📄 Likuma teksts
Par Latvijas Republikas un Šveices Konfederācijas padomes ietvarlīguma spēkā stāšanos
Uzmanību! Jūs lietojat neatbilstošu interneta pārlūkprogrammu.
Lai varētu lietot visas Likumi.lv piedāvātās iespējas, piedāvājam BEZ MAKSAS ielādēt jaunāku pārlūkprogrammas versiju. Iesakām izmēģināt arī vietnes MOBILO VERSIJU - m.likumi.lv (piemērota arī mazāk jaudīgiem datoriem).
nerādīt turpmāk šo paziņojumu
Apstiprināt
Paldies par viedokli!
Rādīt vēlāk
LATVIJAS REPUBLIKAS TIESĪBU AKTI
veidi
tēmas
visvairāk skatītie
jaunākie
LV
EN
uz sākumu
meklēt
Izvērstā meklēšana
Noklusējuma vērtības
Izvērstā meklēšana
Kā meklēt?
Meklēt nosaukumā
meklēt locījumos
meklēt frāzi
Meklēt tekstā
meklēt locījumos
meklēt frāzi
Izdevējs
Veids
nemeklēt grozījumos
Pieņemts
Stājas spēkā
Dokumenta Nr.
līdz
līdz
Publicēts LV
Zaudējis spēku
Redakcija uz
līdz
līdz
Statuss:
spēkā esošs
vēl nav spēkā
zaudējis spēku
meklēt
notīrīt
Ārlietu ministrijas dienesta
informācija Nr.41/510-3910
Rīgā 2008.gada 13.maijā
Par Latvijas Republikas un Šveices
Konfederācijas padomes ietvarlīguma spēkā stāšanos
Ārlietu ministrija informē, ka
2008.gada 22.aprīlī stājas spēkā Latvijas Republikas valdības
un Šveices Konfederācijas padomes ietvarlīgums par
Latvijas-Šveices sadarbības programmas īstenošanu ekonomisko un
sociālo atšķirību samazināšanai paplašinātajā Eiropas
Savienībā (parakstīts Bernē 2007.gada 20.decembrī,
apstiprināts ar 2007.gada 4.decembra Ministru kabineta
noteikumiem Nr.839).
Ārlietu ministrijas Juridiskā
departamenta direktore I.Mangule
FRAMEWORK AGREEMENT
BETWEEN THE GOVERNMENT OF THE REPUBLIC OF LATVIA AND
THE SWISS FEDERAL COUNCIL CONCERNING THE IMPLEMENTATION
OF THE LATVIAN-SWISS COOPERATION PROGRAMME TO REDUCE
ECONOMIC
AND SOCIAL DISPARITIES WITHIN THE ENLARGED EUROPEAN UNION
THE GOVERNMENT OF THE REPUBLIC OF
LATVIA (hereinafter referred to as "Latvia")
AND
THE SWISS FEDERAL COUNCIL
(hereinafter referred to as "Switzerland")
hereinafter collectively referred
to as "the Parties",
- AWARE of the importance of the
enlargement of the European Union (EU) for the stability and
prosperity in Europe;
- NOTING the solidarity of
Switzerland with the endeavours of the EU to reduce economic and
social disparities within the EU;
- BUILDING upon the successful
cooperation between the two countries during Latvia's transition
process leading to its accession to the EU;
- HAVING regard to the friendly
relations between the two countries;
- DESIROUS of strengthening these
relations and the fruitful cooperation between the two
countries;
- INTENDING to promote further the
social and economic development in Latvia;
- IN VIEW of the fact that the
Swiss Federal Council has expressed, in a Memorandum of
Understanding with the European Community of 27 February 2006,
the intention that Switzerland shall contribute up to
1'000'000'000 CHF (one billion CHF) to reduce economic and social
disparities within the enlarged EU (hereinafter referred to as
"Memorandum of Understanding");
have agreed as follows:
Article 1 -
Definitions
For the purpose of this Agreement,
unless the context otherwise requires:
- "Contribution" means the
non-reimbursable financial contribution granted by Switzerland
under this Agreement;
- "Project" means a specific
project or programme or other joint activities in the framework
of this Agreement. A programme consists of component projects
linked by a common theme or shared objectives;
- "Commitment" means the
allocation of a certain amount of the Contribution to a Project
agreed upon by the Parties;
- "Project Agreement" means an
agreement between the Parties and, if need be, additional
contracting parties, on the implementation of a Project agreed
upon by the Parties;
- "National Coordination Unit"
(NCU) means the Latvian unit in charge of the coordination of the
Latvian-Swiss Cooperation Programme;
- "Intermediate Body" means any
public authority which acts under the responsibility of the NCU
or which carries out duties on behalf of the NCU with regard to
Executing Agencies implementing Projects;
- "Executing Agency" means any
public authority, any public or private corporation as well as
any organization recognized by the Parties and mandated to
implement a specific Project financed under this Agreement;
- "Implementation Agreement" means
an agreement between the NCU and/or the Intermediate Body and the
Executing Agency for the implementation of the Project;
- "Block Grant" means a specific
Project in form of a fund set up for a clearly defined purpose,
providing assistance to organizations or institutions,
facilitating a cost-effective administration mainly in programmes
with many small projects;
- "Project Preparation Facility"
means the facility providing financial support for the
preparation of the Final Project Proposals;
- "Technical Assistance Fund"
means a specific Project in form of a fund for the financing of
tasks performed by the Latvian authorities additionally and
exclusively for the implementation of the Contribution;
- "Scholarship Fund" means a
specific Project in form of a fund for the financing of
scholarships for Latvian students and researchers admitted at
higher education and research institutions in Switzerland.
Article 2 -
Objectives
1. The Parties shall promote the
reduction of economic and social disparities within the enlarged
EU through Projects mutually agreed upon between the Parties and
in line with the Memorandum of Understanding and the Conceptual
Framework for the Latvian-Swiss Cooperation Programme as outlined
in Annex 1 of this Agreement.
2. The objective of this Agreement
is to establish a framework of rules and procedures for the
planning and implementation of the cooperation between the
Parties.
Article 3 -
Amount of the Contribution
1. Switzerland agrees to grant a
non-reimbursable Contribution towards the reduction of economic
and social disparities within the enlarged EU of up to CHF 59,880
million (fifty nine million and eight hundred eighty thousand
Swiss Francs) to Latvia for a Commitment period of five years and
a disbursement period of ten years, starting from the approval
date of the Contribution by the Swiss Parliament, which is 14
June 2007.
