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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: 92/2014/TB-LPQT
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Hà Nội,
ngày 31 tháng 12 năm 2014
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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 giữa Chính phủ nước
Cộng hòa xã hội chủ nghĩa Việt Nam và Liên minh Châu Âu cho dự án “Chương trình
hỗ trợ chính sách ngành Y tế giai đoạn II: hướng tới công bằng và chất lượng của
dịch vụ y tế”, ký tại Hà Nội ngày 04 tháng 12 năm 2014, có hiệu lực kể từ ngày
04 tháng 12 năm 2014.
Bộ Ngoại giao trân trọng gửi Bản sao
Hiệp định (ký bằng tiếng Anh) 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
|
DCI-ASIE/2013/024-370
FINANCING
AGREEMENT
BETWEEN
THE EUROPEAN UNION AND THE GOVERNMENT OF THE SOCIALIST REPUBLIC OF VIET NAM
“EU Health Sector
Policy Support Programme phase 2 (EU - HSPSP 2): Towards Equity and Quality of
Health Services in Vietnam”
FINANCING AGREEMENT
SECTOR REFORM
CONTRACT
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 Socialist Republic of Vietnam,
represented by the Ministry of Finance, hereinafter referred to as “the Beneficiary”.
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 budget support action:
EU-HSPSP 2: EU Health Sector Policy Support
Programme phase 2: Towards Equity and Quality of Health Services in Vietnam.
Ref: DCI-Asie 2013/24370
This action is financed from the EU Budget
under the following basic act: Instrument for Development Cooperation under the
Multiannual Financial Framework 2007-2013.
1.2. The total estimated cost of this action
is EUR 114 million.
This budget support action is composed of:
(a) A budget support component to the health
sector with a maximum EU contribution of EUR 100 million.
(b) A complementary support component with a
total estimated cost of EUR 14 million and a maximum EU contribution of EUR 14
million.
1.3. The Beneficiary shall not co-finance the
action.
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 78 months
after this date.
2.2. The duration of the operational
implementation phase is fixed at 54 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
Head of Delegation of the European Union to
Vietnam
17th floor, 83B Ly Thuong Kiet,
Hanoi, Vietnam
b) for the Beneficiary
The Ministry of Finance of Vietnam
28 Tran Hung Dao Street, Hanoi, Vietnam
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: [email protected]
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 hand, 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 -
Provisions derogating from or supplementing Annex II (General Conditions)
The foreign exchange transfers will be
accounted for under the value date of the notification of credit to the account
of the State Centralized Fund for Foreign Currencies opened at the State Bank
of Vietnam (SBV) for this purpose and held by the State Treasury of Vietnam
(STV). The exchange rate will be the Reference rate at the SBV Operations
Centre - buy rate - on the date of notification of credit and shall be notified
by the Ministry of Finance to the Commission no later than 15 days after each
instalment.
Article 7 - Entry
into force
This Financing Agreement shall enter into
force on the date on which it is signed by the last party.
|
FOR THE COMMISSION
Dirk Meganck
Director
Directorate Asia, Central
Asia,
Middle East/Gulf and Pacific
Directorate-General for
Development and Co-operation -
EuropeAid
Brussels, Belgium
|
FOR THE BENEFICIARY
Dinh Tien Dung
Minister of Finance
|
ANNEX I
TO
FINANCING AGREEMENT NO 2013/24370 TECHNICAL AND ADMINISTRATIVE PROVISIONS
|
PARTNER COUNTRY
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VIETNAM
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BUDGET HEADING
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Budget Line 2013:
19 100 101
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TITLE/CRIS NR
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EU-HSPSP 2: EU Health Sector Policy Support
Programme phase 2: Towards Equity and Quality of Health Services in Vietnam.
DCI-ASIE/2013/24370
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TOTAL COST
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Total amount of EUR 114 million EU budget
contribution of which:
- EUR 100 million for budget support;
- EUR 14 million for complementary support.
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BUDGET SUPPORT
|
|
AID METHOD/ MANAGEMENT MODE AND TYPE OF
FINANCING
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Direct management implemented by the
Commission as the Contracting Authority.
Sector Reform Contract.
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DAC CODE
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51010 - General Budget Support 12110
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SECTOR
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Health Policy
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COMPLEMENTARY
SUPPORT
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AID METHOD/ MANAGEMENT MODE AND TYPE OF
FINANCING
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● Direct management implemented by the
Commission as the Contracting Authority: procurement of services “EU-Health
Facility”;
● Indirect management with the World Bank,
as the Contracting Authority: “Health Professional Education and Training
Project (HPET)”.
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DAC CODE
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12110
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SECTOR
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Health Policy
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1. DESCRIPTION
1.1. Objectives
General objective:
The general objective of this programme is to
sustain poverty alleviation and inclusive economic growth in Vietnam through
the provision of support for the development of a Vietnamese health care system
towards equity, efficiency and improved quality in line with the country’s health
sector strategy.
Specific objectives:
The specific objective of the programme is to
support the timely achievement of key sector policy objectives, as laid out in
particular in the 5-year plan for the health sector (2011-2015). It will also
contribute to the development of health policy and planning for the period
2016-2020. The support will particularly focus on:
● Progress towards universal health coverage;
● Improvement of availability and quality of
services at lower levels (district and communes), thereby contributing to the
reduction of hospital overcrowding.
A specific emphasis on equity will be given
by focusing on 10 Provinces considered to be the poorest: Lai Chau, Son La,
Dien Bien, Kon Tum, Gia Lai, Ha Giang, Lao Cai, Cao Bang, Yen Bai and Dak Nong
Provinces.
1.2. Expected results
The expected results of this programme will
ensure the consolidation of macro-economic stability, continued improvement in
Public Financial Management, increased public funds investment in the health
sector, a high performance in achieving health sector plan (2011-2015) targets
and a more operational and evidenced based health sector plan for the 2016-2020
period.
The specific following results would be
expected:
1- Health financing
● The health insurance coverage of the near
poor is increased, at least 2.5 million extra people from the near-poor will be
covered by health insurance as of the end of 2015.
● The provider payment system at district and
communes levels allows for a better quality of services while ensuring a
controlled increase of costs.
● The capacity of Vietnam Social Security
(VSS) is improved, specifically its Information Management System and data
communication between Ministry of Health (MoH) and VSS, and monitoring costs
control and quality of services.
2- Quality of services at lower levels
● The number of doctors posted at commune
level is increased. The expertise and level of training of both doctors and
nurses/midwifes at commune level is increased.
● A methodology for measuring health patient’s
satisfaction is developed and implemented.
● The use of health care services at district
and commune levels increases.
3- Equity and gender
● The mother and child health status is
improved (continued reduction of the infant mortality ratio and of the maternal
mortality ratio).
● The number of births attended by skilled
health personnel increases.
● The number of trained ethnic minority village
midwifes is increased to a minimum of 2000.
● The progression of the sex ratio at birth
in favour of males is curbed.
4- General capacity development
● Availability and reliability of health
statistics is improved (Health Management Information system - HMIS) at all
levels.
● The health sector plan 2016-2020 is more
evidence based and includes the Medium-Term Perspective of Health Expenditure.
1.3. Main activities
The main activities to implement this
programme will be health and PFM policy dialogue, financial transfers, performance
assessments, reporting and capacity development.
These activities will take place throughout
the implementation of the programme.
The Ministry of Finance, on behalf of the
Government of Vietnam, will establish an inter-Ministerial management mechanism
(i.e. Ministry of Health; Ministry of Finance; Ministry of Planning &
Investment; Vietnam Social Security; etc.) to ensure the effective
implementation of this programme, including but not limited to the above
mentioned activities.
