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Call for proposals for actions under the Programme
Pályáztató:  Európai Bizottság
Határidő:  2005. május 31.
Feltöltve:  2005. február 21., 15:29:55
Szakmai terület:  Egyéb (86)
Ország:  Románia
Forrás:  http://europa.eu.int/comm/energy/intelligent/call_for_proposal/2004_12_23_call_tren_d_sub05-2004_en.pdf
Call for proposals for actions under the Programme "Intelligent Energy - EUROPE"

Call for proposals TREN/DIR D/SUB/05-2004
1. Background
The multi-annual Programme "Intelligent Energy - Europe" (2003-2006) (hereafter called EIE programme) is intended to support the European Union’s policies in the field of energy as laid down in the Green Paper on Security of Energy Supply, the White Paper on Transport and other related Community legislation. Its aim is to support sustainable development in the energy context, making a balanced contribution to achieving the general objectives of security of energy supply, competitiveness, and environmental protection (Art. 1 of the programme Decision).

The EIE programme is structured in four fields:
(a) "SAVE", which concerns the improvement of energy efficiency and the rational use of energy, in particular in the building and industry sectors (with the exception of actions under STEER), including the preparation of legislative measures and their application;
(b) "ALTENER", which concerns the promotion of new and renewable energy sources for centralised and decentralised production of electricity and heat and their integration into the local environment and energy systems (with the exception of actions under STEER), including the preparation of legislative measures and their application;
(c) "STEER", which concerns support for initiatives relating to all energy aspects of transport, the diversification of fuels such as through new developing and renewable energy sources and the promotion of renewable fuels and energy efficiency in transport, including the preparation of legislative measures and their application;
(d) "COOPENER", which concerns support for initiatives relating to the promotion of renewable energy sources and energy efficiency in the developing countries, in particular in the framework of the Community cooperation with developing countries in Africa, Asia, Latin America and the Pacific.

Activities in these fields under the EIE programme should be guided by two main principles:
o Integration of instruments, tools and actors
o Integration of energy efficiency and renewable energy sources

The priorities for the EIE programme 2003-2006 are spelled out in 17 Key Actions, of which 12 are of vertical character (for action focussing mainly on one of the four fields) and 5 are of horizontal character (for actions relevant for several of the fields).

In relation to these four specific fields and the key actions, Community funding can be allocated to the following actions or projects:
(a) the promotion of sustainable development, security of supply in the framework of the internal market, competitiveness and environmental protection, including the development of standards and labelling and certification systems, long-term voluntary commitments to be agreed with industry and other stakeholders, as well as forward studies, strategic studies on the basis of shared analyses, and regular monitoring of the development of the markets and energy trends including for the preparation of future legislative measures or for the review of existing legislation;
(b) the creation, enlargement or reorganisation of structures and instruments for sustainable energy development, including local and regional energy planning and management, and the development of adequate financial products and market instruments;
(c) the promotion of sustainable energy systems and equipment in order to accelerate their penetration of the market and stimulate investment to facilitate the transition from the demonstration to the marketing of more efficient technologies, including dissemination of new cross-cutting technologies and best practice, awareness campaigns and the creation of institutional structures aimed at implementing the clean development mechanism and joint implementation under the Kyoto Protocol;
(d) the development of information, education and training structures; the utilisation of results, the promotion and dissemination of know-how and best practices involving all consumers, dissemination of results of the actions and projects and cooperation with the Member States through operational networks at Community and international level;
(e) the monitoring of the implementation and the impact of Community initiatives, and the support measures;
(f) the evaluation of the impact of actions and projects funded under the programme.

Generally the above-mentioned actions or projects will be promotional activities in the very broad sense. They complement the 6th Framework Programme for Research and Technological Development (FP6) but as the EIE programme is addressing non-technological barriers, it will not support costs related to research, demonstration and investments in technologies. However many of the actions, especially dedicated to social, economic, legal and institutional issues, will have a link to one or more energy efficiency and/or renewable energy technologies.
Actions or projects supported in the framework of the EIE programme will be committed to remove market barriers to the increased use of energy efficiency and renewable energy sources. They will equally have a significant impact at European level, a high profile and the broadest possible relevance to European citizens and policies. In this context, preference will be given to proposals of outstanding quality that present cost-effective arrangements and a significant dimension.
The priorities for the call for proposals 2004 have been selected from the global work programme 2003-2006 and have been set in the annual work programme 2004, adopted by the Commission on 3 December 2004.