2. Switzerland shall accept
submissions of Final Project Proposals according to Annex 2,
Chapter 2 for Commitment of funds until two months before the end
of the Commitment period.
3. Funds not committed during the
Commitment period shall not be available anymore for the
Latvian-Swiss Cooperation Programme.
Article 4 -
Scope
The dispositions of this Agreement
shall apply to national and trans-national Projects financed by
Switzerland or co-financed by Switzerland with multilateral
institutions and other donors, executed by an Executing Agency,
mutually agreed upon by the Parties.
Article 5 -
Utilization of the Contribution
1. The Contribution shall be used
for the financing of Projects and can take any of the following
forms:
a) Financial and technical
assistance for specific Projects
b) Programmes
c) Block Grants
d) Project Preparation
Facility
e) Technical Assistance Fund
f) Scholarships.
2. The Contribution shall be used
in line with the objectives, principles, strategies and thematic
focus as outlined in the Conceptual Framework in Annex 1.
3. 5% of the Contribution shall be
used by Switzerland for its administration of this Agreement.
This includes, inter alia, expenses for staff and consultants,
administrative infrastructure, missions, monitoring and
evaluation.
4. The Contribution, in the form
of grants, may not exceed 60% of the total eligible costs of the
Project, except in the case of Projects receiving additional
financing in the form of budget allocations from national,
regional or local authorities, in which case the Contribution may
not exceed 85% of the total eligible costs. Institution-building
and technical assistance Projects, Projects implemented by
associations and foundations may be fully financed by the
Contribution.
5. The following costs shall not
be eligible for grant support: expenditures incurred before the
signing of the respective Project Agreement by all parties,
interests on debt, the purchase of real estate, staff costs of
the Latvian Government and recoverable value added tax as
specified in Article 7 of this Agreement.
Article 6 -
Coordination and Procedures
1. To make sure that Projects have
the greatest possible impact and in order to avoid duplication
and overlapping with projects financed through means of
structural and/or cohesion funding as well as by any other
funding source, the Parties shall assure an effective
coordination and share any information needed to that end.
2. All the correspondence
exchanged between the Parties, including reports and Project
documents, shall be drafted in English.
3. As a general rule, each Project
shall be subject to a Project Agreement, which shall set out the
terms and conditions of grant assistance as well as the roles and
responsibilities of the contracting parties.
4. Latvia is responsible for the
identification of Projects to be financed by the Contribution.
Switzerland can offer Latvia proposals to finance Projects,
including Projects of multilateral, national or trans-national
institutions. The rules and procedures for the selection and
implementation of Projects are defined in Annex 2 and for Block
Grants, the Project Preparation Facility, the Technical
Assistance Fund and the Scholarship Fund in Annex 3.
5. All Projects shall be supported
by Latvia and approved by Switzerland. The Parties attach high
importance to the monitoring, the evaluation and the audit of
Projects and of the Latvian-Swiss Cooperation Programme as
stipulated in Annex 2. Switzerland, or any mandated third party
acting on its behalf, is entitled to visit, monitor, review,
audit and evaluate all activities and procedures related to the
implementation of the Projects financed by the Contribution, as
deemed appropriate by Switzerland. Latvia shall provide all
requested or useful information and shall take or cause to be
taken all actions allowing the successful realisation of such
mandates.
6. Upon entry into force of this
Agreement, Latvia shall open a separate bank account at the Bank
of Latvia in which the funds received from the Swiss Contribution
shall be deposited. The Swiss administration costs referred to in
Article 5, Paragraph 3 of this Agreement shall not be managed
through this account. The accumulated net interest shall be
yearly reported to Switzerland.
7. Payment procedures are outlined
in Annex 2, Chapter 4 of this Agreement.
Article 7 -
Value Added Tax and other Taxes and Charges
1. Value added tax (VAT) shall be
considered eligible expenditure only if it is genuinely and
definitively borne by the Executing Agency. VAT which is
recoverable, by whatever means, shall not be considered eligible
even if it is not actually recovered by the Executing Agency or
by the final recipients.
2. Other levies, taxes or charges,
in particular direct taxes and social security contributions on
salaries and wages, shall constitute eligible expenditure only if
they are genuinely and definitively borne by the Executing
Agency.
Article 8 -
Annual Meetings and Reporting
1. In order to ensure effective
implementation of the Latvian-Swiss Cooperation Programme, the
Parties agree to hold annual meetings. The first meeting shall be
held no later than one year after the beginning of the
application of this Agreement.
2. Latvia shall organize the
meetings in cooperation with Switzerland. The NCU shall present
one month before the meetings an annual report. Its content shall
include but not be limited to the issues listed in Annex 2.
3. Upon the final disbursement
under this Agreement, Latvia shall submit to Switzerland a final
report assessing the accomplishment of the objective of this
Agreement and a final financial statement on the use of the
Contribution, based on the financial audits of the
Projects.
Article 9 -
Competent Authorities
1. Latvia has authorized the
Ministry of Finance to act on its behalf as the NCU for the
Latvian-Swiss Cooperation Programme. The NCU shall have the
overall responsibility for the management of the Contribution in
Latvia, including the responsibility for financial control and
audit.
2. Switzerland has authorized:
the Federal Department of Foreign
Affairs, acting through the Swiss Agency for Development and
Cooperation (SDC)
and
the Federal Department of Economic
Affairs, acting through the State Secretariat for Economic
Affairs (SECO)
to act on its behalf for the
implementation of the Latvian-Swiss Cooperation Programme.
Projects are assigned to one or
the other institution according to their respective fields of
competence.
3. The Swiss Embassy shall act as
the contact point for the NCU with regard to official information
referring to the Contribution. Day-to-day communication between
the competent authorities may be maintained directly.
Article 10 -
Common Concern
The Parties share a common concern
in the fight against corruption, which jeopardises good
governance and the proper use of resources needed for
development, and, in addition, endangers fair and open
competition based upon price and quality. They declare,
therefore, their intention of combining their efforts to fight
corruption and, in particular, declare that any offer, gift,
payment, remuneration or benefit of any kind whatsoever, made to
whomsoever, directly or indirectly, with a view to being awarded
a mandate or contract within the framework of this Agreement, or
during its execution, will be construed as an illegal act or
corrupt practice. Any act of this kind constitutes sufficient
grounds to justify termination or annulment of this Agreement,
the respective Project Agreement, the procurement or resulting
award, or for taking any other corrective measure laid down by
applicable law.