1.3.1. Budget Support
The main activities will include:
● Financial transfer of EUR 100 million
(indicative) in three annual disbursements over the period 2015-17;
● Continued policy dialogue with the
Government, jointly with other development partners contributing to the health
sector reform and plans, specifically health financing reform, with a
particular focus on areas reflected in the programme’s objectives and expected
results and through strengthened mechanisms of the Health Partnership Group
(HPG). Technical Working Group (TWGs) and the Joint Annual Health Review (JAHR)
to monitor policy developments and ensure they continue to be consistent with
the agreed orientations. The EU Delegation is an active participant in the HPG,
the JAHR and a number of TWGs;
● Continued dialogue between the EU
Delegation and other donors to coordinate and further align development
cooperation activities on Vietnamese policies;
● The yearly assessment of the fulfilment of
disbursement conditions at national and provincial level is particularly
important in this process. In this respect, regular monitoring and reporting of
budget support eligibility criteria (including an annual formal assessment) and
specific disbursement criteria will be conducted.
1.3.2. Complementary support
The complementary support, amounting up to
EUR 14 million, is composed of two interventions: an EU-Health Facility and an
Administrative Agreement with the World Bank to contribute to the “Health Professional
Education and Training Project (HPET)”1
In addition, an allocation of EUR 0.5 million
is earmarked for the evaluation, reviews and audit of the EU-Health Facility.
1) EU-Health Facility
The Facility will be set-up to respond flexibly
to the needs of short term expertise, capacity building needs and support to
the reform of the Health sector, more specifically but not exclusively, in the
following areas:
● Health financing reforms, in particular
health insurance capacity development at both health insurance policy level
(within the capacity of the Ministry of Health) and implementation level (within
the capacity of the Vietnam Social Security);
● Health information systems, in particular
the strengthening of links between VSS and MOH, and capacity related to data
management and exchange between both institutions;
● Health budgeting and planning, in
particular the introduction of the Medium-Term perspective of health
expenditure in the sector, following the adoption of the new State Budget Law
(2014).
● Health Policy Dialogue, including support
to the HPG and reinforced participation of Civil Society Organisations;
● Health Services Quality;
● Health performance assessment, including
support for the submission of the requests for disbursement and the related
supporting documents.
The main beneficiaries/users of the Facility
will be the Ministry of Health and its various departments (planning and
finance, international cooperation, Health insurance, information technology),
Vietnam Social Security selected provincial Health services, Health Public
Institutes, related social security/Health agencies, Health Civil Society
Organisations, the Ministry of Planning and Investment and the Ministry of
Finance. The indicative budget foreseen for the Facility amounts to EUR 5.2 million.
The Facility will be managed directly by the Delegation of the European Union
to Vietnam (The EU Delegation).
The Facility will also be in charge of the
communication and visibility of the whole programme.
A service contract will be concluded between
the EU Delegation and a service provider which will field a team of technical
assistance. This team will assist all the stakeholders involved in this
programme to identify and formulate their needs for assistance. All the
requests for support will have to be submitted for approval to the EU
Delegation.
As the Facility will not be specifically and
physically based in any specific institutions, it will be more flexible in its
implementation than a traditional project technical assistance. Such set-up
will also allow the promotion of more comprehensive reforms demanding
collaboration of various departments of the Ministry of Health and/or Vietnam
Social Security and/or other agencies/structures. The risk of low engagement
from the institutions will be mitigated by selecting issues for support
directly in line with the sector and institutions’ priorities, the involvement
of the inter-Ministerial management mechanism under the leadership of the
Ministry of Finance and a solid technical assistance support.
2) Health Professional Education and Training
Project (HPET)
Collaboration with the World Bank will be
established to ensure a leveraged impact on the health sector, as the World
Bank and the EU are now two of the most important actors in the health sector
with regard to overall systems strengthening and among the few important donors
aiming at a sector wide policy dialogue. This strategic partnership will have a
wider impact than the simple combination of resources, and will therefore
ensure a strengthened stance and leverage in the policy dialogue.
The specific action that will be co-financed
will focus on human resources and the quality of services at the lower levels,
in particular communes. The World Bank intends to provide a loan of US$ 100
million for the project: “Health Professional Education and Training Project
(HPET)” which aims at consolidating the health system organisation at
grassroots level. The project will include several components ensuring quality
of medical and nursing education, improving quantities and competencies of
health professional at grassroots level, and strengthening the management
capacity of health managers. It is directly complementary to the objective of
the proposed sector reform contract as regard the improvement of availability
and quality of services at lower levels. The World Bank project will give the
opportunity to work on specific quality aspects of human resources development,
for example, as regard medical staff behaviour and approaches to ethnic
minorities. This project intervention at districts and communes will also allow
the EU to continue to have a specific knowledge of realities in poorer
Provinces which in return would contribute to the policy dialogue within the
sector reform contract. The EU will co-finance the World Bank project with a
grant of EUR 8.3 million. The EU funds will be earmarked for specific
activities, in particular, the training of doctors, assistant doctors, and
midwifes at commune level. Such training will support the implementation of a
new primary health care approach which would ensure wider range of services at
commune level. The EU funding will cover at least, but not exclusively, the 10
poor Provinces on which the sector reform contract is focusing.
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. Amounts allocated for budget support
The total amount allocated to the health
sector under the MIP 2011-2013 is EUR 114 million of which 92.71% (EUR 100
million) is to be delivered under this 2nd phase of the EU-Vietnam
Sector Policy Support Programme (HSPSP-2) as budget support to the health
sector, EUR 13.5 million as complementary support (EU-Health Facility EUR 5.2
million + Health Professional Education and Training Project (HPET) EUR 8.3)
and EUR 0.5 million for the evaluation, reviews and audit of the EU-Health Facility.
2.3. Criteria and indicative schedule of
disbursement of budget support
2.3.1. Budget Support details
Budget support is provided as direct
untargeted budget support to the national Treasury. The crediting of the euro
transfers disbursed into Vietnam Dong (VND) will be undertaken at the
appropriate exchange rates in line with Article 6 of the Special Conditions.
2.3.2. Disbursement criteria
The general conditions for disbursement of
all tranches are as follows:
a) Satisfactory progress in the
implementation of the Health 5-year Plan (2011-2015) and continued credibility
and relevance thereof;
b) implementation of a credible
stability-oriented macroeconomic policy;
c) satisfactory progress in the
implementation of the strategy for PFM reform for the period 2012-2020;
d) satisfactory progress with regard to the
public availability of timely, comprehensive and sound budgetary information;
In case of a significant deterioration of fundamental
values, budget support disbursements may be formally suspended in line with
Article 27.1 of the general conditions of the financing agreement, or
temporarily suspended or reduced.
The disbursement arrangements and timetable
is described in Appendix 2 of these TAPs.
The specific conditions for the disbursement
of variable tranches have been identified and consist of 8 indicators from the
following policy/outcome areas:
1. Health insurance coverage, in particular
for the near poor;
2. Provider payments systems reform, in
particular introduction of an improved capitation system;
3. Access and use of Health services at lower
levels (district and commune);
4. Health human resources at lower levels;
5. Proxy for Maternal Mortality, with an
emphasis on outreach to ethnic Minorities: Proportion of deliveries assisted by
skilled Health staff / deployment of trained Ethnic Minority Village Midwifes;
6. Mother and Child Health (MCH) indicator:
infant mortality ratio;
7. Introduction of a feed-back system on patient’s
satisfaction about Health services;
8. Gender/human rights indicator: sex ratio
at birth.
Some of these indicators will be sourced at the
level of the selected provinces of: Lai Chau, Son La, Dien Bien, Kon Tum, Gia
Lai, Ha Giang, Lao Cai, Cao Bang, Yen Bai and Dak Nong.