2. Objective and activities covered
As in 2003, also in 2004 only part of the Key Actions of the global work programme 2003-2006 will be given priority. These priority Actions are indicated below.

2.1 Priorities for the call for proposals 2004:
SAVE:
VKA2 "Retrofitting of social houses" with the target areas:
o Awareness raising, education and training
o Tailored financing schemes
o Advanced integrated retrofitting solutions
o Legal and institutional changes
VKA4 "Energy efficient equipment and products" with the target areas:
o Enforcing the application and enhancing the awareness of EU labels and minimum energy efficiency standards
o Technology procurement, buyer-initiatives and other approaches to accelerate the transformation of the market
o Monitoring market transformation and preparing the ground for new policy initiatives

ALTENER:
VKA7 "Small scale RES applications" with the target areas:

o Solar water and space heating and cooling
o PV electricity generation
o Biomass for domestic heating
o Small scale CHP and heat pumps

ALTENER/STEER:
VKA8 "Alternative vehicle propulsion" with the target areas:

o Legislation, fiscal regimes and fuels standards and norms
o Supply chain and market structures for biofuels
o Supply chain and market structures for alternative fuels requiring separate supply chains
o Market demand for alternatively propelled vehicles
o Accompanying measures

STEER:
VKA9 "Policy measures for an efficient use of energy in transport" with the target areas:

o Reducing demand for transport
o Enhancing energy efficiency in a transport mode
o Transfer of traffic to less energy intensive modes
o Economic instruments and incentives
o Information and awareness and education
VKA10 "Strengthening the knowledge of local management agencies in the transport field" with the target areas:
o Training and education of local agencies in alternative fuels and energy use in transport
o Supporting local actors to collaborate in programme and project participation

COOPENER:
VKA11 "Energy policies, legislation and market conditions for enabling poverty alleviation in developing countries" with the target areas:

o The energy policy chain, from development to promotion and implementation
o Pro-poor energy regulations, addressing sustainability, targets, and decentralised generation
o Energy planning for urban, peri-urban and rural areas
o Financing, investments and support schemes for energy sector programmes and projects, with particular emphasis on SMEs
o Promoting best practice in energy services to meet the needs of the poor
VKA12 "Strengthening local energy expertise in developing countries" with the target areas:
o Training and networking for energy policy makers, regulators, and planners
o Training, networking, mobility and study tours for energy professionals
o Strengthening existing Energy Centres, Agencies and Industry Associations

For COOPENER Key Actions VKA 11 and VKA12, priority will be given to projects which are associated with the Partnerships that are being formed between the EU and developing countries through the "EU Energy Initiative for Poverty Reduction and Sustainable Development". In this context, the geographical focus of this key action will include both sub-Saharan Africa (all countries south of the Sahara, including South Africa and Madagascar) and Latin America (in particular Bolivia, Ecuador, El Salvador, Guatemala, Honduras, Nicaragua, Paraguay, Peru).

HORIZONTAL KEY ACTIONS:
HKA1 "Sustainable Energy Communities" with the target areas:

o Promoting "energy citizenship" and mobilising local energy actors
o Local community planning for the efficient use of RES and conventional energy, demand side management and associated mobility
o Establish favourable conditions for local energy markets and services to reach a critical mass

HKA2 "Think globally, act locally" with the target areas:
o ManagEnergy: the facilitating instrument for local energy activities
o Support for the creation of local and regional energy management agencies (actions of type 2) and for the operation of national associations of agencies
o Think globally: Community added value (Reflection Group)

HKA3 "Financing mechanisms & Incentives" with the target areas:
o Cross-country analysis of different financing mechanisms
o Development and promotion of innovative financing instruments and incentives schemes for RES & RUE investments
o The right to fair competition
o Platform/Forum for exchange of experience on financing mechanisms & incentives