Article 11 -
Final Provisions
1. Annexes 1, 2 and 3 shall
form an integral part of this Agreement.
2. Any dispute which may result
from the application of this Agreement shall be resolved by
diplomatic means.
3. Any amendment to this Agreement
shall be made in writing with the mutual agreement
of the Parties and according to their respective
procedures. Any amendment to the Annexes 1, 2 and 3 of this
Agreement shall be made in writing with the mutual agreement
of the competent authorities mentioned in Article 9.
4. This Agreement can be
terminated at any time by one of the Parties upon a six-month
prior written notice. In this case, the provisions of this
Agreement shall continue to apply to the Project Agreements
concluded before the termination of this Agreement. The
Parties shall decide by mutual agreement any other consequences
of the termination.
5. This Agreement shall enter into
force on the date of the notification confirming the completion
by both Parties of their respective approval procedures. The
Agreement covers a Commitment period of five years and a
disbursement period of ten years. It applies until the final
report by Latvia assessing the accomplishment of the objective of
this Agreement is submitted according to Article 8 Paragraph 3.
The Commitment period shall start according to Article 3
Paragraph 1. In the case that the Commitment period starts before
the entry into force of this Agreement, the Parties shall apply
this Agreement provisionally starting on the day of its
signature.
Signed at Berne on 20 December
2007, in two authentic copies in the English language.
For the
Government of the Republic of Latvia
For the
Swiss Federal
Council
Oskars
Spurdziņš
Micheline
Calmy-Rey
Minister of Finance of the
Republic of Latvia
President of the Swiss
Confederation
Doris
Leuthard
Federal Councillor
of the Swiss
Confederation
Annex 1: Conceptual Framework of
the Latvian-Swiss Cooperation Programme
The Conceptual Framework is an
integral part of the Framework Agreement between the Swiss
Federal Council and the Government of Latvia concerning the
implementation of the Latvian-Swiss Cooperation Programme. The
Conceptual Framework defines objectives, principles, strategies
and thematic focus as well as indicative financial
allocations.
1.
Objectives
The Latvian-Swiss Cooperation
Programme pursues two objectives:
- To contribute to the reduction
of economic and social disparities between Latvia and the more
advanced countries of the enlarged European Union (EU); and
- To contribute within Latvia to
the reduction of economic and social disparities between the
dynamic urban centres and the structurally weak peripheral
regions.
The Latvian-Swiss Cooperation
Programme includes national and trans-national Projects that
support a sustainable, economically and socially balanced
development.
Towards the end of the
implementation period of the Swiss Contribution, both Parties may
jointly decide on a global evaluation of the results achieved by
the Latvian-Swiss Cooperation Programme.
2.
Principles
The Swiss-Latvian cooperation is
guided by the following principles:
Transparency. Transparency
and openness are key to all cooperation activities and are
binding at all levels. Special emphasis shall be given to
transparency in project selection, contract awarding and
financial management.
Social inclusion.
Cooperation activities aim at including socially and economically
disadvantaged individuals and groups in the opportunities and
benefits of development.
Equal opportunities and
rights. Cooperation activities aim at increasing women's and
men's opportunities to exercise their rights equally through a
gender-based approach.
Environmental
sustainability. Cooperation activities aim at incorporating
requirements of environmental sustainability.
Commitment by all
stakeholders. All institutions and decision-makers involved
in the Latvian-Swiss Cooperation Programme are committed
to an efficient and effective implementation of the agreed
Projects.
Subsidiarity and
decentralisation. Cooperation activities aim at including
considerations of subsidiarity and decentralisation primarily in
Projects at the municipal and regional levels.
3.
Strategies
3.1 Main
Strategic Considerations
The Latvian-Swiss Cooperation
Programme is a financial assistance instrument which is used
complementary to structural and cohesion programmes of the
European Union as well as to the programmes of the EEA and the
Norwegian Financial Mechanisms. The Swiss Contribution shall be
complementary to these programmes and mainly focus on Projects
that are not or only partially covered by other financial
sources.
Main strategic considerations
include:
a. Focusing. The Memorandum
of Understanding between the Swiss Federal Council and the
Council of the European Union defines four funding guidelines for
the Contribution:
- Security, stability and support
for reforms;
- Environment and
infrastructure;
- Promotion of the private sector;
and
- Human and social
development.
These funding guidelines and the
related focus areas provide a broad base for cooperation.
Efficiency and effectiveness considerations as well as concern
for the optimal allocation and use of available resources, are
important. Therefore, the Latvian-Swiss Cooperation Programme
shall have a clear strategic focus, guided by the following
considerations:
- Concentration on a maximum of
six focus areas in which a high percentage of the Contribution
shall be spent (thematic concentration). The selection of the
focus areas may be need-based and may take specific Swiss
know-how into account.
- Concentration on a relatively
small number of Projects.
b. Programme approach. A
programme consists of component projects linked by a common theme
or shared objectives. A programme approach shall be applied in
focus areas which display several of the following
characteristics: large financial Commitments; linking of
different levels (national, regional, local); variety of actors;
contribution to policy development; significant contributions to
capacity building; and application of a common set of rules and
procedures. A programme approach implies a delegated authority
for decision-making on individual projects. A programme approach
includes: an initial assessment of the focus area; the definition
of objectives, guidelines and budgets; a programme implementation
plan; and a sector monitoring and evaluation concept. To assure
efficiency and effectiveness, the contribution to a specific
programme shall represent a minimum amount of CHF 4 million.
c. Individual project
approach. An individual project approach shall be applied in
a focus area in which stand-alone projects shall be implemented.
To assure efficiency and effectiveness, the contribution for each
project under the individual project approach shall represent in
general a minimum amount of CHF 1 million. Higher minimal
financial volumes may be agreed upon (see Chapter 4 of this
Annex). Block Grant financing may provide a means to accommodate
smaller projects (see Annex 3).
d. Trans-national Projects.
The Contribution may be used to finance trans-national
Projects.
e. Partners and
beneficiaries. The Latvian-Swiss Cooperation Programme may
include partners and beneficiaries from the public and private
sectors, associations and foundations and other civil society
organisations.
f. Partnerships.