The performance indicators used for
disbursements are described in Appendix 1 of these TAPs. The chosen performance
targets and indicators specified in Appendix 1 will apply for the duration of
the programme. However, in duly justified circumstances, the Ministry of
Finance may submit a request to the European Commission for the targets and
indicators to be changed. The changes agreed to the targets and indicators may
be authorised by exchange of letters between the two parties.
2.4. Details on complementary support
2.4.1. Procurement (direct management
implemented by the Commission as the Contracting Authority)
|
Subject
|
Type (works, supplies, services)
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Indicative number of contracts
|
Indicative trimester of launch of the
procedure
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EU - Health Facility (HF)
|
services
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1
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Q2 -2014
|
|
Evaluation and audit of the EU-Health
Facility
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services
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2
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Q2 -2015
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Communication and visibility
|
services
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1*
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Q2 -2014
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*Will be integrated in the HF services
contract.
2.4.2. Indirect management with the World
Bank as the Contracting Authority -
A part of this action with the objective of
consolidating the health system organisation at grassroots level relating to
the Health Professional Education and Training Project (HPET) will be implemented
in indirect management with the World Bank in accordance with Article 58(1)(c)
of Regulation (EU, Euratom) No 966/2012. This implementation mode is justified
as the HPET, managed by the World Bank, will give the opportunity to work on
quality aspects of human resources development, for example, as regard medical
staff behaviour and approaches to ethnic minorities. This project intervention
at districts and communes will also allow the EU to continue to have a specific
knowledge of realities in poorer Provinces which in return would contribute to the
policy dialogue within the sector reform contract.
The entrusted entity will be entrusted with
budget-implementation tasks relating to the contract-management cycle, notably:
launching calls for tenders and for proposals; definition of eligibility,
selection and award criteria; evaluation of tenders and proposals; award of
grants, contracts; acting as contracting authority concluding and managing
contracts, carrying out payments, recovering moneys due.
The activities to be financed by the HPET
include:
● Support for short-term and long-term
clinical training of the primary health care teams;
● Technical assistance for the review of the
available standardized competency-based curriculum for training programs;
● Technical assistance for the development of
training curriculum for village health workers and pharmacy assistants; and
● Technical assistance for the training
evaluation and performance monitoring of the primary health care teams.
The entrusted entity (the World Bank) is
currently undergoing the ex-ante assessment in accordance with Article 61(1) of
Regulation (EU, Euratom) No 966/2012. In anticipation of the results of this
review, the Commission deems that, based on preliminary evaluation and on the
long-standing and problem-free cooperation with this entity, it can be
entrusted with budget-implementation tasks under indirect management.
The change of management mode from indirect
to direct management, whether partially or entirely is not considered a
substantial change.
2.4.2. Scope of geographical eligibility for
procurement and grants
The geographical eligibility in terms of
place of establishment for participating in procurement and grant award
procedures and in terms of origin of supplies purchased as established in the
basic act shall apply as established in the DCI regulation.
The Commission may extend the geographical
eligibility in accordance with Article 9(2)(b) of Regulation (EU) No 236/2014
(CIR) on the basis of urgency or of the unavailability of products and services
in the markets of the countries concerned, or other duly substantiated cases
where the eligibility rules would make the realisation of this action
impossible or exceedingly difficult.
2.5. Indicative budget
|
Module
|
Amount in EUR
thousands
|
Third party
contribution (indicative, where known)
|
|
Budget support
|
100,000
|
N.A.
|
|
Procurement (direct management implemented
by the European Commission as the Contracting Authority): EU-Health Facility
|
5,000
|
N.A.
|
|
Indirect Management with the World Bank as
the Contracting Authority: Health Professional Education and Training Project
(HPET)
|
8,300
|
USD 100,000
|
|
Evaluation, reviews and audit
|
500
|
N.A.
|
|
Communication and visibility
|
200*
|
N.A.
|
|
Total
|
114,000
|
USD 100,000
|
*Will be integrated in the Health Facility
services contract.
2.6. Performance monitoring and donor
coordination
Performance monitoring:
General conditions:
● Health Policy: The Joint Annual
Health Review (JAHR) will be a key element for the assessment of the
implementation of the Health 5-year Plan (2011-2015) and the overall
credibility and relevance of the health policy. The JAHR has a large set of 56
indicators, including the 19 of the 5-year health sector plan (2011-2015). The
JAHR process is led by the Ministry of Health and involves development partners
and civil society representatives. The JAHR aims to establish the health sector’s
accountability for the objectives set out in national policies, plans and
strategies. In addition, it facilitates a policy dialogue around key
stakeholders. It is published and available on the web-site of the Health
Partnership Group2.
Consultation, discussions and exchange of information
with WHO, World Bank and other donors involved in the health sector as
described in the donor coordination section below, will also be used for the
overall assessment of the health policy.
● Macroeconomic Stability: the
assessment of the implementation of a credible stability-oriented macroeconomic
stability will be based on IMF Article IV annual report, Ministry of Planning
and Investment’s dedicated reports and any other source of information.
● Public Finance Management &
Budget transparency and Oversight: under the forthcoming “EU Public Finance
Modernisation Programme in Vietnam”3, a special assistance will be provided
to the Ministry of Finance to submit the requested reports to demonstrate the
satisfactory progress in the implementation of the strategy for PFM reform as
well as to improve public availability of budgetary information.
Specific conditions:
The assessment of the performance indicators
for the disbursement of the variable tranches will be based on the information
and data duly provided by the departments and/or provinces responsible for each
indicator as described in Appendix 1.
It will be the responsibility of the concerned
departments and/or provinces to report as required to the Ministry of Health
(Department of Planning & Finance). The Ministry of Health will in turn
report to the Ministry of Finance, who will centralise the information for
timely submission to the EU Delegation. All the documents/reports will have to
be transmitted in the English language to the EU Delegation.
In order to support the various stakeholders
in the timely submission of reliable and high quality data and reports, a
specific technical assistance will be provided to MoH and its decentralised
services through the EU-Health Facility. The Facility will support the
submission of specific information not included in the JAHR report to ensure a
comprehensive review of the health policy.
Donor coordination:
The Policy Dialogue and donor coordination arrangements
are defined in Vietnam Health Partnership Document4 (VHPD),
signed in December 2013 between the Ministry of Health and development
partners. The official forum for policy dialogue and coordination is the Health
Partnership Group (HPG), which meets quarterly and is often chaired by the
Minister or a Vice-Minister and is attended by donor’s representatives, civil
society organizations and private sector representatives. The Ministry of Health
and development partners usually agree on the topics to be discussed at the
HPG. The key recommendations on main issues are often consolidated by WHO and
transmitted to the appropriate agencies. The follow-up action is ensured
through the international cooperation and key departments of the Ministry. The
HPG has Technical Working Groups5 (TWG) to support technical discussions
of the sector plan. The HPG is complemented by the JAHR which facilitates a
policy dialogue around key stakeholders and aligns aid and support towards the
needs of the country.
2.7. Evaluation and audit of the
complementary support
The EU - Health Facility will be subject to a
mid-term review and a final evaluation. An audit could be launched if deemed
necessary.
The Beneficiary and the Commission shall analyse
the conclusions and recommendations of the mid-term evaluation and jointly
decide on the follow-up action to be taken and any adjustments necessary,
including, if indicated, the reorientation of the project. The reports of the
other evaluation and monitoring missions will be given to the Beneficiary, in
order to take into account any recommendations that may result from such
missions.
In the case of the joint management with the
World Bank, joint supervision and review mechanisms will be detailed in the Administrative
Agreement with the World Bank6.
