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GOVERNMENT OF MONTENEGRO

MINISTRY OF SCIENCE

– HERIC –HIGHER EDUCATION AND RESEARCH FOR INNOVATION

AND COMPETITIVENESS PROJECT

GUIDELINES FOR APPLICANTS

FOR PREPARING AN APPLICATION FOR A

PILOT CENTRE OF EXCELLENCE

Prepared by:

Project Manager for Research and Grants Officer, Project Management Team

Ministry of Science

Ministry of Science of Montenegro

TABLE OF CONTENTS

ACRONYMS................................................................................................................................................................................................ 4

1.0 Purposes of these Guidelines...........................................................................................................................................5

2.0 Higher Education and Research for Innovation and Competitiveness (HERIC) Project........................5

2.1 Background.............................................................................................................................................................................. 5

2.2 Overview of HERIC project................................................................................................................................................5

2.3 Objectives and anticipated results of the CoE Program.......................................................................................6

3.0 Overview of the CoE pilot scheme including eligibility and assessment criteria......................................6

3.1 Purpose...................................................................................................................................................................................... 6

3.2 Objectives:................................................................................................................................................................................ 6

3.3 Eligibility of participants....................................................................................................................................................7

3.4 Gender equality......................................................................................................................................................................7

3.5 Maximum size of Grant and implementation period.............................................................................................7

3.6 Mandatory project evaluation and scoring criteria................................................................................................7

3.7 Role and responsibilities....................................................................................................................................................8

4.0 Target participants and activities..................................................................................................................................8

5.0 Responsibilities of the main parties..............................................................................................................................9

5.1 Grant beneficiary (Host)....................................................................................................................................................9

5.2 The Technical Services Unit (TSU) and Grants Officer.......................................................................................10

5.3 Environmental Expert......................................................................................................................................................10

6.0 Social and Environmental Safeguards.......................................................................................................................11

7.0 Pilot CoE Application, Grant Process and Implementation..............................................................................12

7.1 Call for Applications..........................................................................................................................................................12

7.2 Preparation of Proposals.................................................................................................................................................12

7.3 Eligible costs......................................................................................................................................................................... 12

7.4 Non eligible costs................................................................................................................................................................13

7.5 Development of project proposals..............................................................................................................................13

7.6 Review and Evaluation of Applications and award of grant............................................................................15

7.6.1 Administrative and environmental completeness and compliance............................................................15

7.6.2 International Scientific Peer Review....................................................................................................................16

7.6.3 Final Evaluation Committee (FEC)........................................................................................................................16

7.6.4 Review by the Council for Science CfS.................................................................................................................17

7.6.5 Negotiation of the grant contract...........................................................................................................................17

7.6.6 Award of the grant....................................................................................................................................................... 17

7.6.7 Implementation of the CoE contract.....................................................................................................................18

8.0 Basic procedure and timing for the evaluation and final approval of proposal......................................18

9.0 Procurement issues...........................................................................................................................................................19

10.0 Grant Implementation......................................................................................................................................................21

11.0 Administration and Finance..........................................................................................................................................22

______________________________________________________________________ 2– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –


11.1. Administration.....................................................................................................................................................................22

11.2. Finance.................................................................................................................................................................................... 23

12.0 Reporting and monitoring..............................................................................................................................................24

13.0 Fraud and Corruption.......................................................................................................................................................25

Full list of Annexes...............................................................................................................................................................................26

Annex 1: Key Dates for CoE Grant...........................................................................................................................................26

Annex 2: Call for Proposals.........................................................................................................................................................27

See separate WORD and Excel documents for:.......................................................................................................................31

Annex 3a: Application form.docx.............................................................................................................................................31

Annex 3bi: CoE Management CV template.docx................................................................................................................31

Annex 3bii: CoE Researchers CV template.docx................................................................................................................31

Annex 3c: CoE Budget Plan.xlsx................................................................................................................................................31

Annex 3d: CoE Impact Indicators.xlsx...................................................................................................................................31

Annex 4a: Self-Assessment format (recommended, but not mandatory).............................................................32

Annex 4b: Example guarantee form.......................................................................................................................................33

The following internal documents do not form part of the Guidelines portfolio:..............................................34

Annex 5: Format for initial screening of completeness and administrative compliance of proposal.......34

Annex 6a Code of conduct for independent experts appointed as reviewers/evaluators.............................34

Annex 6b: IPR Draft Contract ISPR..........................................................................................................................................34

Annex 6c: FEC Draft Contract IPIE..........................................................................................................................................34

Annex 6d: Draft Appointment Letter for ISPR...................................................................................................................34

Annex 6e: Draft Appointment Letter for FEC - IPIE.........................................................................................................34

Annex 7a: Proposal Evaluation form to be used by Scientific Peer Reviewers.........................................................34

Annex 7b: Proposal ranking form to be used by Project Implementation Experts.................................................34

Annex 8: Format for verification of pre-selected CoE proposal......................................................................................34

The following documents will be made available to the pre-selected CoE applicant immediately after the decision on pre-selection and at the beginning of the negotiation phase:..................................................................34

Annex 9: Procurement Plan Draft Format.................................................................................................................................34

Annex 11: Payment schedule and reporting requirements...............................................................................................34

Annex 12: Summary of procurement rules, procedures and methods.........................................................................34

Annex 13: Procurement of goods through the "shopping method"...............................................................................34

Annex 14: Procurement of works through the "shopping method"..............................................................................34

Annex 15: Procurement of individual consulting services................................................................................................34

Annexes 16a and 16b: Format of Order and Receipt for delivery of goods/works/services through "small procurement" methods..................................................................................................................................................................... 34

The following documents will be made available to the selected CoE applicant after the negotiations are completed:............................................................................................................................................................................................... 34

Annex 10: Centre of Excellence Grant Contract......................................................................................................................34

Annex 17: Bi-annual Progress Report Format (narrative)................................................................................................34

Annex 18: Bi-annual Progress Report Format (financial)..................................................................................................34

Annex 19: Form for CoE Grant Project monitoring...............................................................................................................34



Annex 20: Format for requesting modifications in project implementation.............................................................34

Annex 21: Environmental Management Framework...........................................................................................................35