Partnerships between Swiss and Latvian partners are an enriching
element of the Latvian-Swiss Cooperation Programme. Cooperation
and partnerships are strongly encouraged, especially in focus
areas in which Switzerland may contribute particular experience,
know-how and technologies.
g. Flexibility. Flexibility
and the possibility to react to opportunities require that
initially only about 90% of the Contribution shall be allocated
to particular focus areas and special items. Two years after the
beginning of the Latvian-Swiss Cooperation Programme, a review
shall assess thematic priorities, redirect the initial financial
allocations as agreed, and determine the priorities for the not
yet allocated part of the Contribution.
h. Visibility. Visibility
of the Latvian-Swiss Cooperation Programme for Latvian and Swiss
citizens is an important aspect that may be taken into account
when selecting and implementing Projects. Both Parties undertake
to inform proactively on their cooperation.
3.2
Implementation Strategies
a. Identifying Projects.
Project identification significantly impacts the quality of the
Latvian-Swiss Cooperation Programme. Latvia is responsible for
the identification of Projects to be financed by the
Contribution. Switzerland can offer Latvia Project proposals.
b. Setting Project selection
criteria. Project selection shall be based on a clear set of
criteria. General selection criteria shall include:
- Responsiveness to the objectives
of the Latvian-Swiss Cooperation Programme;
- Adherence to the principles of
the Latvian-Swiss Cooperation Programme described in Chapter 2 of
this Annex;
- Responsiveness to the strategic
considerations outlined in Chapter 3.1 of this Annex;
- Anchoring in the national
development planning and, if possible, the National Strategic
Reference Framework and the respective Operational
Programme(s);
- Innovation and/or the potential
to offer new solutions that can be applied subsequently on a
larger scale (pilot Projects);
- Capacity of the Executing
Agency;
- Leverage potential (mobilisation
of additional resources);
- Feasibility in the given
time-span; and
- Sustainability of results.
Specific selection criteria for
each focus area may be formulated prior to starting the
implementation of the Latvian-Swiss Cooperation Programme.
c. Supporting Project
planning. Project preparation and detailed Project planning
are of paramount importance for efficiency and effectiveness in
Project implementation. Preparation support may be requested by
Latvia or recommended by Switzerland and may be financed through
the Project Preparation Facility (see Annex 3). Should there be
insufficient funds available in the Project Preparation Facility
to prepare a specific Project, Latvia may request to transfer the
required funds from the respective Focus area or from the not yet
allocated part of the Contribution to the Project Preparation
Facility.
d. Enhancing implementation
capacities. Successful Project implementation depends on the
capacities of the implementing and monitoring organisations. If
need be, capacity enhancement may be requested by Latvia or
recommended by Switzerland and may be financed by the
Contribution as an integral part of Project financing.
4. Thematic
Focus and Indicative Financial Allocations
The following thematic focus
and indicative financial allocations shall apply to the
Latvian-Swiss Cooperation Programme:
1.
Security, Stability and Support for Reforms
No.
Focus
areas
Approach,
objectives and eligible projects
Indicative
financial allocation
1
Regional
development initiatives in peripheral or disadvantaged
regions
Individual
project or programme approach with the following
objectives:
Objective 1: To
strengthen structures and capacities on regional and local
government level
Types of
eligible projects:
- Transportation system
analysis of local governments after implementation of
administrative-territorial reform and definition of
activities for improvements.
- Implementation of local
governments activities by ensuring the transportation of
school children and related support measures.
________________________________________
Objective 2: To support
youth in its development
Types of
eligible projects:
- Youth initiatives in
regions: school exchange, campaign for youth mobilisation,
training courses (e.g. application training, computer
training), job fairs etc.
- Training of social
workers to provide support to youth in crisis.
Up to
16
million CHF
________________
Up to
4
million CHF
2
Modernisation of the judiciary
Individual
project or programme approach with the following
objective:
To enhance the performance of
the judicial system and the access to justice.
Types of
eligible projects:
- Optimisation of judicial
management including the improvement of judicial
procedures, the management of costs, the strengthening of
the use of electronic means, the improvement of
proceedings, the introduction of video-translations and the
capacity building of personnel.
- Enhancement of access to
justice including citizen information (awareness campaigns,
brochures, etc.), reduction of access costs and improvement
of physical accessibility.
Up to
8.0
million CHF
2.
Environment and Infrastructure
No.
Focus
areas
Approach,
objectives and eligible projects
Indicative
financial allocation
3
Rehabilitation and modernisation of basic
infrastructure
Individual
project or programme approach with the following
objective:
To improve the environment in
order to increase living standards and promote economic
development.
Types of
eligible projects:
Projects or programmes of a
minimum value of CHF 5 million each in the fields of:
- Rehabilitation of hazardous
waste dumping sites
- Hazardous waste
management
- Remediation of historically
polluted sites.
Up to
13 million
CHF
3.
Promotion of the Private Sector
No.
Focus
areas
Approach,
objectives and eligible projects
Indicative
financial allocation
4
Improved regulation of the
financial sector
Individual
project approach with the following objective:
To support the effective
implementation and enforcement of the Acquis Communautaire
targeted to Corporate Financial Reporting.
Types of
eligible projects:
- Institutional and regulatory
capacity building for corporate sector financial reporting
and auditing at the national level.
Up to
2 million
CHF
4. Human
and Social Development
No.
Focus
areas
Approach,
objectives and eligible projects
Indicative
financial allocation
5
Research and
development
Block Grant
approach with the following objective:
To strengthen the scientific
potential through enhanced access to education and research
through selective promotion programmes.
Types of
eligible projects:
Scholarships for advanced
degree and post-graduation studies in Switzerland.
Up to
2.5
million CHF
5. Special
Allocations
Item
Content
Indicative
financial allocation
NGO Block
Grant
Block Grant
approach with the following objective:
To promote civil society's
contribution to economic and social cohesion as important
actors of development and participation.
Types of
eligible projects:
- Small Project Block grant(s)
for the civil society/NGOs contributing primarily to social
service provision as well as environmental concerns,
allowing to strengthen organisational capacities
Up to
3.5
million CHF
Project
Preparation Facility
Objective:
To support the preparation of
final project proposals.
Up to
0.3
million CHF
Swiss
Programme Management
Swiss administration of the
Latvian-Swiss Cooperation Programme.