2.8. Communication and visibility
A communication and visibility plan for the
programme will be developed in the framework of the EU - Health Facility. Its
aim will be to ensure the visibility of the EU support in Vietnam especially as
regards its support to the health sector, with the production of relevant
materials for communication with interested partners in Vietnam and in Europe
on programme activities and results. This will be done with full recognition of
the ownership of the sector’s achievements by the Government and the Ministry
of Health.
APPENDICES
1 - Performance criteria and indicators used
for disbursement
2 - Disbursement arrangements and timetable
Appendix 1: Performance indicators used for
disbursements
The following performance indicators have
been selected after frequent discussions with the inter-ministerial Task Force
established under the leadership of the Ministry of Health to prepare this programme.
These indicators will be used to determine the level of disbursement of the
variable tranches, as detailed in Appendix 2, point 4, table C. Indicators will
be monitored either at National level and/or at Provincial level in the 10
Provinces considered to be the poorest: Lai Chau, Son La, Dien Bien, Kon Tum,
Gia Lai, Ha Giang, Lao Cai, Cao Bang, Yen Bai and Dak Nong Provinces.
|
Indicator No 1
Indicator: Health insurance coverage of the
near poor.
Objective: This indicator measures the
progress towards universal health insurance coverage, with an emphasis on the
near poor, as the poor are already covered.
Department responsible: Vietnam Social
Security (VSS).
Description of the Indicator
Type of indicator: Output indicator.
Measurement unit: Number of the near poor
population covered by health insurance.
Periodicity of measurement: Yearly.
Last known result in thousands Year:
2012 = 1913
Targets in thousands: 2013 = 2100
2014
= 3000
2015
= 4000
Development and quality of the indicator
Method of data collection: Administrative
collection.
Departments responsible for collection: VSS.
Method of calculation: NA
Means of interpretation
Known limits and bias: The figures
published by VSS are fairly accurate.
Means of interpretation: The indicator
measures the number of people from the near poor group having a health insurance
card, and therefore being eligible to services covered by health insurance.
Documentation schedule
Delivery date: VSS publishes figures for
year n from March of year n+1, but final approved figures are not annually
available before September.
|
|
Indicator No 2
Indicator: Progress of health insurance
payments systems reform.
Objective: Measures progress towards
improved health financing, necessary for the sustainability of universal
health coverage, and with possible positive impacts on quality of services.
Departments responsible: Department of
Planning & Finance (DPF), Department of Health Insurance (DHI) and VSS.
Description of the Indicator
Indicator type: A mix of process and
output.
Measurement unit: Finalisation of a
circular, piloting and rolling out of an improved capitation methodology.
Periodicity of measurement: Yearly.
Last known result for piloting of new
capitation method: in 2011-2012 piloting was taking place in 2 provinces and
was then extended to 5 provinces in 2013.
Proposed targets:
In the year 2014, additional pilots are
being conducted in at least 4 provinces.
In the year 2015, a well-documented report
is produced on these pilots, and a circular with guidelines on the
implementation of an improved capitation system is finalised (see below the
interpretation of “improved”) based on these lessons learned.
In the year 2016, the Circular is formally
issued and implemented.
Development and quality of the indicator
Method of data collection: Administrative
collection.
Departments responsible for collection: DPF
and VSS.
Method of calculation: NA
Means of interpretation
Known limits and bias: It is not expected that
there would be any inaccuracy in the information provided on these issues, as
the information is easy to verify.
Means of interpretation: The quality of the
indicator depends on the quality of the new methodology introduced. The new
methodology will be deemed “improved” if in addition to controlling costs
(limiting the overuse of costly services and unnecessary referrals to higher
levels) it ensures sufficient resources at grassroots levels and provides
some level of incentive for the staff to improve the quality of service.
Documentation schedule
Delivery date: DPF should report on the
implementation of the pilots by October 2014. The documented report on the
pilots should be available by October 2015. Evidence on the issuance of the circular
and its implementation should be provided by DPF and VSS by October 2016.
|
|
Indicator No 3
Indicator: Use of health services at
grassroots level in 10 Poor Provinces.
Objective: This indicators measures access
to and use of services at lower levels, which reflects progress on equity and
quality of services at lower levels, thereby contributing also to the
reduction of hospital overcrowding at higher levels
Department responsible: Provinces, DPF and
Medical Service Administration (MSA).
Description of the Indicator
Indicator type: output indicator.
Measurement unit: Number of visits at
commune and/or district level, (including regional clinics below the district
covering a number of communes).
Periodicity of measurement: yearly
Last known results and proposed targets:
|
|
Province
|
2008
|
2009
|
2010
|
2011
|
2012
|
2013
|
2014
|
2015
|
|
Lai Chau
|
645,092
|
739,644
|
806,283
|
833,723
|
944,306
|
1,012,562
|
1,049,650
|
1,094,611
|
|
Son La
|
953,183
|
958,296
|
1,089,314
|
1,084,721
|
1,095,568
|
1,106,524
|
1,123,122
|
1,151,200
|
|
Dien Bien
|
699,737
|
804,958
|
802,098
|
823,542
|
831,777
|
840,095
|
852,697
|
874,014
|
|
Kon Tum
|
577,119
|
556,902
|
521,966
|
522,783
|
528,011
|
533,291
|
541,290
|
554,823
|
|
Gia Lai
|
719,944
|
847,320
|
930,894
|
984,798
|
994,646
|
1,004,592
|
1,019,661
|
1,045,153
|
|
Ha Giang
|
898,538
|
1,027,476
|
841,411
|
969,231
|
978,923
|
988,713
|
1,003,543
|
1,028,632
|
|
Lao Cai
|
1,376,348
|
1,460,320
|
1,456,588
|
1,543,280
|
1,558,713
|
1,574,300
|
1,597,914
|
1,637,862
|
|
Cao Bang
|
881,145
|
979,329
|
965,828
|
1,034,727
|
1,045,074
|
1,055,525
|
1,071,358
|
1,098,142
|
|
Yen Bai
|
1,400,146
|
1,414,248
|
1,445,992
|
1,449,626
|
1,464,122
|
1,478,763
|
1,500,945
|
1,538,469
|
|
Dak Nong
|
504,203
|
594,975
|
568,184
|
602,525
|
608,550
|
614,636
|
623,855
|
639,452
|
|
Development and quality of the indicator
Method of data collection: Administrative
collection, part of the standard reporting of provinces to MOH.
Departments responsible for collection:
Provinces.
Method of calculation: Total number of
visits at health centres at district level and below.
Means of interpretation
Known limits and bias: Figures are expected
to be fairly accurate, but a long stay in the hospital is counted as one
visit, so it emphasises outpatients compared to inpatients.
Means of interpretation: An increase in
this indicator is expected to reflect an increased availability and quality
of services. The progression in some provinces has been fast in recent years
due to health insurance, in particular for the poor, becoming more
operational. It is expected that the progression should be slower in the coming
years.
Documentation schedule
Delivery date: Provinces report to MOH by
mid-year of year n+1 on progress in year n.
|
|
Indicator No 4
Indicator: Rate of Commune Health Stations
having a doctor.
Objective: This is a 5-year plan indicator,
capturing availability and quality of services at commune level. This
reflects also equity, as in mountainous provinces, essentially the poor use
Commune Health Centres (CHC) services.
Department responsible: DST.
Description of the Indicator
Indicator type: Input indicator.
Measurement unit: Percentage of CHC where
at least a doctor is posted or a doctor from higher level working at CHC at
least 3 days per week.
Periodicity of measurement: Yearly for both
national level and provincial level (10 poor provinces).
Last known result: Year: 2012 Value =
74% for the national level.
