I which do
not fall under Part One of these General Conditions.
Article 25 - Amendment of this Financing
Agreement
25.1. Any amendment of this Financing Agreement
shall be made in writing, including an exchange of letters.
25.2. If the request for an amendment comes from
the Beneficiary, the latter shall submit that request to the Commission at
least three months before the amendment is intended to enter into force, except
in cases which are duly substantiated by the Beneficiary and accepted by the
Commission. In the exceptional cases of an adjustment of the objectives of the action
and/or an increase in the EU contribution, such request shall be submitted at
least six months before the amendment is intended to enter into force.
25.3. If the adjustment both does not significantly
affect the objectives of the activity implemented pursuant to Part One of these
General Conditions, and if it concerns matters of detail which do not affect
the technical solution adopted, and if it does not include the reallocation of
funds, or if it concerns reallocations of funds within the limit of the
contingency reserve, the Beneficiary shall inform the Commission of the
adjustment and its justification in writing as soon as possible and may apply
that adjustment.
25.4. The use of contingency reserve provided for
an action shall be subject to the Commission’s prior written approval.
25.5. Where the Commission considers that the
Beneficiary ceases to perform satisfactorily the tasks entrusted pursuant to
Article 1.1 of these General Conditions and without prejudice to Articles 26
and 27 of these General Conditions, the Commission may decide to retake the
tasks entrusted from the Beneficiary in order to continue the implementation of
the activities on behalf of the Beneficiary after informing the latter in
writing.
Article 26 - Suspension of this Financing
Agreement
26.1. The Financing Agreement may be suspended in
the following cases:
- The Commission may suspend the implementation of
this Financing Agreement if the Beneficiary breaches an obligation under this
Financing Agreement.
- The Commission may suspend the implementation of
this Financing Agreement if the Beneficiary breaches any obligation set under
the procedures and standard documents referred to in Article 1.3 and 5.3 of
these General Conditions.
- The Commission may suspend this Financing Agreement
if the Beneficiary breaches an obligation relating to respect for human rights,
democratic principles and the rule of law and in serious cases of corruption.
- This Financing Agreement may be suspended in
cases of force majeure, as defined below. “Force majeure” shall mean any
unforeseeable and exceptional situation or event beyond the parties’ control
which prevents either of them from fulfilling any of their obligations, not
attributable to error or negligence on their part (or the part of their contractors,
agents or employees) and proves insurmountable in spite of all due diligence.
Defects in equipment or material or delays in making them available, labour
disputes, strikes or financial difficulties cannot be invoked as force majeure.
A party shall not be held in breach of its obligations if it is prevented from
fulfilling them by a case of force majeure of which the other party is duly
informed. A party faced with force majeure shall inform the other party without
delay, stating the nature, probable duration and foreseeable effects of the
problem, and take any measure to minimise possible damage.
- Neither of the Parties shall be held liable for
breach of its obligations under this Financing Agreement if it is prevented from
fulfilling them by force majeure, provided it takes measures to minimise any
possible damage.
26.2. The Commission may suspend this Financing
Agreement without prior notice.
26.3. The Commission may take any appropriate
precautionary measure before suspension takes place.
26.4. When the suspension is notified, the
consequences for the on-going procurement and grant contracts, delegation
agreements and programme estimates and for such contracts, delegation
agreements and programme estimates to be signed shall be indicated.
26.5. A suspension of this Financing Agreement is
without prejudice to the suspension of payments and termination of this
Financing Agreement by the Commission in accordance with Article 18 and 27 of
the General Conditions.
26.6. The parties shall resume the implementation
of the Financing Agreement once the conditions allow with the prior written
approval of the Commission. This is without prejudice to any amendments of this
Financing Agreement which may be necessary to adapt the action to the new
implementing conditions, including, if possible, the extension of the
implementation period, or the termination of this Financing Agreement in
accordance with Article 27.
Article 27 - Termination of this Financing
Agreement
27.1. If the issues which led to the suspension of
this Financing Agreement have not been resolved within a maximum period of 180
days, either party may terminate this Financing Agreement at 30 days’ notice.
27.2. This Financing Agreement shall be
automatically terminated, if within the period of three years of its signature:
a) it has not given rise to any payment;
b) no implementing contract or delegation agreement
has been signed;
c) and where this action is financed under the EDF,
no programme estimate has been signed;
27.3. When the termination is notified, the
consequences for the on-going procurement and grant contracts, delegation
agreements and programme estimates and for such contracts, delegation
agreements and programme estimates to be signed shall be indicated.
Article 28 - Dispute settlement arrangements
28.1. Any dispute concerning this Financing
Agreement which cannot be settled within a six-month period by the
consultations between the parties provided for in Article 24 of these General
Conditions may be settled by arbitration at one of the parties’ request.
Where the Beneficiary is an ACP State or an ACP
resional body or organisation and this action is financed under the EDF, the
dispute shall be submitted, prior to arbitration and after the consultations
provided for in Article 24 of these General Conditions, to the ACP-EC Council
of Ministers, or, between its meetings, to the ACP-EC Committee of Ambassadors,
pursuant to Article 98 of the ACP-EC Partnership Agreement, If the Council or
Committee does not succeed in settling the dispute, either party may request
settlement of the dispute by arbitration in accordance with Articles 29.2, 29.3
and 29.4.
28.2. Each party shall designate an arbitrator
within 30 days of the request for arbitration. Failing that, either party may
ask the Secretary-General of the Permanent Court of Arbitration (The Hague) to
designate a second arbitrator. The two arbitrators shall in their turn
designate a third arbitrator within 30 days. Failing that, either party may ask
the Secretary-General of the Permanent Court of Arbitration to designate the
third arbitrator.
28.3. Unless the arbitrators decide otherwise, the
procedure laid down in the Permanent Court of Arbitration Optional Rules for
Arbitration Involving International Organisations and States shall apply. The
arbitrators’ decisions shall be taken by a majority within a period of three
months.
28.4. Each party shall be bound to take the
measures necessary for the application of the arbitrators’ decision.
1 The Beneficiary shall be allowed to have direct
access to the Central exclusion database through a liaison point when the
Beneficiary certifies to the Commission service responsible that it applies the
adequate data protection measures as provided in the Regulation (EC) No 45/2001
of the European Parliament and of the Council of 18 December 2000 on the
protection of individuals with regard to the processing of personal data by the
Community institutions and bodies and on the free movement of such data (OJ L
8, 12.1.2001, p. 1).
2 Elimination of unsuccessful bids five years after
the closure of the procurement procedure
3 Elimination of unsuccessful applications three
years after the closure of the grant procedure