3 million
CHF
Latvian
Technical Assistance
Latvian administration of the
Latvian-Swiss Cooperation Programme including preparation,
implementation, monitoring, evaluation.
Up to
0.9
million CHF
Overview
on the Indicative Allocations
Funding
Guidelines
Indicative
financial allocation
(million CHF)
1. Security, Stability and
Support for Reforms
28
2. Environment and
Infrastructure
13
3. Private Sector
2
4. Human and Social
Development
2.5
5. Special Allocations
7.7
6. Not yet allocated
6.68
Total
indicative allocations
59.88
Annex 2: Rules and Procedures for
the Swiss-Latvian Cooperation Programme
Annex 2 is an integral part of the
Framework Agreement between the Swiss Federal Council and the
Government of the Republic of Latvia concerning the
implementation of the Swiss-Latvian Cooperation Programme. Annex
2 defines the controlling at the Latvian-Swiss Cooperation
Programme level, procedures at Project level, requirements for
Project proposals, roles and responsibilities and special
provisions for financial assistance.
Rules and procedures for Block
Grants, the Project Preparation Facility, the Technical
Assistance Fund and the Scholarship Fund are defined in Annex
3.
1. Controlling
at the Latvian-Swiss Cooperation Programme level
1.1
Supervision
The Latvian authorities have the
final responsibility for the monitoring and supervision of the
Latvian-Swiss Cooperation Programme. A monitoring system shall be
developed jointly by the Parties at the beginning of the
Latvian-Swiss Cooperation Programme and be enhanced during its
implementation as necessary.
1.2 Annual
meetings
In order to ensure an effective
implementation of the Latvian-Swiss Cooperation Programme, the
Parties shall hold annual meetings. At the annual meetings, the
National Coordination Unit (NCU) shall present an annual report
to be distributed one month before the meeting which shall
amongst other things address:
- General experience and results
achieved;
- Progress made in the
implementation of the Latvian-Swiss Cooperation Programme against
the Conceptual Framework;
- Reporting on the status of the
Latvian-Swiss Cooperation Programme, including:
• Statements on approved Projects,
progress of Project identification / preparation and foreseeable
Commitments;
• Overall financial statement on
past and tentative future disbursements and Commitments for the
entire Latvian-Swiss Cooperation Programme;
• Summary and main conclusions of
the financial audits of the Projects in accordance with Chapter
3.6;
• Statistics on tenders, contract
awards and successful bidders;
• Information about important
issues with regard to particular Projects.
- Reporting on Block Grants, the
Project Preparation Facility, the Technical Assistance Fund and
the Scholarship Fund;
- Proposals for the allocation of
non-committed funds;
- Reporting on administrative
implementation issues;
- Strategy and activities to
inform the general public about the Latvian-Swiss Cooperation
programme and the Projects implemented;
- Further issues to be discussed;
recommendations, next steps;
- Review and, if needed, amend the
Annexes of the Agreement.
The NCU is responsible for the
organisation of the annual meetings. It will consult the Swiss
Embassy on the organisation, the contents, the agenda, the
participants and other organisational and logistical matters.
The Intermediate Bodies, the
Executing Agencies and other institutions and persons may be
invited to the annual meetings whenever this is felt desirable by
the NCU or by Switzerland.
The Parties may invite the
Commission of the European Communities to participate as an
observer.
Minutes of the meetings shall be
drafted by the NCU and be submitted to Switzerland for approval
within 15 days after the meeting.
2. Procedures of
Project Financing Requests
The financing request
undergoes a two-loop approach that allows guidance early in the
decision making process. In the first loop, a Project outline is
submitted and a decision in principle is made. In case of a
successful first loop, the second loop is initiated. In the
second loop, the Final Project Proposal is submitted and a final
decision is made by Switzerland.
2.1 First loop:
Application and approval procedure of the Project outline
No.
Steps
Activities
and specific rules
Organisations
1.
Initiation
of Project identification
Initiation on the basis of:
- Lists of priority Projects
provided by the Government;
- A proposal by the NCU;
- A proposal by an Intermediate
Body / Executing Agency;
- Call for proposals mainly for
Block Grants;
- A proposal by
Switzerland;
- A proposal by an
international organisation.
Responsible: NCU
Involved:
Intermediate Body, Executing
Agency, Latvian partners, Swiss authorities
2.
Elaboration
of the Project outline
Preparation of the Project
outline based on the requirements for Project outlines (cf.
2.2). This may include a request for financial support for
the preparation of a Final Project Proposal through the
Project Preparation Facility.
Responsible: Intermediate Body,
Executing Agency
3.
Pre-screening of the Project outline
Possibility of informal
consultations with the Swiss Embassy.
Responsible: NCU
4.
Screening
Examination of the Project
outline based on the Conceptual Framework, the Project
selection criteria in Annex 1 and the requirements for
Project outlines (cf. 2.2).
Responsible: NCU
Involved:
Steering committee,
Intermediate Body (when
existent)
5.
Submission
of the Project outline
If accepted, submission of the
Project outline with a cover letter comprising a
description of the selection process to the Swiss Embassy.
Formal check by the Swiss Embassy and submission of the
Project outline with the cover letter of the NCU to
Switzerland.
Responsible: NCU
Responsible: Swiss Embassy
6.
Final
decision on Project outline
Final decision on the Project
outline (including, if relevant, decision on the request
for financing of Project preparation).
If accepted by Switzerland,
request for the elaboration of the Final Project Proposal
(requirements specified in 2.4). Switzerland may submit
comments which have to be considered during the elaboration
of the Final Project Proposal.
Responsible: Swiss Agency for
Development and Cooperation (SDC) or State Secretariat for
Economic Affairs (SECO)
2.2
Requirements for Project Outlines
The Project outline
(approximately 5 pages) shall include all necessary information
to allow a general appraisal of the proposed Project.
Item
Content
General information
Project title, planned project
duration, priority sector, location/region
Applicant
Name and contact details;
previous, relevant experience, if any; project partners;
Swiss link, if any (know-how, technology, partners or any
other cooperation with Switzerland)
Relevance
Contribution to the reduction
of economic and social disparities within the country and
between the country and the more advanced member states of
the EU (impact); fit within the development strategies of
the country/region and chosen sector; strategy of the
intervention
Project content
Description including
objectives (outcome), expected results (outputs) and
activities (components); beneficiaries, target group; risks
and potentials; sustainability of project
Project organisation
Organisational chart,
responsibilities, etc.