Last three years if available: 2009 = 67.7%
2010 = 70% 2011 = 71.9%
Targets at national level: 2013 = 76% 2014
= 78% 2015 = 80%
For provinces see below:
|
|
Province
|
2008
|
2009
|
2010
|
2011
|
2012
|
2013
|
2014
|
2015
|
|
Lai Chau
|
0
|
1.0
|
3.1
|
3.1
|
3.9
|
5.8
|
7.8
|
9.7
|
|
Son La
|
34.5
|
41.7
|
52.5
|
52.5
|
56.4
|
56.9
|
57.4
|
57.8
|
|
Dien Bien
|
3.8
|
4.5
|
4.5
|
5.4
|
6.3
|
6.9
|
8.5
|
10.8
|
|
Kon Tum
|
14.4
|
14.4
|
19.6
|
46.4
|
77.3
|
80.0
|
85.0
|
87.0
|
|
Gia Lai
|
32.6
|
28.8
|
32.9
|
45.0
|
45.9
|
46.4
|
46.8
|
47.3
|
|
Ha Giang
|
29.2
|
32.8
|
32.8
|
34.9
|
34.9
|
35.4
|
35.9
|
36.4
|
|
Lao Cai
|
9.7
|
11.1
|
13.9
|
17.4
|
17.4
|
18.1
|
18.8
|
19.4
|
|
Cao Bang
|
30.4
|
38.2
|
52.3
|
66.8
|
70.4
|
70.9
|
71.4
|
71.9
|
|
Yen Bai
|
43.9
|
52.2
|
53.9
|
55.0
|
55.6
|
57.2
|
58.9
|
61.1
|
|
Dak Nong
|
32.4
|
32.4
|
40.8
|
45.1
|
47.9
|
53.5
|
59.2
|
64.8
|
|
Development and quality of the indicator
Method of data collection: administrative
reporting from provinces.
Departments responsible for collection:
Dept. of Personnel and Organization.
Method of calculation: Number of CHC with
at least a doctor / total number of CHC.
Means of interpretation
Known limits and bias: The national figure
may be misleading, because the communes where doctors are not available might
be precisely where they are most needed, in the most remote areas. This is
why the indicator is also monitored for the 10 poorest Provinces.
Means of interpretation: It measures the
posting of doctors (full doctors, not assistant doctors), but not their actual
attendance, their level of expertise, nor the quality of their work.
Complementary support has been designed to address these issues.
Documentation schedule
Delivery date: Data for year n are
available by mid-year n+1.
Comments: If the implementation of the new
grassroots health resolution leads to different categories of CHC, some of
them without doctors, the targets of this indicator would have to modify by
exchange of letter between MOF and the EUD.
|
|
Indicator No 5a
Indicator: Number of Trained Ethnic Village
Birth Attendant (TEVA).
Objective: This refers to MDG 5, with an
emphasis on equity and ethnic minorities, as at the moment in Vietnam, the
high maternal mortality ratio are among ethnic minorities essentially.
Moreover the Maternal Mortality ratio data are not available annually.
Department responsible: Department of
Maternal and Child health (DMCH).
Description of the Indicator
Indicator type: Output.
Measurement unit: Number of TEVA having
completed a six months training during the year.
Periodicity of measurement: Yearly.
Last known result (national): 2012 = 183
Targets: at National level:
2013:
165 TEVA trained.
2014:
270 TEVA trained.
2015:
360 TEVA trained.
Provincial targets: see below
|
|
Province
|
2008
|
2009
|
2010
|
2011
|
2012
|
2013
|
2014
|
2015
|
|
Lai Chau
|
0
|
0
|
20
|
20
|
15
|
30
|
30
|
30
|
|
Son La
|
0
|
0
|
20
|
20
|
15
|
15
|
30
|
30
|
|
Dien Bien
|
0
|
0
|
30
|
0
|
14
|
30
|
45
|
45
|
|
Kon Tum
|
60
|
15
|
11
|
0
|
0
|
15
|
30
|
30
|
|
Gia Lai
|
118
|
NA
|
21
|
25
|
15
|
0
|
30
|
30
|
|
Ha Giang
|
0
|
0
|
14
|
15
|
31
|
15
|
15
|
30
|
|
Lao Cai
|
0
|
0
|
0
|
14
|
0
|
0
|
15
|
30
|
|
Cao Bang
|
0
|
20
|
0
|
20
|
14
|
15
|
15
|
30
|
|
Yen Bai
|
0
|
0
|
0
|
0
|
20
|
15
|
30
|
30
|
|
Dak Nong
|
56
|
9
|
12
|
19
|
13
|
0
|
0
|
30
|
|
Indicator No 5b
Indicator: Percentage of deliveries
attended by trained health staff.
Objective: Proxy to Maternal Mortality
rate.
Department responsible: Department of Maternal
and Child health (DMCH).
Description of the Indicator
Indicator type: Output.
Measurement unit: Percentage of deliveries
attended by trained health staff.
Periodicity of measurement: Yearly.
Last known result (national): 2011 = 97.2%
of deliveries attended by trained health staff.
Targets: Only Provincial targets, as
national figures are already close to 100%.
Proportion of
deliveries attended by trained health staff:
|
|
Province
|
2008
|
2009
|
2010
|
2011
|
2012
|
2013
|
2014
|
2015
|
|
Lai Chau
|
51.1
|
52.3
|
52.7
|
51.7
|
58.0
|
59
|
60
|
61
|
|
Son La
|
79.9
|
78.3
|
79.9
|
88.9
|
83.0
|
84.0
|
84.5
|
86
|
|
Dien Bien
|
63.1
|
62.7
|
65.2
|
66.5
|
72.2
|
73
|
74
|
74.5
|
|
Kon Tum
|
69.3
|
73.1
|
72.3
|
87.8
|
86.3
|
87
|
87.5
|
88
|
|
Gia Lai
|
78.9
|
79.1
|
79.3
|
80.8
|
84.0
|
84.5
|
85
|
86
|
|
Ha Giang
|
80.5
|
78.1
|
81.7
|
82.1
|
83.5
|
84.3
|
85.1
|
86
|
|
Lao Cai
|
58.8
|
57
|
60.3
|
62.1
|
71.2
|
72.0
|
73.5
|
75.0
|
|
Cao Bang
|
73.5
|
76.2
|
78.8
|
77.5
|
79.9
|
80.9
|
81.9
|
82.9
|
|
Yen Bai
|
87.7
|
88.8
|
89.3
|
92.6
|
85.4
|
86.6
|
88.0
|
90.0
|
|
Dak Nong
|
84.1
|
86.8
|
85.3
|
87.8
|
86.1
|
87.1
|
88.0
|
89.0
|
|
Development and quality of the indicator
Method of data collection: report from
Provinces to MCHD.
Departments responsible for collection:
MCHD.
Method of calculation: The data will be
monitored both a national level and at the level of 10 poor provinces for TEVA,
and only at Provincial level for the other indicator.
Means of interpretation
Known limits and bias: The TEVA indicator
measures the number of trained birth attendants, not if they are effective in
their work. The other indicator is deemed to be slightly inflated by over-
reporting, however the historical trends are considered to be correct.
Means of interpretation: The long term
policy is to have all women delivering in a health facility. However many
ethnic minority women want to deliver at home, and this is why the safe
motherhood efforts of the government based on delivery at the health centre
could not reach yet many ethnic minority communities. The cultural barrier is
also an important issue. Both these constraints are addressed by the TEM
approach.
Documentation schedule
Delivery date: September-October of year
n+1 for year n.
|
|
Indicator No 6
Indicator: Infant Mortality rate.
Objective: This is an indicator very close
to MDG4 (under 5 mortality), the infant mortality rate was chosen because it reflects
more precisely the impact of mother and child care measures of the
Government.