ACRONYMS

CoE Centre of Excellence

CfS Council for Science

EA Environmental Assessment

EIA Environmental Impact Assessment

EMF Environmental Management Framework

EMP Environmental Management Plan

FEC Final Evaluation Committee

GoM Government of Montenegro

GOM Grant Operations Manual

HERIC Higher Education And Research for Innovation and Competitiveness Project

IBRD International Bank for Reconstruction and Development

IPIE International Project Implementation Experts

ISPR International Scientific Peer Reviewer

IT Information Technology

MoE Ministry of Education of Montenegro

MoF Ministry of Finance of Montenegro

MoS Ministry of Science of Montenegro

PDO Project Development Objective

PMT Project Management Team

R&D Research and Development

TSU Technical Services Unit



1.0 Purposes of these Guidelines

The purpose of the Guidelines for applicants for preparing an application for a Pilot Centre of excellence (CoE) is as follows:

i. To provide information to Montenegrin researchers about the purpose of piloting the CoE, objectives of the pilot CoE Program and eligibility criteria for application;

ii. To provide details on the overall process of awarding the status of pilot CoE and implementation of the CoE Grant, including legal, managerial, administrative and financial obligations of all parties involved;

iii. To provide details to prospective CoE grant applicants on application procedures in order to be proficient in using the forms when preparing the application/proposal;

iv. To provide guidelines for: (i) call for applications/proposals, (ii) reviewing/evaluation and selection of applications/proposals, (iii) contracting for pilot CoE grant, (iv) CoE grant implementation, (v) finance, management and administration and (vi) reporting for the CoE.

2.0 Higher Education and Research for Innovation and Competitiveness (HERIC) Project

2.1 Background

An important mechanism for increasing the competitiveness of the Montenegrin economy encompasses improvements in the quality and efficiency of higher education and strengthening the links between research, innovation and business.

Strengthening the human capital and research infrastructure capacities is a pre-requisite for effective participation in the EU framework programs and for integration into the European Research Area. The HERIC Project is an important instrument for promoting large-scale improvements in Montenegro’s higher education and research sectors and it will contribute to creation of strong links between businesses and universities.

2.2 Overview of HERIC project

The Government of Montenegro implements, through the Ministry of Science and Ministry of Education the Higher Education and Research for Innovation and Competitiveness Project with the support of the World Bank loan.

The HERIC Project supports initiatives to ensure that innovation becomes a pillar of development of the dynamic and relevant higher education environment and that the universities and public and private enterprises benefit from playing a more active role in R&D efforts and technology transfer opportunities. The Project Development Objective (PDO) is to strengthen the quality and relevance1 of higher education and research in Montenegro through reforming the higher education finance and quality assurance systems and by strengthening R&D capabilities.A grant for establishing a CoE, will be allocated through the HERIC project and thus contribute to accomplishment of one of the most important strategic goals in the science in Montenegro. Namely, the HERIC Project Component 3 – "Establishing a Competitive Research Environment" – will support, inter alia, establishment of the first CoE in Montenegro as a pilot for future centres. It is a core component of the Amendments to

1 For this project, relevance is understood to be the utility of the outputs of higher education for its stakeholders and to the local, regional, and international contexts in which the stakeholders operate.



the Strategy for Scientific Research Activities of Montenegro (2012-2016), and it is articulated in the Law on Scientific Research Activities (“Official Gazette of Montenegro”, no 80/10).

2.3 Objectives and anticipated results of the CoE Program

A Centre of Excellence is defined as a scientific research institution or group of researchers which has, by the originality, significance or actuality of achieved results in the scientific research activity in the period of five years, realised the highest level of and internationally recognised outputs in its area of science2. It should be established in a scientific field that has strong potential for strengthening the economy of Montenegro e.g. by contributing to the competitiveness of existing companies or by helping to provide the basis for the creation of new companies in Montenegro (spinouts and start-ups). CoE needs to have established strong connection between knowledge, research and innovation, i.e. strong connection between research and industry, and to have focused research programs which include interdisciplinary topics and stimulate the creation of a new generation of talents in science and technology. To improve sustainability, the CoE needs to have clear plans to attract external financing through the commercialization of knowledge and intellectual property, provision of technical services, and access to EU and international funds.

The CoE Program aims to join the scientific and professional potential in Montenegro so as to contribute to the development of a knowledge based society that strives to be competitive in the EU market.

The establishment of the pilot CoE, will help to upgrade Montenegro’s science and technology institutional system and infrastructure in areas where the scientific and economic potentials are esteemed highest. Montenegro will focus on the following priority areas: Energy, ICT, Medicine and Health, Sustainable Development and Tourism and Agriculture and Food.

The CoE will be expected to enhance the quality and relevance of R&D outputs and increase cooperation with the private sector and foreign research institutions.

The CoE Grant Program supports and encourages a development that results in competitiveness on an international level. This should include support for scientific excellence and the development of improved education and training for researchers in order to make Montenegro a desirable place for top scientists and researchers from abroad (including those from Diaspora).

3.0 Overview of the CoE pilot scheme including eligibility and assessment criteria

3.1 Purpose

The purpose of CoE grant is to support the piloting Centre of Excellence. The pilot CoE will amplify scientific and economic resources through a large and impactful research and development project.

3.2 Objectives:

The pilot CoE must meet the following objectives:i) Foster an interdisciplinary approach to the research. This must be ensured by involving at least two national Registered Scientific Research Institutions (RSRI). There

2 Article 21 of the Law on Scientific Research Activity, 2010______________________________________________________________________ 7

– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –


is no limit to the maximum number of SRIs who may collaborate to implement a CoE. However, the title of Pilot CoE will only be awarded to the Lead (“Host”) partner. The Host will be the largest supplier of scientific staff to the Centre, and is expected to provide appropriate premises and other infrastructure.

ii) Nurture collaboration with international research institutions. This must be achieved by including at least one international recognised Research Institution.

iii) Ensure cooperation with the private sector in Montenegro or abroad. This must be achieved by including at least one domestic or international commercial partner.

iv) Demonstrate a strong potential to generate commercial innovation through the commercialization of knowledge and intellectual property.

3.3 Eligibility of participants

The Centre must be established and Hosted in a Registered Montenegrin Scientific Research Institution (RSRI). The pilot CoE is a new instrument for development of the scientific research system which may be established as a new legal entity.

International research partners must be recognised by a comparable registration process in their own country.

Commercial partners can be domestic or international commercial entities.

3.4 Gender equality

The Government of Montenegro is committed to gender equality. Applications are particularly encouraged from partnership seeking to appoint woman to senior management and research positions within the CoE.