HKA4 "Monitoring & Evaluation" with the target areas:
o Monitoring and evaluation of different RES/RUE policies and measures
o Methods, indicators and modelling of future trends and policy impacts
o Platform for exchange of experience on monitoring & evaluation

2.2. Type of actions
This call for proposal invites for submission of proposals under three types of actions.
(a) Type 1: General Actions (GA)
(b) Type 2: Support for the establishment of new local and regional energy management agencies
(c) Type 3: Specific Support for Events (SSE)
The majority of grants awarded will be of type 1 "General Actions".
For more information about the different Key Actions, their target areas and the types of action, see chapter 13 "Additional information".

3. Sources of funding
The selected operations in the fields of SAVE, ALTENER and STEER will be funded under budget heading 06 04 01. The selected operations in the field of COOPENER will be funded under budget heading 06 04 02.

4. Estimated total amount of available budget 2004 for this call
The estimated total amount for 2004 in the fields of SAVE, ALTENER and STEER is EUR 52 million, of which about EUR 1 million will be for type 3 actions.
The estimated total amount in the field of COOPENER is EUR 5 million, of which 4.6 million will be from the budget 2005 subject to its approval.

5. Percentage of Community co-financing
The grants are intended as incentives for carrying out an operation which could not be executed without Community financial support, and they reflect the principle of co-financing. The Commission therefore plans to grant only funds complementary and subsidiary to contributions made by the beneficiary, the national, regional or local authorities and other bodies.
Accordingly, the amount granted will be up to 50% of the total eligible costs of the operation for actions under type 1 and type 2. For actions under type 3 the amount granted will be up to a maximum of 40.000 € which may not be more than 50% of the total eligible costs of the operation.
Contributions in kind are not regarded as eligible costs.

6. Period of eligibility of costs
Eligible costs can be incurred only after signature of the grant agreement by all the parties, save inexceptional cases, and under no circumstances before submission of the application for a grant.

7. Eligibility criteria
7.1. Legal status of applicants

All applicants must be private or public legal persons, established in the territory of the Member States. Likewise, the programme shall be open to legal persons of the EFTA/EEA countries and of the candidate countries on the basis of additional funds and in accordance with procedures to be agreed with these countries. Legal persons outside these countries can be eligible for participation in justified cases but will not be eligible for Community funding. Natural persons are not eligible.
In the case of COOPENER actions proposals have to include also organisations from the respective developing countries as subcontractors.

7.2. Minimum number of applicants required
(a) For actions of type 1, with the exception of COOPENER actions, applications must be submitted by a team of at least three independent4 undertakings established on the territories of three different participating countries (see subchapter 7.1.). For COOPENER actions applications must be submitted by a team of at least two independent undertakings established on the territories of two different participating countries (see subchapter 7.1.).
(b) For actions of type 2 applications must be submitted by a team of at least two local or regional authorities established on the territories of two participating countries (see subchapter 7.1.).
(c) For actions of type 3 applications must be submitted by at least one undertaking established on the territories of the participating countries (see sub-chapter 7.1.).
In the case of COOPENER actions it is required that the involved organisations from developing countries have a clear and substantial role in the proposed action.

7.3. Scope of the action
All of the Key Actions mentioned under subchapter 2.1. "Priorities of the call for proposals 2004" are open for submission of proposals of type 1 "General actions", except HKA2, Target area 2, "Support for the creation of local and regional energy management agencies", which is only open for submission of proposals of type 2.
Type 3 actions, "Specific Support for Events" can cover any Key Actions of the global "Intelligent Energy
- Europe" work programme (2003-2006).
Exceptionally, if well justified, proposals that meet the eligibility criteria but which do not directly respond to the priorities defined in the Call, will also be evaluated.