Department responsible: DMCH and DPF.
Description of the Indicator
Indicator type: Impact indicator
Measurement unit: Mortality of children
under 1 year old per 1000 live births.
Periodicity of measurement: Yearly, at national
and provincial level (10 Provinces).
Last known result: At national level, 15.4
in 2012, for provinces, see below
Targets at National level: 2013 = 15.2 2014
= 15 2015 = 14.8
|
|
Province
|
2009
|
2010
|
2011
|
2012
|
average 2009- 2012
|
2013 target
|
2014 target
|
2015 target
|
|
Lai Châu
|
47.7
|
46.1
|
43.5
|
44.2
|
45.4
|
44.7
|
44.0
|
43.4
|
|
Sơn La
|
27.5
|
25.6
|
24.1
|
24.5
|
25.4
|
25.0
|
24.7
|
24.3
|
|
Điện Biên
|
39.7
|
37.3
|
35.2
|
35.8
|
37.0
|
36.4
|
35.9
|
35.4
|
|
Kon Tum
|
38.2
|
38.1
|
40.7
|
40.0
|
39.3
|
40.0
|
39.2
|
38.2
|
|
Gia Lai
|
25.8
|
25.7
|
27.0
|
30.8
|
27.3
|
30.6
|
28.9
|
26.9
|
|
Hà Giang
|
37.5
|
37.1
|
35.0
|
35.8
|
36.4
|
35.8
|
35.3
|
34.7
|
|
Lào Cai
|
32.0
|
31.6
|
29.8
|
30.3
|
30.9
|
30.5
|
30.0
|
29.6
|
|
Cao Bằng
|
28.7
|
28.2
|
24.8
|
25.2
|
26.7
|
26.3
|
25.9
|
25.5
|
|
Yên Bái
|
28.7
|
26.5
|
26.1
|
29.6
|
27.7
|
29.4
|
28.3
|
27.1
|
|
Đăk Nông
|
26.8
|
26.6
|
26.1
|
28.5
|
27.0
|
28.5
|
27.1
|
26.4
|
|
Development and quality of the indicator
Method of data collection: Annual Population
survey.
Departments responsible for collection:
General Statistics Office (GSO).
Method of calculation: Mortality of
children under 1 year old per 1000 live births.
Means of interpretation
Known limits and bias: The figure is
considered as fairly accurate.
Means of interpretation: Reflects the
impact of safe motherhood activities as well as child care programmes,
including preventive actions.
Documentation schedule
Delivery date: September of year n+1 for
data of year n.
|
|
Indicator No 7
Indicator: Introduction of patients’
feedback system and its roll-out.
Objective: This relates to the objective of
reduction of overcrowding of hospitals, as part of this overcrowding
originates from distrust about the quality of services at lower level.
Department responsible: MSA.
Description of the Indicator
Indicator type: Output.
Measurement unit: The indicator will
measure the level of implementation of circular 19, which foresees a number
of measures to ensure a better quality of care in hospitals. This includes
the creation of quality management systems within hospitals and the
collection of opinions from patients and their relatives. The indicator will
measure the number of hospitals, at central and provincial levels, which have
implemented these guidelines.
Periodicity of measurement: Yearly, at
National level.
Targets:
Year 2013 - The Ministry of Health issued
the instruction for the implementation of quality management systems. The
Ministry of Health issued assessment criteria for the service quality,
including the patients’ feedback system, is built and approved.
Year 2014 - 50% of hospitals implements the
quality management systems including patients feedback in 2014.
Year 2015 - 70% of hospitals implements the
quality management systems including patients feedback in 2015.
Development and quality of the indicator
Method of data collection: Reporting of
Hospitals to MSA department.
Departments responsible for collection: MSA
- Unit for examination and treatment management.
Method of calculation: For this indicator,
a “hospital” means public hospitals from Provincial level to central level.
Means of interpretation
Known limits and bias: Independent treatment
and follow-up to complaints not fully guaranteed.
Means of interpretation: The official introduction
of a quality management system including the use of patients’ feedback is
considered as a major step forward in the context of Vietnam. Imperfections
in the system put in place should therefore not be given too much importance
at this stage.
Documentation schedule
Delivery date: September-October of year
n+1 for year n.
|
|
Indicator No 8
Indicator: Sex ratio at birth.
Objective: This is an indicator of the
five-year plan, measuring the efforts of the government to curb the
progression of this ratio in favour of male births as a result of sex
selective abortions.
Department responsible: General Office for
Population Family Planning (GoPFP).
Description of the Indicator
Indicator type: Outcome indicator.
Measurement unit: Number of boys/100 girls
born in 2015.
Periodicity of measurement: for the year
2015 only.
Last known result: Year 2012 = 112.3
(last three years if available): /
Target: year 2015 = 113.
Development and quality of the indicator
Method of data collection: Annual
Population survey.
Departments responsible for collection:
GSO.
Method of calculation: Number of boys/100
girls born in 2015 in Vietnam.
Means of interpretation
Known limits and bias: The figure is based
on a sample survey, therefore with a potential margin of error. Exhaustive
information on this from health centres is not yet available. There are yearly
fluctuations of this indicator, which make yearly targets difficult to use.
This is why this indicator will be used for the last variable tranche only,
covering progress over 3 years.
Means of interpretation: The indicator has grown
spectacularly in recent years for a number of reasons. The government has
taken measures, but a large part of them involve communication, trying to
influence perceptions, which cannot be achieved overnight. It would not be
realistic at all to aim at a reduction of the indicator over a span of 3
years. At this stage only curbing the progression is possible.
Documentation schedule
Delivery date: September of 2016
|
Appendix 2: Disbursement arrangements and
timetable
1. Responsibilities
On the basis of the disbursement conditions
stipulated in the Financing Agreement, the Ministry of Finance will send a formal
request to the European Commission for the disbursement of each tranche in
accordance with the timetable specified in table A below. The request must
include: (i) a full analysis and justification for payment of the funds, with
the required supporting documents attached in the English language; (ii) a
financial information form, duly signed, to facilitate the corresponding
payment.
2. Indicative disbursement timetable
An indicative timetable is given below:
Table A: Indicative
disbursement timetable
|
fiscal year
|
Year 2015
|
Year 2016
|
Year 2017
|
|
|
Type of tranche
|
Q1
|
Q2
|
Q3
|
Q4
|
Q1
|
Q2
|
Q3
|
Q4
|
Q1
|
Q2
|
Q3
|
Q4
|
Total
|
|
fixed tranches
|
|
|
20
|
|
|
|
10
|
|
|
|
10
|
|
40
|
|
Variable tranches
|
|
|
10
|
|
|
|
20
|
|
|
|
30
|
|
60
|
|
Total
|
|
|
30
|
|
|
|
30
|
|
|
|
40
|
|
100
|
In order to allow a disbursement in the third
quarter of each year, the Ministry of Finance should submit the request for
payment and all the necessary documents by the end of January of the same year.
3. General conditions for the tranche release
The general conditions for tranche release
set out below shall apply to the disbursement of all tranches and all requests
for tranche release shall be accompanied by all appropriate information and
documents.
Table B: General
conditions for the release of tranches
|
Area
|
Conditions
|
Verification source
|
|
Public Policy
|
Satisfactory progress in the implementation
of the health Five year Plan 2011-2015) and continued credibility and
relevance of that or any successor strategy.
|
JAHR report - MOH
|
|
Macroeconomic stability
|
Implementation of a credible
stability-oriented macroeconomic policy.
|
MPI report to CG (consultative group).