3.5 Maximum size of Grant and implementation period

The maximum size of the grant may not exceed €3,704,000. There is no requirement to apply for the maximum award. Projects requesting lower levels of financial support will be equally considered.

The pilot CoE will be selected through a competitive Call. This commences in the second quarter of 2013. Implementation must be completed within a 3 year period.

3.6 Mandatory project evaluation and scoring criteria

The process begins with screening of proposals' administrative and environmental completeness and compliance. All proposals that are deemed eligible are sent for further review. Projects will undergo two-stage evaluation by international experts.

Stage one evaluation will be performed on the basis of the criteria and marking scheme below.

Mandatory evaluation schemeMaximum

scoring

1. Originality and innovativeness of the proposed research project and its alignment with the aims and objectives of the COE program

30

2. Quality of the proposed Partnership, Management structure, Implementation and Budget Plan

35

3. Competency of the Management team and Scientific excellence of the 20



research team

4. Impact and valorisation of the project results 15

All project proposals scoring 70 or more points will be considered for the second-stage evaluation.A second stage evaluation will focus on the feasibility of implementation and the balance and appropriateness of fund allocation.

3.7 Role and responsibilities

The Host is responsible for enforcing a Partnership Agreement and any associated General Terms and Conditions for research and development projects. A Board of Directors of the CoE will represent the partnership participants according to the provisions of the Partnership Agreement. The Board should comprise senior representatives of all named project partners e.g. RSRI deans, organisation directors or senior managers.

The Board of Directors will report regularly to the Steering Committee (SC) of the HERIC project.

The Centre must have strong and defined top-level management with a high degree of scientific and administrative autonomy and a satisfactory administrative support system from the Host.

The Scientific Director must have the total coefficients3 greater than 25 for the last ten years depending on the expertise of his or her scientific field.

A Key researcher must have the sum of the coefficients3 above 15 in the past ten years depending on the expertise of his or her scientific field.

The Ministry of Science will provide support for all necessary activities in the process of preparation of proposals and supervise and monitor the implementation of the Pilot CoE project. Various sections of the Guidelines for applicants below elaborate upon the information presented in this synopsis.

4.0 Target participants and activities

i. The Centre must be established and hosted in a Registered Montenegrin Scientific Research Institution (RSRI).

ii. The Host will be the largest supplier of scientific staff, appropriate premises and other infrastructure needed for the successful implementation of the project.

iii. The Host must be able to demonstrate a successful track record in the previous implementation of scientific research projects. Applications from RSRIs which do not

3 Professional capacities will be assessed and determined according to the provisions of "T he rulebook on the conditions for the approval and the methods for the usage of funds from the budget of Montenegro for the programs of general interest - national and international science and research projects, and the conditions to be met by the project manager, as well as the researchers engaged in the research team".All scientific results of project team members should be calculated and specified in project proposal using the values stated in article 16 of the Rulebook.



fulfil the obligations from previous projects financed by the MoS in last five years, will be declined.

iv. The Host will operate as the formal Grant applicant for CoE status and funding, and act as the Grant Beneficiary and project owner.

v. The Host must apply in partnership with at least one other RSRI who will be an active research partner in the project and whose proposed activities enable an interdisciplinary dimension to the research.

vi. The applicant must include an international scientific research partner registered in a similar way under their own national law schemes. The activities of such a partner should be defined in the project proposal and may include knowledge transfer in the form of optimum use of new equipment, setting up new activities related to education and training, exchange of researchers and commercialisation of research outputs.

vii. The partnership must also include national or international commercial partners to support the achievement of the stated aims and objectives of the project. The activities of such partners should be defined by the project proposal and related to the following research results: a new product or technology in production, programming system, variety, line, race, strain, a significant improvement of the existing products and technologies, a prototype, new methods, new genetic needs, microorganisms, access to the market; expertise and training in identification and protection of intellectual property; and commercialisation of research outputs.

viii. There is no limit to the maximum number of partners who may be included in a partnership.

ix. The applicant must provide a written guarantee for all partner contributions to the CoE that are envisaged for realisation (e.g. infrastructure, equipment, human resources or financial funds from potential donators), clearly demonstrating the contribution this involvement brings in terms of realising the aims and objectives of the CoE program. An example guarantee form can be found in Annex 4b. This information must be included in the section 2 of the project proposal.

x. An application which proposes either to further develop and/or expand an existing project or to start-up and implement a completely new project will be accepted for evaluation, that must clearly meet the defined objectives of the Pilot CoE Program.

5.0 Responsibilities of the main parties

5.1 Grant beneficiary (Host)

The Lead Partner (Host) will be defined as the Grant beneficiary and is responsible for financial management and procurement and for dealing with all other activities in connection with the grant, following procedures established in the Guidelines for applicants satisfactory to the MoS and the World Bank. The Grant beneficiary must be able to demonstrate adequate fiduciary capacity to comply with these procedures, as part of the selection process and is subject to the World Bank’s regular project supervisions. The responsibility of Grant beneficiary includes, among others, the following aspects: Elaboration of a proposal for obtaining the grant; Justifying the needs for achieving the purpose of the grant; When pre-selected for receiving a grant, negotiating the grant contract, including a

procurement plan, with the MoS;



Conducting site-specific Environmental Assessment (EA) and preparing Environmental Management Plan (EMP);

Developing partnership agreements between the grant beneficiary and other project participants;

Coordinating the work of all the partners according to the overall project plan and taking adequate steps to address any delays or deviations from the original plan;

Reporting regularly to the Steering Committee; Undertaking procurement under the grant, i.e. selecting suppliers of required goods,

works and services; Supervising contract performance; Making payments to suppliers, contractors and consultants and obtaining receipts

for such payments; Transferring funds to ensure that implementation of all partners’ activities are

realised without delay; Maintaining project records, including procurement records; Ensuring a sound financial management; Carrying out the CoE project in accordance with specific Environmental Assessment

and Environmental Management Plan; Facilitating monitoring and evaluation by the MoS and the World Bank; Resolving any issues affecting project implementation, including procurement; and Preparing the necessary periodical and final reports.