7.4. Duration
The maximum duration of an action is 36 months.

7.5. Grounds for exclusion
Applications will not be considered for a grant if the applicants are in any of the following situations:
(a) they are bankrupt or being wound up, are having their affairs administered by the courts, have entered into an arrangement with creditors, have suspended business activities, are the subject of proceedings concerning those matters, or are in any analogous situation arising from a similar procedure provided for in national legislation or regulations;
(b) they have been convicted of an offence concerning professional conduct by a judgment which has the force of res judicata;
(c) they have been guilty of grave professional misconduct proven by any means which the contracting authority can justify;
(d) they have not fulfilled obligations relating to the payment of social security contributions or the payment of taxes in accordance with the legal provisions of the country in which they are established or with those of the country of the contracting authority or those of the country where the contract is to be performed;
(e) they have been the subject of a judgment which has the force of res judicata for fraud, corruption, involvement in a criminal organisation or any other illegal activity detrimental to the Communities’ financial interests;
(f) following another procurement procedure or grant procedure financed by the Community budget, they have been declared to be in serious breach of contract for failure to comply with their contractual obligations;
(g) they are faced with a conflict of interest;
(h) they have been guilty of misrepresentation in supplying the information required or have failed to supply this information.
Applicants must certify that they are not in one of the situations listed in point 7.5. Such a declaration is part of the application forms.

7.6. Administrative and financial penalties
1) Without prejudice to the application of penalties laid down in the contract, candidates or tenderers and contractors who have been guilty of making false declarations or have been found to be in serious breach of contract for failure to meet their contractual obligations in an earlier procedure shall be excluded from all contracts and grants financed by the Community budget for a maximum of two years from the time when the infringement is established, as confirmed after an adversarial procedure with the contractor. This period may be extended to three years in the event of a repeat offence within five years of the first infringement. Financial penalties of 10% of the total value of the grant being awarded shall be imposed on tenderers or candidates who have been guilty of making false declarations. Financial penalties of 10% of the value of the contract in question shall be imposed on contractors who found to be in serious breach of contract for failure to meet their contractual obligations. That rate may be increased to 20% in the event of a repeat offence within five years of the first infringement.
2) In the cases referred to in points 7.5 (a), (c), (d) and (f), the candidates or tenderers shall be excluded from all contracts and grants for a maximum of two years from the time when the infringement is established, as confirmed after an adversarial procedure with the contractor. In the cases referred to in points 7.5 (b) and (e), the candidates or tenderers shall be excluded from all contracts and grants for a minimum of one year and a maximum of four years from the date of notification of the judgment. These periods may be extended to five years in the event of a repeat offence within five years of the first infringement or the first judgment.
3) The cases referred to in point 7.5(e) cover:
(a) cases of fraud as referred to in Article 1 of the Convention on the protection of the European Communities’ financial interests, drawn up by the Council Act of 26 July 1995;
(b) cases of corruption as referred to in Article 3 of the Convention on the fight against corruption involving officials of the European Communities or officials of Member States of the European Union, drawn up by the Council Act of 26 May 1997;
(c) cases of participation in a criminal organisation, as defined in Article 2(1) of Joint Action 98/733/JHA of the Council;
(d) cases of money laundering as defined in Article 1 of Council Directive 91/308/EEC.

8. Selection criteria
The applicant must have stable and sufficient sources of funding to maintain his activity throughout the period during which the action is being carried out or the year for which the grant is awarded and to participate in its funding. The applicant must have the professional skills and qualifications required to complete the proposed action.

8.1 Financial capacity of applicants
Applicants must show that they exist as a legal person and have the financial capacity and operational capability to complete the operation to be supported and must provide their balance sheet for the last financial year for which the accounts have been closed. The last of these provisions does not apply to public bodies and international organisations.

8.2 Technical capacity of applicants
Applicants must have the technical capacity and operational capability to complete the operation to be supported and should provide supporting documents (e.g. CVs of those responsible for carrying out the action, description of projects and activities undertaken in the last three years, etc.).

9. Award criteria
The Commission will base its selection of actions and the rate of Community co-financing on the written presentation.

9.1. Award criteria for Type 1 "General Calls for Proposals"
The following five criteria apply to type 1 actions:
1. Quality of the action, with the following subcriteria:
o The extent to which the proposed action reflects the state of the art and builds on previous actions9 in the context of the EIE programme objectives
o the importance of the project aims in relation to EU policies, targets and legislation,
o complementarity with relevant actions of/in Member States and participating countries
o compatibility of the project goals with the needs of the key market actors
o the quality and relevance of the expected results.