Article IV IMF report.
|
|
Public finance management
|
Satisfactory progress in the implementation
of the programme to improve public finance.
|
MOF report to CG
|
|
Budget Transparency
|
Satisfactory progress with regard to the
public availability of accessible, timely, comprehensive, and sound budgetary
information.
|
MOF specific reporting.
|
4. Specific conditions for the disbursement
of variable tranches
The specific conditions for the disbursement
set out in table C shall apply to the disbursement of a specific variable
tranche. Tranche release requests must be accompanied by all appropriate information
and documents on the specific conditions.
The disbursement conditions for the variable
tranches are set for the first year and may be amended for the following years
in accordance with Article 25 of the Financing Agreement.
To each indicator in each tranche a specific
amount is attributed, and will be fully disbursed if fully_met. In case it is not
fully met the amount disbursed will be a part of that amount, following the formula
specified for each indicator. In the case of insufficient progress, no
disbursement takes place for that indicator.
The total disbursement for each variable
tranche is the sum of the amounts calculated for each indicator
In exceptional cases, where exceptional
events or changing circumstances have prevented meeting previously agreed
targets, it may be possible to waive or neutralise an indicator or a condition.
In this case, the related amount can either be transferred to the next tranche
or reallocated to the other indicators of the same tranche. Such cases must be
requested by the Ministry of Finance to the EU Delegation and can be authorised
by the latter through an exchange of letters between the two parties.
Table C: Specific
conditions for the release of tranches
|
Tranche
|
Amount
|
Conditions for
disbursement
|
Financial weight
and calculation of the indicator
|
|
1- First variable tranche
|
€10 m
|
Specific condition 1 - Based on the progress
of indicator 1.
Target: See target for 2013 in Appendix 1
|
Target met: €2 million.
Significant Progress: reaching at least 1.7
million people: €1 million.
Insufficient progress: below 1.7 million:
no disbursement for this indicator.
|
|
1
|
|
Specific condition 2 - Based on indicator
2.
Target: See target for 2014 in Appendix 1
|
Target met: €1.2 million.
Significant Progress: additional pilots are
being conducted in at least 3 provinces:
€0.6 million.
Insufficient progress: additional pilots
are conducted in less than 3 provinces.
|
|
1
|
|
Specific condition 3- Based on indicator 3.
Target: See target for 2013 in Appendix 1
|
Target is met if all Provinces have met the
target: € 1.6 million.
Significant progress if at least 6 of the
provinces have met the target: 0.8 million.
Insufficient progress: less than 6
provinces meet the target: no disbursement for this indicator.
|
|
1
|
|
Specific condition 4- Based on indicator 4
See target for 2013 in Appendix 1
|
Target met at national level and in all
provinces: €1.2 million.
Significant progress: target reached in at
least 6 provinces, even if not reached at national level: €0.6 million.
Insufficient progress: less than 6
provinces meet the target: no disbursement for this indicator, even if
national target is met.
|
|
1
|
|
Specific condition 5a- Based on indicator
5a
See target for 2013 in Appendix 1
|
Target met at national level and in all
provinces: €1 million.
Significant progress: target reached in at
least 6 provinces, even if not reached at national level, or target reached at
national level, even if not in all provinces: 0.5 million.
Insufficient progress: less than 6
provinces meet the target and national target not met: no disbursement for
this indicator.
|
|
1
|
|
Specific condition 5b- Based on indicator
5b
See target for 2013 in Appendix 1
|
Target met in all provinces: €1 million.
Significant progress: target reached in at
least 6 provinces: €0.6 million.
Insufficient progress: less than 6
provinces meet the target: no disbursement for this indicator.
|
|
1
|
|
Specific condition 6- Based on indicator 6
See target for 2013 in Appendix 1
|
Target met at national level and in all
provinces: €1 million.
Significant progress: target reached in at
least 6 provinces, even if not reached at national level, or target reached
at national level, even if not in all provinces: €0.5 million.
Insufficient progress: less than 6
provinces meet the target and national target not met: no disbursement for
this indicator.
|
|
1
|
|
Specific condition 7- Based on indicator 7
See target for 2013 in Appendix 1
|
Target met: €1 million.
Significant progress: patient satisfaction feedback
system designed but not approved: €0.5 million.
Insufficient progress: patient satisfaction
feedback system is not submitted for approval (and therefore not designed
yet): no disbursement for this indicator.
|
|
2-Second variable tranche
|
€20 m
|
Specific condition 1 - Based on the
progress of indicator
See target for 2014 in Appendix 1
|
Target met: €4 million
Significant Progress: reaching at least 2.6
million people: €2 million.
Insufficient progress: below 2.6 million: no
disbursement for this indicator.
|
|
2
|
|
Specific condition 2 - Based on indicator 2
See target for 2015 in Appendix 1
|
Target met: €2.4 million.
Significant Progress: the report is produced
but the circular with the guidelines on the implementation of an improved
capitation system is not finalised: €1 million.
Insufficient progress: the report is not
produced and the circular is not finalised: no disbursement for this
indicator.
|
|
2
|
|
Specific condition 3 - Based on indicator 3
See target for 2014 in Appendix 1
|
Target is met if all Provinces have met the
target: €3.2 million.
Significant progress if at least 6 of the
provinces have met the target: €1.6 million.
Insufficient progress if less than 6
provinces meet the target: no disbursement for this indicator.
|
|
2
|
|
Specific condition 4- Based on indicator 4
See target for 2014 in Appendix 1
|
Target met at national level and in all
provinces: €2.4 million.
Significant progress: target reached in at
least 6 provinces, even if not reached at national level: €1.2 million.
Insufficient progress: less than 6
provinces meet the target: no disbursement for this indicator, even if national
target is met.
|
|
2
|
|
Specific condition 5a- Based on indicator
5a
See target for 2014 in Appendix 1
|
Target met at national level and in all
provinces: €1 million.
Significant progress: target reached in at
least 6 provinces, even if not reached at national level, or target reached
at national level, even if not in all provinces: €0.5 million.
Insufficient progress: less than 6
provinces meet the target and national target not met: no disbursement for
this indicator.
|
|
2
|
|
Specific condition 5b- Based on indicator
5b
See target for 2014 in Appendix 1
|
Target met in all provinces: €2 million.
Significant progress: target reached in at
least 6 provinces: €1 million.
Insufficient progress: less than 6
provinces meet the target: no disbursement for this indicator.
|
|
2
|
|
Specific condition 6- Based on indicator 6
See target for 2014 in Appendix 1
|
Target met at national level and in all
provinces: €3 million.
Significant progress: target reached in at
least 6 provinces, even if not reached at national level: €1.5 million.
Insufficient progress: less than 6
provinces meet the target: no disbursement for this indicator, even if
national target is met.
|
|
2
|
|
Specific condition 7- Based on indicator 7
See target for 2014 in Appendix 1
|
Target met: € 2 million.
Significant progress: Quality Management
systems including Patients feedback applied in at least 40% of hospitals: €1
million.
Insufficient progress: less than 40% of
hospitals apply Quality Management systems including Patients feedback: no
disbursement for this indicator.
|
|
3- Third variable tranche
|
€30 m
|
Specific condition 1 - Based on the
progress of indicator 1.
See target for 2015 in Appendix 1
|
Target met: € 4 million.
Significant progress: at least 3.6 million
people covered: €3 million.
Moderate progress: at least 3.4 million
people covered: €2 million.
Insufficient progress: less than 3.4
million people covered: no disbursement for this indicator.
|
|
3
|
|
Specific condition 2 - Based on indicator.
See target for 2016 in Appendix 1
|
Target met: €3 million.
Moderate progress: the circulation is formally
issued but not fully implemented: €0.7 million.
Insufficient progress: the circulation is
not formally issued: no disbursement for this indicator.
|
|
3
|
|
Specific condition 3- Based on indicator 3.