5.2 The Technical Services Unit (TSU) and Grants Officer

The TSU within the Ministry of Finance (MoF) has the fiduciary responsibilities of the HERIC Project. With regard to grants implementation, the TSU has some additional roles: (i) when the proposals are evaluated, they should provide an opinion as to whether the potential beneficiaries satisfy the minimum procurement capacity and financial management criteria defined in the Guidelines for applicants; and (ii) accept and approve periodic financial reports prepared by the beneficiary concerning the use of grant funds. It’s important to note that transfers of further grant instalments to beneficiary are subject to such approvals. The division of responsibilities for the grants is such that the financial management team in the TSU will process the transfers of funds and account for those transfers. At the same time, the responsible person in the Ministry of Science and the Grants Officer (as a member of the HERIC Project Management Team) are responsible for fiduciary oversight in the beneficiary's use of the grant, i.e. supervise the financial management and procurement activities of grantee. The responsible person in the Ministry of Science and the Grants Officer participate in review and evaluation of grant proposals, and are responsible for monitoring of physical and financial implementation of the project activities, as well as reviewing of narrative progress reports prepared by the grantee. The Grants Officer, supported by the responsible person from the MoS, is responsible for performing both the ex-ante and ex-post controls of the CoE grant, to confirm that project investments are adhering to the eligibility criteria. The Grants Officer in cooperation with responsible person in the Ministry of Science will also provide necessary support to the grantee.

5.3 Environmental Expert

The Environmental Expert (PMT staff) is responsible for the preliminary screening of the proposed CoE applications, for supporting the EA/EMP preparation and for reviewing, advising and overseeing compliance of CoE project activities with the Environmental Management Framework (EMF), specific Environmental Assessment (EA) and Environmental Management Plan (EMP). Progress monitoring on EMP ______________________________________________________________________ 11– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –


implementation will be performed at least twice per year (details given in Annex 21) and will be undertaken in close cooperation with the responsible individuals at the Ministry of Science.

6.0 Social and Environmental Safeguards

The HERIC Project is not associated with any social safeguard risk and so, no World Bank social safeguards are triggered. Additionally, it is classified as a World Bank Environmental Category “B” Project, which requires a partial Environmental Assessment (EA), but not a full-scale EIA.An EA evaluates a project’s potential environmental risks and impacts in its area of influence. Furthermore, it examines project alternatives and identifies ways of improving project selection, siting, planning, design, and implementation by preventing, minimizing, mitigating, or compensating for adverse environmental impacts and enhancing positive impacts. Finally, an EA recommends the process of mitigating and managing adverse environmental impacts throughout project implementation. The World Bank favours preventive measures over mitigation or compensatory measures, whenever feasible.The potential environmental impact of the CoE Grant project will be assessed through a screening procedure based on: The World Bank Environmental Assessment safeguard policy (OP/BP/GP 4.01 on

EA); The World Bank Pollution Prevention and Abatement Handbook (PPAH) and the

relevant laws and bylaws of the GoM, in particular the Waste Management Law (Official Gazette of Montenegro, No. 64/11), and the Law on Integrated Prevention and Pollution Control - IPPC (Official Gazette of the RM No 80/05).

The possible key environmental safeguard issues within CoE project activities are primarily related to: laboratory biosafety; pest management; laboratory or medical waste management; and potential environmental issues arising in connection with the possible rehabilitation

of laboratory space (existing building) or other facilities, which would be done through minor civil works.

An EMF is given in Annex 21 of the Guidelines for applicants, prepared to provide guidance to ensure compliance with World Bank and GoM environmental requirements.The lead Grant applicant must fill out an environmental screening checklist, which will point to environmental risks that the CoE project activities might provoke. The pre-selected Pilot CoE applicant will conduct site-specific EA to evaluate potential environmental impact of the project and develop a specific EMP. The EMP will identify and require implementation of mitigation measures recommended for the assessed adverse environmental impacts. In the case that the selected Pilot CoE involves minor civil works for renovation, a Checklist and EMP for Construction/Reconstruction (Civil Engineering) Works will be prepared. This will be directly usable and applicable in procurement documentation as an integral part of contract documents for civil works.Where GoM environmental legislation should provide insufficient safeguards, the CoE will comply with World Bank safeguard policies and procedures and with best international practice for laboratory safety, waste disposal and operating procedures. In addition to helping to develop Montenegro’s research and scientific capacity, this



project will help to introduce world class safety and environmental procedures and ensure that the facilities supported by the project serve as a model for other facilities.

7.0 Pilot CoE Application, Grant Process and Implementation

The application and grant process consists of six (6) main activities (each described more fully below): (1) call for applications, (2) preparation of proposals, (3) review and evaluation of applications, (4) negotiation, (5) award of the grant, and (6) implementation of the CoE grant contract.

7.1 Call for Applications

(See Annex 1 for key dates in the application cycle)

i. The Ministry of Science of Montenegro will prepare a Call for applications/proposals, including key dates, special technical/conceptual information and key administrative procedures.

ii. The Call will be available: (i) for download from the website of the Ministry of Science (www.mna.gov.me/rubrike/konkursi) and of the HERIC Project (www.heric.me), (ii) in one nationwide daily newspaper (advertised at least twice). The call for proposals is featured in Annex 2.

iii. MoS and HERIC PMT will organize a presentation meeting to research community.

iv. A minimum of 90 days will be provided from the date of publication of the Call for proposals until the deadline for submission of applications.

7.2 Preparation of Proposals

i. Institutions/research teams considering the development of a proposal and submission of an application may obtain a copy of the Guidelines for applicants and all other necessary information including the main forms to be completed. The Guidelines for applicants will be available for download from the website of the Ministry of Science of Montenegro (www.mna.gov.me) and on HERIC website (www.heric.me).

ii. Development of proposals will be the responsibility of interested institutions/research teams. During the proposal development period, clarifying information may be requested, in writing, by submission to the Grants Officer of the HERIC PMT through an e-mail. The Grants Office will consult with the appropriate focal point within the Ministry of Science and respond in writing through an e-mail.