Budget
Eligible costs / non-eligible
costs; own contribution, amount of grant, co-financing,
EU-funding and any other financial source etc.; cost
efficiency aspects versus alternatives
Horizontal issues
Environmental, social and
economical aspects of the project, gender equality
Maturity of project
Status of project: in
elaboration or fully prepared and possible request for
financial support for preparation of Final Project Proposal
through the Project Preparation Facility (e.g. feasibility
studies, environmental impact assessment, etc.) if deemed
necessary
Annexes
Additional documentation as
deemed appropriate
2.3 Second loop:
Application and approval procedure of the Final Project
Proposal
No.
Steps
Activities
and specific rules
Organisations
1.
Elaboration
of the Final Project Proposal
Preparation of the Final
Project Proposal based on the requirements for Final
Project Proposals (cf. 2.4) and the comments of
Switzerland.
Responsible: Intermediate Body,
Executing Agency
2.
Screening
Examination of the Final
Project Proposal.
Responsible: NCU
Involved: Intermediate Body
(when existent)
3.
Decision to
submit the Final Project Proposal
If accepted, submission of the
Final Project Proposal with a cover letter taking into
account the requirements for Final Project Proposals and
the comments of Switzerland to the Swiss Embassy. It will
also confirm the compliance of the Executing Agency with
legal and financial obligations.
Formal check by the Swiss
Embassy and submission of the Final Project Proposal with
the cover letter of the NCU to Switzerland.
Responsible: NCU
Responsible: Swiss Embassy
4.
Final
decision
Final decision on the financing
request by taking into account the Final Project Proposal,
the cover letter of the NCU, and the Project document.
Switzerland reserves the right to carry out its own
appraisal if needed.
Responsible: SDC or SECO
2.4 Requirements
for Final Project Proposals
The Final Project Proposal
shall be accompanied by all necessary documents (e.g. feasibility
study, Project document, environmental impact study) to allow a
thorough appraisal. The Final Project Proposal (5 - 10 pages; for
large infrastructure Projects 10 - 20 pages, plus annexes) shall
provide adequately detailed information on inter alia:
Item
Content
Project summary
(1 page)
Fact sheet: Project title,
short description including objectives, budget, partners,
duration
Applicant
Name and contact details;
previous, relevant experience, if any; project partners;
Swiss link, if any (know-how, technology, partners or any
other cooperation with Switzerland)
Relevance
Contribution to the reduction
of economic and social disparities between the country and
the more advanced countries of the EU; fit within the
development strategies of the country/region and chosen
sector; strategy of the intervention
Project content
Description including
objectives, expected outcomes/outputs, activities and the
respective indicators; beneficiaries, target group; risks
and potentials; sustainability of the Project
Project justification (Due
diligence)
Main conclusions of the
feasibility study (if requested)
Project organisation
Organisational chart,
responsibilities, etc.
Detailed implementation
schedule
Including milestones and
monitoring of progress based on defined indicators
Budget
Eligible costs / non-eligible
costs; own contribution, amount of grant, co-financing,
EU-funding and any other financial sources etc.; cost
efficiency aspects
Procurement
Procurement procedures for
goods and services
Development Impact
Monitoring and evaluation of
output/outcome/impact indicators
Horizontal issues
Environmental, social and
economical aspects of the Project, gender equality
Annexes
E.g. feasibility study, Project
document, environmental impact study
3. Project
Implementation Procedures
The Project
implementation procedures are as follows:
No.
Steps
Activities
and specific rules
Organisations
1.
Project
Agreement
Preparation of the Project
Agreement between Latvia and Switzerland.
Responsible:
NCU on the Latvian side; SDC or
SECO on the Swiss side
2.
Signing
Signing of the Project
Agreement. The Project Agreement can be signed by more than
two contracting parties (e.g. tripartite or multipartite
agreement: SDC or SECO, NCU and Intermediate Body,
Executing Agency).
Responsible:
Normally the Swiss Embassy on
behalf of SDC or SECO.
The Latvian signatory or
signatories shall be decided by Latvia.
3.
Procurement
and award of contracts
Procurement is to be made in
accordance with the respective national law and regulations
and in compliance with the respective EU directives. A
confirmation of compliance with the relevant procurement
rules shall be provided to Switzerland. To increase
transparency and to prevent corruption, tender documents
shall contain an integrity clause.
In general, for public tenders
within the scope of the EU directives on public procurement
(2004/17/EC and 2004/18/EC), an English translation of the
official tender evaluation report shall be provided to
Switzerland for information at the latest 30 calendar days
after the award of contract.
In addition to the above, for
tenders above the threshold of CHF 500`000, Switzerland
will inform at the time of the final decision on the Final
Project Proposal, if a copy of the tender documents for
non-objection and contracts for information have to be
submitted to Switzerland. These documents shall be
submitted at the latest 20 calendar days before the
commencement of tendering and 20 calendar days after the
signing of the contract, respectively.
Furthermore, for tenders above
the threshold of CHF 500`000, Switzerland may also request
at the time of the final decision on the Final Project
Proposal that an English translation of the tender
documents and the draft contracts are made available to
tenders and contractors, respectively. Possible translation
costs shall be borne by the Project or in exceptional cases
by the Technical Assistance Fund.
In line with Art. 6.5. of the
Framework Agreement, both Parties agree to provide all such
information pertaining to the tender process and beyond the
documents listed above that the other Party may reasonably
request. Switzerland shall have the right to participate in
the tender committee as an observer. Switzerland shall also
have the right to conduct an audit of the procurement
practices and procedures in general.
In case of irregularities,
wilfully or negligently caused in the framework of the
tender process, Switzerland is entitled to stop
reimbursements immediately, to instruct the NCU to stop
payments from the Swiss Contribution and to ask repayment
of illegitimately paid reimbursements at any stage of the
Project.
Responsible:
NCU, Intermediate Body,
Executing Agency
4.
Controlling
(Monitoring)
Controlling procedures are
defined in the Project Agreement. Procedure description
includes: periodicity of reporting, monitoring system and
consultant, steering committees, time table for operations
and results, auditing, etc.
Responsible: Executing
Agency
Involved: NCU, Intermediate
Body
5.