2. Quality of the approach, with the following subcriteria:
o clarity of definition of the work packages and deliverables
o appropriateness of the targets and indicators for success
o quality of methodology
o appropriateness of proposed approach to achieve goals
o dissemination plan and tools to be used.

3. Community added value, with the following subcriteria:
For SAVE, ALTENER, STEER (not for COOPENER):
o benefits from carrying out the project at EU level.
o EU dimension of the issues (including market barriers) to be tackled, and of the actions to be carried out
o Appropriate geographical coverage of the project team
o Transferability of the solutions developed to other parts of the EU

Only for COOPENER:
o Coherence with agreed development strategy for the developing country / region, including contribution to poverty alleviation and related development goals.
o Coherence of the action with other EU (including EU Member States) actions in the developing country or region concerned, including links to the EU Energy Initiative.
o Size and scope of the subcontracted input and degree of commitment from organisations based in developing countries (substantial involvement required)
o Transferability of the results to other developing countries
o Benefits from carrying out the work at EU level, and EU dimension of the project team

4. Costs and benefits, with the following subcriteria:
o Co-financing scheme, including proposed levels of co-financing
o Appropriate costs for the various sub-tasks in the work programme
o Appropriate costs per cost category, notably sub-contracting
o Value for money - comparing the direct outcomes expected to result from the project with the costs and effort involved.

5. Organisation of the team, with the following subcriteria:
o Distribution and balance of effort between partners
o Knowledge, expertise and relevant experience of the team
o Presence of relevant market actors in the consortium
o Management, including project management structure, work plan, co-ordination and project team communications
For actions of type 1 the five award criteria will carry an equal weighting within the overall assessment. A mark of over 50% will be required for each of the first four criteria, while a mark of over 70% will be required for the criterion 5 (Organisation of the team). For a proposal to be classified as worth funding, the overall sum of the marks for all award criteria should exceed 70% of the maximum total score. Proposals that passed this threshold shall be considered for funding. Grants will be awarded within the limits of the budgetary resources available.

9.2. Award criteria for Type 2 "Support for the creation of new local and regional energy management agencies"
The following five criteria apply to type 2 actions:
1. Quality of the action, with the following subcriteria:
o Presentation and credibility (objectives, phases, timetable)
o the quality and relevance of the expected results, in energy demand terms and in terms of the impact on sustainable development/environment
o Operational role of the permanent staff, evaluation and control of performance
o Commitment for the future of the agency after 3 years

2. Quality of the approach, with the following subcriteria:
o Clarity of the task definition and appropriateness of the targets and indicators for success
o Partnership with neighbour agencies and national agency
o Appropriateness of proposed approach to achieve goals
o Dissemination plan and tools to be used.

3. Community added value, with the following subcriteria:
o Partnership with experienced agencies, networks and initiatives at European level.
o European co-operation budget and actions
o Transferability of the solutions developed to other parts of the EU

4. Costs and benefits, with the following subcriteria:
o Co-financing scheme, including proposed levels of co-financing
o Already ensured co-funding
o Appropriate costs per cost category, notably sub-contracting, % of wages and direct costs of the agency
o Value for money - comparing the direct outcomes expected to result from the project with the costs and effort involved

5. Organisation of the Team, with the following subcriteria:
o Decision and orientation boards
o Autonomy degree of the agency
o Involvement of the elected representatives
o Management, including project management structure, work plan, co-ordination and project team communications
For actions of type 2 the five award criteria will carry an equal weighting within the overall assessment. A mark of over 50% will be required for each of the first four criteria, while a mark of over 70% will be required for the criterion 5 (Organisation of the team). For a proposal to be classified as worth funding, the overall sum of the marks for all award criteria should exceed 70% of the maximum total score. Proposals that passed this threshold shall be considered for funding. Grants will be awarded within the limits of the budgetary resources available.

9.3. Award criteria for Type 3 "Specific Support for Events"
The following four criteria apply to type 3 actions:
1. Contribution of the action to furthering EU energy policies and goals
2. Quality of the action
3. Community added value from the action
4. Value for money
The four criteria will carry an equal weighting within the overall assessment.