7.3 Eligible costs

The grant will finance the following costs:

a. Purchase and maintenance of new laboratory and pilot plant equipment and facilities (the precise list of equipment will be determined in consultation with the FEC and MoS following the review of the equipment requisitions in the winning CoE application);

b. Purchase of modern information and communication technologies;c. Subscriptions to up-to-date electronic databases of scientific journals; d. Salaries for researchers, PhD students, post-doctoral students and

administrative staff at the CoE to conduct relevant research;e. Costs for visiting professors/researchers from abroad;


http://www.heric.me/

http://www.mna.gov.me/


http://www.mna.gov.me/rubrike/konkursi


f. Costs for involved researchers who will be part time employed to conduct relevant research (they will be involved as much as they have available time taking into consideration their current engagements and job position and involvement in other projects both national and international).Such rules should be applied ex-post (once contract awards are made).

g. Technical assistance and training to the management and staff of the new CoE to strengthen strategic areas (particularly project management, monitoring and evaluation, understanding and securing intellectual property rights, technology transfer activities and entrepreneurship promotion);

h. Development of partnerships with private sector and international research centres (e.g. organization of conferences and workshops in Montenegro or travel grants for Montenegrin scientists to attend similar events abroad);

i. Minor civil works for renovation of the building(s) that will house the CoE; j. Indirect/incidental costs (e.g. car rental, office supplies, miscellaneous

utilities, maintenance and spare parts, consumables, local transport and communication).

The allocation of funds must be well balanced.

The following budget structure is strongly recommended:

up to 30% of the overall budget for the salaries/honoraria for researchers conducting research and administrative staff employed in the CoE;

up to 10% of the overall budget for indirect/incidental costs.

A different budget structure will be considered if strong justification is made by the applicant through its project proposal. In this situation the budget will be strongly probed during the negotiation phase and both the opinion of the ISPRs and the FEC must be taken in consideration to find the budget proposal justifiable. Following clear support and recommendation from the evaluators and justification from the applicant, the first ranked candidate can get approval for deviation from the recommended structure.

The CoE will not be granted for specific activities that are dominant in terms of resource allocation e.g. investment in new equipment or salaries. Ensuring a balanced and appropriate allocation of funds will be the focus of the second stage evaluation.

7.4 Non eligible costs

The grant will not be awarded for standalone activities, from the list above (e.g. solely for purchase of the equipment, and similar). Grant funds may not be requested for activities that include, but are not limited to:

a. Mayor civil works – any new construction or large rehabilitation activities.b. Procurement of passenger/commercial vehicles.c. Purchase/lease of property.

7.5 Development of project proposals

i. The organization applying to host a Pilot CoE must develop a project proposal that clearly demonstrate how they will secure the commitment of all necessary partners and associated activities to ensure that the criteria for a CoE can be attained and demonstrated through associated verifiable indicators. In



particular, project proposals must show how the proposed CoE will meet the following objectives of the program:

1. Realise the highest level of impact and internationally recognised outputs in its area of science;

2. Strengthen the competitiveness of existing companies and establish a basis for the creation of new companies in Montenegro; and

3. Improve its sustainability through the commercialization of knowledge and intellectual property, provision of technical services, and access to EU and international funds.

Verifiable Indicators to measure progress of these objectives must be proposed using the format of Annex 3d. Applicants are free to develop their own indicators or to select some or all of those proposed in Annex 3d. However, indicator development should be holistic e.g. cover all four aspects of the project (research impact; internationalization; competitiveness; sustainability) and should address: outputs (immediate effect of an input e.g. number of applicants attending a training

course); results (the extent to which the inputs achieved the intended objectives or results

e.g. the level of research skills acquired by attending a training course); impact (long term effect of an action e.g. the effect on research excellence of post-

doctoral training programs).

The final set of indicators and targets will be established during negotiation phase.

The grant may be used for the following types and categories of projects:

Projects may be drawn from the following scientific fields: Energy, ICT, Medicine and Health, Sustainable Development and Tourism and Agriculture and Food.

Applications/proposals will be accepted either from institutions forming research teams that are proposing to start-up and implement a new project, or proposing to further develop and/or expand an existing project, that clearly meet the defined objectives of the Pilot CoE Program.

Proposals that are a continuation of an existing project must justify the added value and benefit of continuing the existing project under the new funding stream.

Proposals that are a modified version of a proposal submitted to other calls, either national or international, must indicate the title and target of the first application, explain the modifications and describe how the original reviewers’ comments have been addressed.

ii. Along with the Application Form (given in Annex 3a) each applicant must also fill out and submit the Environmental Screening Checklist (see Annex 21, Attachment I). In the development of application/proposal, CoE Grant funds may not be requested or planned to be used for activities for which a full Environmental Impact Assessment (EIA) is required, as per the Law on Environmental Impact Assessment, or other activities listed in section “Exclusions” in Annex 21.

iii. No less than 90 (ninety) calendar days (period of time between release of call and due date for submission of application/proposal) will be available for preparation of applications/proposals.

iv. It is recommended, but not mandatory, that every applicant prepares a Procurement Assessment (using the form given in Annex 4a) and include it in his grant proposal. The preparation and submission of the Self Assessment Form



will not be a criterion for the grant award. The procurement under a grant is the full responsibility of the beneficiary, but, however, grant applicants may have no solid experience in conducting procurement. This self assessment will enable the PMT and TSU to determine the extent of assistance to provide to the selected grant beneficiary in procurement.

7.6 Review and Evaluation of Applications and award of grant

Applications/proposals will undergo a four-stage review and evaluation process including: a) completeness and administrative/environmental compliance review, b) individual scientific evaluation, c) viability of implementation and comparative impact and d) final review and award determination. This process is outlined below and detailed in the sections that follow.

7.6.1 Administrative and environmental completeness and compliance

i. The PMT Grants Officer, together with a representative of the MoS, will perform initial screening of proposals' administrative and environmental completeness and compliance. If applicants fail to submit the requested information (Annex 5) it will mean the CoE proposal will no longer be considered for funding. The applicants may be requested to clarify/modify certain information and add what is missing in submitted documentation in order to avoid their possible disqualification in this initial phase due to some negligible administrative issues.

ii. A complete and administratively compliant application will conform to the following: Application/proposal is submitted on time; Requested grant amount is within defined limits; Application/proposal is complete (includes all requested information,

documents, chapters, sections, annexes, forms and signatures); Proposed CoE project falls into defined priority areas; Applicants meet eligibility criteria; Funds are not requested for non-eligible items (see chapters 7.4 and 7.5ii); Correct number of copies is submitted in the required language and manner.

iii. In parallel with the administrative checks the HERIC PMT Environmental Expert will conduct the preliminary screening of the applications/proposals and review the Environmental Screening Checklist to ensure compliance with the “Exclusions” Section in Annex 21, as well as to provide the information on possible necessity of submitting additional documentation according to Montenegrin legislation. If the Expert is of the opinion that certain documentation/permits will or might be obligatory for a concrete CoE project proposal and that it normally takes quite a lot of time to be obtained/regulated, then he/she may request the applicant to submit relevant documentation or to initiate a process of obtaining it in parallel with the further process of evaluation of proposals (i.e. before pre-selection), thus preventing possible delays in submitting environmental documentation further on. Otherwise, if the Expert is of the opinion that there is no (significant) risk of such kind of problems, i.e. of receiving a negative answer from the competent national authority regarding necessary permits, then the additional documentation/permits could be requested later on, after the applicant will has been pre-selected (see chapter 7.6.5).