Reporting
Interim Reports for
supporting payment claims and reimbursement requests as
specified in Chapter 4 of this Annex.
Annual Project Reports describe
the progress of the Project. They include summary data on
financial progress for the reporting year as well as
cumulative data to date. They compare actual with planned
expenses and progress, based on quantified targets for
output and where possible outcome indicators. Any deviation
has to be justified and corrective measures suggested.
Annual project reports are not linked to reimbursement
requests.
The Project Completion Report,
together with the last Project interim report and the final
financial report (cf. 6), is the base for the final
reimbursement. It documents and comments the overall
achievement of outputs and outcomes against the original
plan, the compliance with principles such as cross cutting
themes and sustainability, and it contains lessons learned
and conclusions.
Responsible: Executing
Agency
Involved: NCU, Intermediate
Body
6.
Audit
Based on a risk assessment, an
annual system audit planning will be established. In
addition Switzerland may announce recommendations that
shall be taken into account in risk assessment process. In
accordance with the planning, the Internal Audit Department
and the entitled audit organisations (e.g. control unit of
the Intermediate Body) shall perform control and audits in
accordance with the national law.
For each Project lasting longer
than two years and exceeding the amount of CHF 500'000, an
external certified audit organisation will carry out
intermediary Financial Audit(s), unless otherwise specified
in the Project Agreement. The conclusions and
recommendations shall be transmitted to Switzerland.
At the completion of each
Project an external certified audit organisation will
carry out a Final Financial Audit. The conclusions and
recommendations shall be transmitted to Switzerland
together with the Project Completion Report and a Final
Financial Report.
Responsible:
Internal Audit Department
Involved: NCU, Intermediate
Body
7.
Evaluation
After Project completion, the
Parties may request an independent evaluation. The cost
will be borne by the requesting Party.
Responsible : NCU, SDC or
SECO
4. Payment
and Reimbursement Procedure
The State Treasury of the
Republic of Latvia is the Paying Authority for the Contribution.
In principle, all disbursements under the Contribution will be
pre-financed out of the national budget of Latvia or by the
Executing Agency. The Executing Agency shall submit payment
claims covering eligible expenses over the current period to the
NCU, together with certified copies of all supporting
documentation and the interim report. The NCU shall verify the
completeness and certify the correctness of the submitted
documents. The Paying Authority shall submit the reimbursement
requests to Switzerland for approval and payment.
The detailed reimbursement
procedures are laid down in the Project Agreements and must, if
not otherwise specified, comply with the following
procedures:
No.
Steps
Activities
Organisations
1.
Issue of the original
invoice
Issue the original invoice.
Responsible: Supplier of a
product or service; contractor, consultant, organisation
(claimant)
2.
Examination of the original
invoice and the elaboration of the payment claim
- Control the original invoice
with regard to the specifications of the Project Agreement,
the Implementation Agreement, the supply / services
contract and the agreed tariffs.
- Verify the correctness of the
execution (quantity and quality) of the work, the supply of
goods / services, etc., and the special conditions etc.
- Payment to the supplier(s) of
the original invoice.
Submit the payment claim
including an interim report and copy of the invoices to the
NCU and/or the Intermediate Body. The payment claim
comprises eligible costs incurred during a given
period. The interim report includes information on
financial and physical progress, a comparison of actual
with planned expenses, an update on progress status, while
confirming the co-financing. Any deviation has to be
justified and corrective measures suggested. Interim
reports are due at least every six months.
Responsible: Executing
Agency
3.
Certification of the payment
claims to the Paying Authority and pre-financing
payments
- Check the conformity of the
payment claim with the Framework Agreement, the Project
Agreement and the Implementation Agreement.
- Verify the completeness of
the documentation (i.e. copy of invoices and other
accounting documents) and the relevance of the interim
report. If necessary, verify the correctness of the use of
funds by means of fact-finding missions.
- Certify the correctness and
legality of the payment claims to the Paying Authority.
- Transmit to Switzerland a
copy of the related documentation, such as interim, annual
and completion reports (cp. 3.5, 3.6), audit reports, or
their consolidated summary as requested in the Project
Agreement.
- Payment to the Executing
Agency
Responsible: NCU
Involved: Intermediate
Body
Responsible: NCU, Paying
Authority
4.
Submission of the reimbursement
request to Switzerland
- Check the formal conformity
of the payment claims, including co-financing and possible
double-financing.
- Submit the
reimbursement requests to Switzerland and confirm the
compliance with supporting documentation and contractual
agreements.
Responsible: Paying
Authority
5.
Payment from Switzerland to
Latvia
- Check the conformity of
reimbursement requests and supporting documentation.
- Transfer the requested amount
to the Paying Authority within 30 days.
Responsible: Switzerland
In particular cases, other payment
procedures may be defined by the Parties in the respective
Project Agreements.
The final date for eligibility of
costs shall be specified in the Project Agreement. It shall
be 12 months after the scheduled date for Project completion, but
shall not be later than ten years after the approval of the
Contribution by the Swiss Parliament according to Article 3 of
the Framework Agreement. Final reimbursement requests must have
been received by Switzerland not later than six months after the
final date of eligibility.
In case of irregularities,
wilfully or negligently caused in the framework of the tender
process, Switzerland is entitled to stop reimbursements
immediately, to instruct the NCU to stop payments from the Swiss
Contribution and to ask repayment of illegitimately paid
reimbursements at any stage of the Project.
5. Roles and
Responsibilities
The roles and responsibilities of
the main actors are outlined below. Project Agreements will
contain more detailed responsibilities and activities tailored to
the individual case.