See target for 2015 in Appendix 1
|
Target is met if all Provinces have met the
target: € 4 million
Significant progress: at least 7 of the
provinces have met the target: €2.5 million.
Moderate progress: at least 5 of the
provinces have met the target: €1 million.
Insufficient progress if less than 5
provinces meet the target: no disbursement for this indicator.
|
|
3
|
|
Specific condition 4- Based on indicator 4.
See target for 2015 in Appendix 1
|
Target met at national level and in all
provinces: €4 million.
Significant progress: target reached at
national level and in at least 7 provinces: € 3 million.
Moderate progress: target reached in at
least 5 provinces, even if not reached at national level: € 1 million.
Insufficient progress: less than 5 provinces
meet the target: no disbursement for this indicator, even if national target
is met.
|
|
3
|
|
Specific condition 5a- Based on indicator
5a.
See target for 2015 in Appendix 1
|
Target met at national level and in all
provinces: €1 million.
Significant progress: target reached at
national level and in at least 7 provinces: € 0.5 million
Moderate progress: target reached in at
least 5 provinces, even if not reached at national level: €0.3 million.
Insufficient progress: less than 5
provinces meet the target and national target not met: no disbursement for
this indicator.
|
|
3
|
|
Specific condition 5b- Based on indicator
5b
See target for 2015 in Appendix 1
|
Target met in all provinces: € 4 million.
Significant progress: target reached in at
least 7 provinces: € 2 million. If Lai Chau, Dien Bien & Lao Cai
provinces are among the lot of (minimum) 7 provinces to meet the target € 3
million will be disbursed.
Moderate progress: target reached in at
least 5 provinces: €1 million.
Insufficient progress: less than 5
provinces meet the target and national target not met: no disbursement for
this indicator.
|
|
3
|
|
Specific condition 6- Based on indicator 6.
See target for 2015 in Appendix 1
|
Target met at national level and in all
provinces: € 4 million.
Significant progress: target reached at
national level and in at least 7 provinces: € 2.5 million.
Moderate progress: target reached in at
least 5 provinces even if not reached at national level: €1 million.
Insufficient progress: less than 5
provinces meet the target: no disbursement for this indicator, even if
national target is met.
|
|
3
|
|
Specific condition 7- Based on indicator 7.
See target for 2015 in Appendix 1
|
Target met: € 2 million.
Significant progress: Quality Management systems
including Patients feedback applied in at least 67% of hospitals: € 1.5
million.
Moderate progress: Quality Management
systems including Patients feedback applied in at least 63% of hospitals: € 1
million.
Insufficient progress: less than 63% of
hospitals apply Quality Management systems including Patients feedback: no
disbursement for this indicator.
|
|
3
|
|
Specific condition 8 - Based on indicator
8.
See target for 2015 in Appendix 1
|
Target met: € 4 million
Significant progress: sex ratio not higher
than 113.5: €2.5 million.
Moderate progress: sex ratio not higher
than 114.5: € 1 million.
Insufficient progress: sex ratio higher
than 114.5: no disbursement for this indicator.
|
Financing Agreement - Annex II - General Conditions
ANNEX
II - GENERAL CONDITIONS
Contents
Part One: Provisions Applicable to Activities
for which the Beneficiary is the Contracting Authority
Article 1 - General principles .................................................................................................
Article 2 - Deadline for the signature of the
procurement and grant contracts by the Beneficiary
Article 3 - Visibility ...............................................................................................................
Article 4 - Provisions on payments made by
the Commission to contractors and grant beneficiaries on behalf of the Beneficiary
..........................................................................................................................
Article 5 - Programme estimate ............................................................................................
Article 6 - Payments to the Beneficiary implementing
the imprest component of a programme estimate
Article 7 - Publication of information on
procurement and grant contracts by the Beneficiary....
Article 8 - Recovery of funds ...............................................................................................
Article 9 - Financial claims under
procurement and grant contracts .........................................
Article 10 - Cost overruns and ways of financing
them ...........................................................
Part Two: Provisions Applicable to Budget
Support ...........................................................
Article 11 - Policy dialogue ..................................................................................................
Article 12 - Verification of conditions and
disbursement ........................................................
Article 13 - Transparency of budget support .........................................................................
Article 14 - Recovery of budget support ...............................................................................
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 ..........................
Article 16 - Verifications and checks by the
Commission, the European Anti-Fraud Office (OLAF) and the European Court of
Auditors ..............................................................................................................................
Article 17 - Tasks of the Beneficiary in fighting
irregularities, fraud and corruption ...................
Article 18 - Suspension of payments.....................................................................................
Article 19 - Allocation of funds recovered by
the Commission to the action ............................
Article 20 - Right of establishment and
residence ..................................................................
Article 21 - Tax and customs provisions ...............................................................................
Article 22 - Confidentiality ....................................................................................................
Article 23 - Use of studies ....................................................................................................
Article 24 - Consultation between the Beneficiary
and the Commission ...................................
Article 25 - Amendment of this Financing
Agreement .............................................................
Article 26 - Suspension of this Financing Agreement
.............................................................
Article 27 - Termination of this Financing
Agreement ..............................................................
Article 28 - Dispute settlement arrangements .........................................................................
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 programme 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 [email protected] 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
i. 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 Agreement 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
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.
lf 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
laving 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 impossibie,
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 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 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 regional 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 28.2, 28.3
and 28.4.
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 part 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.
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EUROPEAN
UNION
DELEGATION TO VIETNAM
Ambassador / Head of Delegation
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Hanoi, 10 October
2014
Ares (2014) 3367232
HE Mr Truong Chi Trung
Vice Minister
Ministry of Finance
Hanoi
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Subject:
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Financing Agreement for the second phase of
the EU Health Sector Budget Support Programme (EU-HSPSP 2) DCI-Asie2013/243730:
submission of The Financing Agreement for signature.
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Ref.:
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Our letter Ares(2014)2468775 dated 25 July
2014
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Your Excellency,
With reference to our previous correspondence
on the second phase of the EU Health Sector Budget Support Programme (EU-HSPSP
2), I am delighted to send you 3 originals of the Financing Agreement
concerning the abovementioned project, duly signed by Mr D. Meganck, Director
EuropeAid - Directorate General for Development and Co-operation (Asia, Central
Asia, Middle East/Gulf and Pacific).
In accordance with our previous agreement
that the Ministry of Finance is to be the Signatory Party of this Financing
Agreement on behalf of the Vietnamese Government, I would be very grateful if
you could ensure that these documents are signed and dated, with the name and
administrative status of the signatory clearly legible.
Ideally this signature should take place on
19 November 2014 on the occasion of the Cooperation Working Group. In any case,
the signature should take place before 1 December 2014.
Please keep one signed original for your
records and return the two other signed originals to the EU Delegation in
Hanoi.
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Yours sincerely,
Franz Jessen
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Enclosure:
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Three original copies of the Financing
Agreement N°2013/243730
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Cc.:
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Dr Pham Le Tuan - Vice Minister, Dr Tran
Giang Huong - Director General ICD, Mr Nguyen Nam Lien - Deputy Director DPF,
Mrs Dao Thi Khanh Hoa - MOH Canine, MOH
Mr Le Quang Manh - Director General DEER,
Mr Le Viet Anh - Deputy Director DEER, Mrs. Phan Thu Hang - EU Desk Officer,
MPI
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17th
Floor, Pacific Place, 83B Ly Thuong Kiet Street, Hanoi, Vietnam
Tel: (84-4) 3941 00 99 - Fax: (84-4) 3946 17 01
e-mail: [email protected]
Website: http://eeas.europa.eu/delegations/vietnam/index_en.htm