Each grant application that meets eligibility, administrative and environmental compliance criteria will be individually remotely evaluated by at least two independent and unbiased International Scientific Peer Reviewers (ISPRs).



7.6.2 International Scientific Peer Review

The International Scientific Peer Reviewers (ISPR’s) are responsible for carrying out the scientific and financial evaluation of a single application. They should have skills and expertise from the specific scientific field in line with proposal. Each ISPR must have the highest standards of integrity, which preclude any questionable affiliation with applicants, including as an employee, consultant, relative, or political or business affiliate. Each candidate should disclose in advance any perceived, potential, or actual conflict of interest that can affect their objectivity.

ISPRs will be asked to remotely evaluate one proposal closely related to their field of expertise and to submit a written review using the template of Annex 7a. Each ISPR will prepare a report that both awards the application a merit based mark and also include a narrative section highlighting the strengths and weaknesses of the application and indicating any issues that might be clarified with an applicant at interview.

Each eligible proposal will be evaluated remotely by at least two (2) ISPRs according the rules stated in the Guidelines for applicants. Criteria for evaluating project proposals are:

1. Originality and innovativeness of the proposed research project and its alignment with the aims and objectives of the COE program;

2. Quality of the proposed Partnership, Management structure, Implementation and Budget Plan;

3. Competency of the Management team and Scientific excellence of the research team; and

4. Impact and valorisation of the project results.

7.6.3 Final Evaluation Committee (FEC)

The individual proposal reports, prepared remotely by the ISPRs will be examined and discussed by a Final Evaluation Committee (FEC) composed of International Project Implementation Experts (IPIEs) plus observers from MoS and HERIC.

The IPIEs are responsible for carrying out the final evaluation based on the individual summary reports of ISPR’s. They will agree a final ranking of the proposals taking into consideration aspects such as local economic conditions. Each IPIE must have the highest standards of integrity, which preclude any questionable affiliation with applicants, including as an employee, consultant, relative, or political or business affiliate. They should have skills and expertise in implementing or monitoring similar grant schemes with a primary objective to improve scientific excellence, competitiveness or innovation. The IPIEs will possess expertise in innovation, market trends and experience in project implementation in similar conditions to Montenegro. The FEC may request interviews with applicants to discuss the reports prepared by the ISPRs. The FEC will be composed of at least three (3) unbiased International Experts. They will meet in Montenegro in the presence of at least one representative of MoS and the HERIC Grants Officer. Both MoS and HERIC will act as moderators.

The consensus meeting, as well as agreeing the final ranking, will serve to develop further negotiation guidelines to be used by the MoS in negotiating the Grant Contract terms with the pre-selected applicant. The FEC will agree a final ranking of all the proposals and make recommendations to the Council for Science for the selection of the pilot CoE.



7.6.4 Review by the Council for Science (CfS)

The Council for Science will review the written reports and rankings submitted by the FEC. CfS will then prepare the final recommendation for the MoS which application to select for funding and awarding the status of the Pilot CoE based on the FECs’ recommendations. The CfS can only exceptionally modify the list submitted by the FEC. In such case, the CfS needs to provide sound and firm justification and rationale in the recommendation.

The Ministry of Science takes the final decision on awarding the status of the CoE.

All lead applicants to the CoE grant scheme will be informed accordingly about the outcomes of the selection process and they have a right to appeal.

7.6.5 Negotiation of the grant contract

An on-the-spot verification of the pre-selected applicant may be performed by representatives of MoS, Grants Officer and Environmental Expert in order to see if the situation on the spot complies with the information presented in the application and the documentation submitted. Information on the items to be verified (Annex 8) will be suggested by the ISPRs and FEC, but should be based also on the opinion of the MoS. The first-ranked applicant will conduct site-specific EA to evaluate potential environmental impact of the pre-selected CoE project and prepare the EA report with EMP. Following the control(s), the pre-selected applicant will be invited to enter into contract negotiations with the MoS. The purpose of these negotiations is to solve any ambiguities that emerged during evaluation and to obtain all possibly required revisions of the proposal. Negotiations may cover any scientific, technical, legal or financial aspects of the proposal, taking into account the comments from the ISPRs, FEC and the CfS. The scientific aspects would cover, in particular, revisions to the project plan and adjustments to it. The legal aspects would cover, in particular, review of any special contractual clauses or conditions required for the project. The financial aspects would cover negotiations of the amount and payment schedule of the CoE Grant contribution and revisions of financial plan. Environmental issues would also be discussed during those negotiations – the two parties should agree on the scope of the EA/EMP (mitigation measures, monitoring, etc.) additional environmental documentation/permits to be submitted as required by Montenegrin laws, and deadline for submission of the EA report with EMP and other requested documents. In the case that the selected project involves minor civil works for renovation, a Checklist and EMP for Construction/Reconstruction (Civil Engineering) Works will also be prepared during the phase of those negotiations and incorporated into the EA/EMP.

If the negotiations/revisions of the involved proposal are successfully concluded, a formal Decision will be made by the Ministry of Science approving the related CoE Grant funding. In the event of withdrawal of the pre-selected applicant or unsuccessful negotiations between the applicant and the MoS, the second-ranked applicant will be contacted to begin negotiations.

7.6.6 Award of the grant

A contract will be established, via discussions and negotiations, for the application/proposal selected for award of CoE Grant and should be signed not later than three (3) weeks after the final/official award of the CoE Grant by the MoS. Parties to the contract will be the MoS and the Grant Recipient (“Host”). The contract will establish the rights and obligations of the “Host” and in particular the arrangements for



the technical and financial implementation, eligibility of expenditure, as well as any rules regarding intellectual property rights that may be required.