10. General conditions for awarding grants
The general conditions for awarding grants, particularly the definition of the eligible costs and the methods of payment, are set out in the draft grant agreement, available on the website of the EIE programme (see chapter 13 "Additional information"). The budget for the action attached to the application must have revenue and expenditure in balance and show clearly the costs which are eligible for financing from the Community level.
Depending on the size and other risk factors of the action, the Commission might request a financial guarantee of the beneficiary for applications for pre-financing.
If the successful applicant is an international organisation, the model Contribution Agreement with an international organisation or any other contract template agreed between the international organisation concerned and the Contracting Authority will be used instead of a text based on the draft grant agreement.

11. Submission of applications for a grant
Applications must be submitted using specific application forms. For each application, one signed original and five copies must be supplied by the applicants. Application forms can be downloaded from the website of the EIE programme (see chapter 13 "Additional information") or will be sent by mail or email upon request.

12. Closing date for submission of applications for a grant
Applicants interested in these grants are invited to submit their applications to the European Commission.
Submissions must be placed inside two sealed envelopes. The inner envelope must bear the words:

Call for proposals TREN/DIR D/SUB/05-2004
EIE Programme
Not to be opened by the postal service
DM 28 0/91 Mail service/archives

If self-adhesive envelopes are used, they should be sealed with adhesive tape and the sender must sign across that tape.

Applications may be submitted:
(a) either by registered letter/parcel postmarked no later than the closing date for submission (see chapter 14 "timetable"), addressed to:
European Commission
Intelligent Energy Executive Agency
DM 28 0/91 Mail service/archives
B-1049 Brussels
Belgium

In this case, proof of submission will be by means of the stamp of the post office on the letter/parcel or a receipt from the post office identifying clearly the object of delivery and its date of deposition.

(b) or by delivery to the central mail service of the European Commission
(personal delivery or delivery by any authorised representative of the applicant, including private delivery services) at the following address:
European Commission
Central Mail Service
Rue de Genève 1
B-1140 Brussels
Belgium

by 16.00 (Brussels time) on the closing date for submission at the latest (see chapter 14 "timetable"). In this case, proof of submission will be by means of a dated and signed receipt issued by the receiving official in the abovementioned department.
Applications may not be delivered to the Intelligent Energy Executive Agency (whether personal delivery or delivery by any authorized representative of the applicant, including private delivery services).
Applications received by the Commission after the closing date will not be taken into consideration.

13. Additional information
Applicants should consult the website of the programme at:
http://www.europa.eu.int/comm/energy/intelligent/index_en.html. The EIE website contains all information and forms in relation to this call for proposals, such as the EIE work programme 2003-2006, the EIE annual work programme 2004, a detailed description of the Key Actions, the guide for proposers and the applications forms. Furthermore the website informs about information days which will be held during the duration of the call for proposals.
Any questions regarding this call for proposals should be sent by email (stating, if applicable, thereference number of the area, as indicated in chapter 2.1 "Priorities for the call for proposals 2004") to: TREN-Intelligentenergy@cec.eu.int
Alternatively a fax or letter can be sent to
European Commission
Intelligent Energy Executive Agency
EIE Programme
Ref: Call for proposals 2004
DM 24 4/08
B-1049 Brussels
Fax +32-2-2966016

14. Timetable
For actions of type 1 and type 2:
Closing date for submission of applications: 23 March 2005
Date of opening of 1st batch of applications: 4 April 2005
Date of opening of 2nd batch of applications: 15 April 2005
Estimated date of completion of the evaluation: Mid June 2005
Estimated date for the notification of applicants: from end of July 2005 onwards
Estimated date for signature of contracts: from beginning of October 2005 onwards

For actions of type 3 (Specific Support for Events):
Closing date for submission of applications: 31 January 2005/31 May 2005
Date of opening of applications: 14 February 2005/14 June 2005
Estimated date of completion of the evaluation: mid March 2005/mid July 2005
Notification of applicants: from beginning of April 2005 onwards/from beginning of September onwards
Estimated date for signature of contracts: from beginning of June 2005 onwards/from beginning of October 2005 onwards

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