5.1 The National
Coordination Unit
The NCU is responsible for the
overall Latvian-Swiss Cooperation Programme orientation and for
the identification, planning, implementation, financial
management, controlling and evaluation of Projects, as well as
for the use of funds under the Contribution in accordance with
the Framework Agreement. This includes to:
- Ensure the adoption of the
necessary national legal documents on the implementation and
monitoring of Projects;
- Coordinate the Swiss
Contribution with other contributions, with the National
Strategic Reference Framework and with the operational
programmes;
- Ensure that the appropriate
provisions are included in the National Budget in order to
safeguard that claimants have the necessary funds;
- Confirm that the co-financing
part has been provided according to the Project Agreement;
- Ensure that there is no double
financing of any part of the Project by any other source of
funds;
- Ensure the organisation of calls
for, the collection of and the appraisal of Project
proposals;
- Establish a consultative
steering committee, in which at least the NCU and selected line
ministries, the regions, the civil society and the Swiss Embassy
are represented;
- Select the Project proposals to
be submitted to Switzerland in consultation with the steering
committee;
- Submit well documented Project
financing requests to Switzerland resulting from approved Project
outlines;
- Supervise and steer the
implementation of Projects in accordance with the Project
Agreements and by the establishment of an adequate check and
monitoring system;
- Check the invoices received from
the Executing Agencies and verify the sufficiency of
documentation;
- Submit payment claims to the
Paying Authority and certify their correctness and legality;
- Ensure the efficient and correct
use of available funds;
- Verify in each Project if the
value added tax (VAT) can be recovered by the Executing Agency
and to inform the Swiss authorities accordingly in the form of a
declaration by the applicant as part of the Project
documentation;
- Ensure the financial control,
including complete and sufficient audit trails in all involved
institutions;
- Provide a yearly overall
financial statement on all transfers of funds between Switzerland
and the Paying Authority on one side and between the Paying
Authority and all national involved bodies (e.g. NCU,
Intermediate Body, Executing Agency) on the other side;
- Submit yearly a summary with
conclusions and recommendations of all audit reports of the
financed Projects. The NCU presents in an annex all original
conclusions and recommendations of the audit reports;
- Ensure the discussion of audit
results with the partners involved, including Switzerland, and
the implementation of the decisions made based on the audit
report;
- Ensure regular reporting to
Switzerland on the implementation of Projects financed by the
Contribution, as well as to immediately report any
irregularities;
- Organise annual meetings at
overall Latvian-Swiss Cooperation Programme level in consultation
with the Swiss Embassy and to present an annual report;
- Be responsible for the
reimbursement to Switzerland of unduly paid sums financed by the
Contribution;
- Ensure information and publicity
about the Latvian-Swiss Cooperation Programme;
- Ensure storing of all relevant
documents relating to Projects implemented within the
Latvian-Swiss Cooperation Programme for 10 years after the
completion of Projects.
The competent authorities with the
full support of the Government of the Republic of Latvia shall
investigate alleged cases of fraud or irregularity. Proven cases
of fraud shall be prosecuted according to existing
regulations.
The NCU can delegate part of the
tasks and responsibilities mentioned above to one or more
Intermediate Bodies, the Paying Authority and Executing
Agencies.
5.2 Intermediate
Body
Intermediate Body means any public
authority which acts under the responsibility of the NCU or which
carries out duties on behalf of the NCU with regard to Executing
Agencies implementing Projects.
The main tasks of the Intermediate
Bodies are to:
- Call for and collect Project
proposals, review compliance with the requirements for Project
proposals (Chapter 2) and assess the quality of applications
submitted;
- Implement tender processes or
delegate this task to an Executing Agency;
- Supervise and steer the
implementation of Projects in accordance with the Project
Agreements and the Implementation Agreements, and carry out the
necessary controls;
- Check the invoices received from
the Executing Agencies, verify the authenticity and correctness
of submitted documents as well as the eligibility of costs on
payment claims;
- Certify invoices and submit
certified invoices to the NCU or to the Paying Authority;
- Report to the NCU on the
progress of Project implementation;
- Check for irregularities and
report them to the NCU;
- Ensure storing of all relevant
documents related to Projects implemented within the
Latvian-Swiss Cooperation Programme for 10 years after the
completion of Projects.
5.3 Executing
Agency
An Executing Agency is any public
authority, any public or private corporation as well as any
organization, recognized by the Parties and mandated to implement
a specific Project financed under this Framework Agreement.
Consequently, the Executing Agency is the contracting party for
service and supply contracts in the framework of approved
Projects.
The Project Agreement shall
contain the name of the Executing Agency. Its tasks and
responsibilities shall be defined in the Implementation
Agreement.
5.4. Paying
Authority
The Paying Authority is
responsible for ensuring appropriate financial control over the
use of the Swiss Contribution. It shall in particular:
- Check the conformity of the
payment claims;
- Submit the respective
reimbursement requests to Switzerland;
- Keep accounts of all
reimbursement requests made to Switzerland;
- Report periodically to the NCU
on financial flows.
The Paying Authority ensures that
payments are made to the claimants within the specified
deadlines.
5.5 Internal
Audit Department
For the implementation of the
Cooperation Programme between Switzerland and Latvia, the
Internal Audit Department is responsible for ensuring effective
functioning of audit systems.
The main task of the Internal
Audit Department are to:
- Ensure an adequate auditing
function;
- Provide competent authorities
with methodology for audit performance;
- Establish an annual system audit
and control plan, which is based on the risk assessment.
Switzerland's recommendations shall be taken into account
in the risk assessment process;
- Perform audits within the
implementation structure of the Cooperation Programme between
Switzerland and Latvia and report to Switzerland;
- Submit yearly a summary with
conclusions and recommendations of all audit reports of the
financed Projects. The Internal Audit Department presents in an
annex all original conclusions and recommendations of the audit
reports;
- Provide competent Swiss
authorities or mandatees acting on their behalf with its
assistance;
- Ensure storing of all reports
from audits preformed by audit organisations related to Projects
implemented within the Latvian-Swiss Cooperation for ten years
after the completion of Projects.
5.6 Audit
Organisation
If not otherwise specified in the
Project Agreement, for each Project an audit organisation is
appointed by the National Coordination Unit. For Technical
Assistance, Block Grants, the Project Preparation Facility and
Scholarships different audit procedures may apply. The audit
organisation has to be a private company of recognised
professional reputation which operates in line with international
auditing standards.
The audit organisation has to be
mentioned in the Project Agreement. The scope of the audit will
be defined in an annex to the Project Agreement. In case of
external audit, the costs are eligible for reimbursement and must
be included in the Project budget. Costs of internal audits are
borne by the respective audit organisation.
If not otherwise specified in the
Project Agreement, the audit organisation shall carry out
intermediary financial audit(s) for Projects lasting longer than
two years and exceeding the amount of CHF 500'000 and a Final
Financial Audit of the Projects according to international
auditing standards. In doing so, it shall verify the correct use
of funds, make recommendations to strengthen the control system
and repo …
MI skaidrojums pēc oficiālā likuma teksta. Orientējošs, neaizstāj juridisku konsultāciju.