7.6.7 Implementation of the CoE contract

The technical and administrative implementation of the project will be the responsibility of the Host. The overall grant administration will be defined in a Partnership Agreement and any General Terms and Conditions for research and development projects.

Subsequent to signing the Grant contract the Host must sign single partnership agreements with the team leader and all team members of each partner that will participate in the implementation of project (other institutions and firms), thus regulating their interrelations, and hence the project will begin. Signed partnership agreements have to be submitted to the MoS and it is a precondition for releasing the first payment tranche.

The agreements between the Host and each partner shall determine, in accordance with the contract, the conditions for implementing the research activities and the respective rights and obligations of the researcher and the Host, such as: Legal status and organizational characteristics of the parties forming CoE and

interdependence on the institutions; Level of involvement of Host and partners in managing the activities to be

undertaken by each partner and their timetable; Remuneration/payment arrangements; Contributions committed by the partners for successful realization of project

(contribution may be in infrastructure, equipment, human recourses or financial funds from potential donators).

Controlling mechanisms: financial, social, leadership and composition of the managing structures;

Intellectual Property Rights, in particular access to pre-existing know-how, ownership of new IP created during the project, protection of new IP, the use of knowledge, publicity and confidentiality.

The preparation of the agreements should begin as soon as possible after the receipt of the invitation to enter into negotiations.

8.0 Basic procedure and timing for the evaluation and final approval of proposal

i. Receiving of proposals (TSU);

ii. Eligibility check – reviewing formal compliance with call prepositions (HERIC PMT Grants Officer in cooperation with MoS, duration: 2 weeks);

In parallel, preliminary environmental screening of proposals and reviewing the Environmental Screening Checklist (PMT Environmental Expert);

iii. Individual evaluation of proposals (ISPRs, duration: 4 weeks);

iv. Reviewing evaluation reports and pre-selecting the proposal for financing (FEC, duration: 2 weeks);

v. Reviewing evaluation reports from FEC (CfS, duration 2 weeks);

vi. Additional negotiations about selected proposal (MoS and HERIC PMT, duration: 8 weeks);


Review and ranking by FEC (including recommendation for selection)

Administrative/Eligibility check

IneligibleEligible

Environmental screening

Non-compliantCompliant

Evaluation and rating of proposals by international scientific peer reviewers

Negotiations(including on-the-spot control)

Final decision and approval for award of grant

Rejected Rejected

Review of FEC’s report and ranking by the CfS (including final

recommendation for selection)

Final/official decision by the MoS on the project proposal to be pre-selected

for funding


In parallel, conducting site-specific Environmental Assessment and development of the Environmental Management Plan (pre-selected applicant);

vii. Final approval of application (MoS, duration: 1 week).

The entire period for the completion of the evaluation process from the closing of the call to the approval of proposal must not exceed ten months.

The overall evaluation process in summarised in the scheme below.

9.0 Procurement issues

The pre-selected applicant shall prepare a Procurement Plan (annex 9), which includes the items to be procured during the implementation of CoE project, and submit it for



approval to the MoS and TSU. If justifiable, Procurement Plan may be amended throughout the duration of the project, with approval of the MoS and TSU.The Host will be responsible for its procurement (financed in whole or in part from grant funds) of goods (e.g. pilot plant equipment and facilities), works (minor renovations) and non-consulting services (e.g. organization of conferences, seminars, workshops, etc.), as well as for selection of consultants following the procedures explained in this Guidelines for applicants, which is in accordance with: The World Bank’s "Guidelines: Procurement of Goods, Works, and Non-Consulting

Services Under IBRD Loans and IDA Credits & Grants by World Bank Borrowers" dated January 2011;

The World Bank’s "Guidelines: Selection and Employment of Consultants Under IBRD Loans and IDA Credits & Grants by World Bank Borrowers" dated January 2011;

For any procurement details possibly not covered by these Guidelines for applicants, the provisions of the above mentioned World Bank's Guidelines will be valid.

Written records and agreements will be kept of all selection and procurement processes. Through supervision missions of the World Bank a post review of procurement actions of the Grant Recipient will be carried out during the project cycle. Contractors, subcontractors and suppliers shall permit the World Bank, at its request, to inspect their accounts and records relating to the procurement and performance of the contract and to have said accounts and records audited by auditors appointed by the World Bank.

The procurement methods to be used by the Host are determined at the stage of Procurement Plan development. Which method would be used for procurement of particular goods, works and services depends on several factors, such as: cost estimation, type and quantity, complexity and scope, availability in local region etc. Thus, for procurement of goods, works and non-consulting services, the possible methods are: International Competitive Bidding (ICB); National Competitive Bidding (NCB); Shopping; Direct Contracting.

Methods of procurement of consultants’ services are: Quality and Cost-Based Selection (QCBS); Quality-based Selection (QBS); Selection under a Fixed Budget (FBS); Least-Cost Selection (LCS); Selection Based on Consultants’ Qualification (CQ); Single Source Selection of Consulting Firms (SSS); Selection of Individual Consultants (IC); Sole Source Procedures for the Selection of Individual Consultants.

If after a grant award, it is established during Grant Contract negotiations between the MoS and beneficiary that the beneficiary has experience in conducting purchases of goods, works and services, through its own purchasing practices, such beneficiary might be allowed to conduct its procurement through those commercial practices up to USD250,000 equivalent each, with no need to follow the procedures presented in the Guidelines for applicants.



Procurement of goods, works and non-consulting services during implementation of the CoE Grant project will be done through NCB or prudent Shopping method for purchases worth less than USD100,000 equivalent, while ICB method (bidding opportunities to be advertised both internationally and nationally) will be used for more expensive purchases. International bidders, if interested, should be allowed to participate in nationally advertised competitions for purchases worth less than USD100,000 equivalent.

Shopping is a procurement method where advertising is not required. Requests for quotation are sent directly to local and foreign (where applicable) suppliers, contractors, or service providers. The method is based on obtaining and comparing at least three price quotations, to assure competitive prices.

Direct contracting (single source) method could be used in justifiable circumstances and with prior approval from the World Bank.

Procurement of works (minor renovations) has to follow, among other, environmental guidelines for minor civil works given in Annex 21.

The method for selection of consultants is defined by the complexity of the job required and not by the value of the contract. However, all contracts over US$100,000 equivalent shall be selected on the basis of QCBS, while CQ based selection will be used for less expensive contracts for certain assignments under the project. Consultants may be hired under single/sole source contracts with the prior approval of the World Bank. Consulting services might be agreed under a Time-Based or Lump-Sum form of contract.

For the selection of an individual consultant/advisor, a minimum of three Curriculum Vitae (CVs) of experts in the field in which the advice is needed should be obtained and evaluated for the selection of the best candidate, except in cases where “single sourcing” is justified.

Grant Recipient may address the Grants Officer of the HERIC PMT who would provide adequate support and all necessary documents/forms.

More details of procurement rules, procedures, methods and forms are presented in Annexes 12, 13, 14, 15 and 16.

10.0 Grant Implementation

Grant implementation consists of several core processes, including: (i) planning, (ii) operations, (iii) administration and finance, and (iv) reporting.

Overall grant implementation is the responsibility of the Host. The MoS and the Host will endeavour to use their best efforts to address and solve problems that may arise during implementation of the project.

The contract will contain an agreed overall implementation plan for the full duration of the project together with its associated indicative financial plan. Governance and management plans will be essential to include in the budgets presented for evaluation. Contract will define how researchers, common shared resources such as equipment and large infrastructural facilities will be funded under the award. Supplementary awards for usage, such as equipment charges and other access, will be clarified to avoid double costing on awards.

A pre-financing (an advance payment) will be made at the start of the project. With the agreement of the HERIC Grants Officer and Ministry of Science, the overall implementation plan may be modified with written approval by the MoS and the



detailed plan will roll forward each year, as part of the reporting schedule. The form to be used when asking for a modification in the project activity is given in Annex 20. However, the overall objectives and principal deliverables, as set out in the contract, will not be expected to change during the lifetime of the project.

The Host may address the MoS and Grants Officer in order to obtain necessary explanation of procedures and documents/forms to be used.

During implementation, the Host will carry out technical aspects of the project and complete administration, finance and reporting tasks as described below, as well as environmental mitigation measures and monitoring program in accordance with the EA/EMP. The responsible person in the MoS and Grants Officer of the HERIC PMT will perform management and supervision of grant, which includes participation in monitoring of grant implementation and review of narrative progress reports prepared by the Host. The CoE Project proposal will have clearly defined specific monitoring arrangements including verifiable performance indicators and milestones against which progress and outcomes of the proposed activities can be assessed. These indicators and milestones will be agreed during negotiations between the MoS and the Host prior to signing the contract. A template for monitoring is given in annex 19.

At the completion of the project, a final report (accompanied by a financial statement and a financial report for the final period) will assess the success of the project against its agreed objectives. This final report will focus on outputs, results, outcomes (impact) and attainment of the agreed verifiable indicators that reflect the objectives of the CoE.

Upon receipt of final financial and narrative progress reports from the Host, the MoS shall initiate procedures to close-out the grant. Close-out procedures include approving all required reports, disbursing any outstanding grant payments, and ensuring that any unexpended grant funds are refunded to the MoS. All CoE Grant requirements remain in full force and effect until the Host receives a close-out letter from the MoS, indicating that all obligations have been satisfied. Such a close-out letter will normally be completed in 2 months unless there are unforeseen circumstances which might cause a delay.

11.0 Administration and Finance

11.1. Administration

i. Following the award of grant, the Host will implement the grant with due diligence and efficiency and in accordance with the terms and conditions of the contract.

ii. All participants in the CoE Project process (contractors, subcontractors and suppliers) shall permit the MoS and the World Bank, at its request, to inspect all their accounts, records and other documents relating to the CoE Project activities and to have said documentation audited. Financial records and any substantiated documents such as bills, invoices, receipts etc, and any other record pertinent to the grant project, shall be retained by the Host for a period of at least two years after the close of the project (if not foreseen by national fiscal regulation to be retained for a longer period).

iii. If the Host is required by local legislation to have an annual statutory audit, the Host should send to the TSU and the MoS a certified copy of the above mentioned annual audited financial statements, together with a certified copy of the audit opinion thereon, within one month of the completion of the audit. The cost of hiring such auditors by the Host may not be financed by the CoE Grant funds.



iv. The MoS retains the right to postpone or discontinue the grant activities if the implementation performance if the Host does not fulfil the contract provisions.

v. Delay or failure in the implementation of a contract for an approved grant due to mistakes, errors or negligence on the part of the Host will be taken into account in the assessment of awarding future CoE status to the same Host.

11.2. Finance

i. The CoE grant funds will flow directly to the Host, which shall have a separate bank account or sub-account of the existing account, opened solely for flows of funds under the grant

ii. All CoE Grant funds to be used to implement the grant awarded to the Host will be kept in a separate bank account established for the purpose of the project. The records and statements of the bank account will be available for review and inspection of the internal financial management review specialists of the HERIC PMT and the external audits.

iii. The use of CoE Grant funds will be in accordance with sound financial/accounting principles and records will be maintained by the Host for the use of all CoE Grant funds. Records shall include accurate, current and complete disclosure of the grant project income and expenditures and shall include documentation to substantiate all costs incurred by the grant project. Such maintenance of records will assist in periodic financial supervision as well as auditing, being available for review and inspection of the internal financial management review specialists of the HERIC PMT and the external audits. Financial audits of grant implementation will be conducted in accordance with International Standards on Auditing (ISA) as issued by the International Federation of Accountants (IFAC).

iv. The dynamics of fund transfers to the Host's account will be in multiple and regular tranches. Final financial terms and conditions of the grant transfers (number of tranches, amount of each tranche, timing of payments) will be negotiated and defined at the time of contract negotiations and subsequently stated/scheduled in the Grant Contract to be signed with the Host in relation to the approved grant. However, it is anticipated that the fund transfer pattern will be semi-annually and in advance.

v. Within thirty working days of grant award, the TSU will transfer up to 15% the first tranche to the bank account of the Host, provided that all partnership agreements (between the Host and its partners) are signed and submitted to the MoS for control . The remainder of the first tranche will follow based on successful approve of the procurement plan. In general, subsequent payments will be made semi-annually with their value determined depending by the nature and value of the project and reflecting the previous financial and written report and an approved procurement plan. The specific project plan will be described in the schedule (given in annex 3) to be submitted with the application form. Final adjustments will be made during negotiation phase. The anticipated payment schedule will be detailed in the contract accompanying the grant award.

vi. The final format of payment requests will be agreed with the MoS. Payment of individual tranches requires prior approval of periodic (semi-annual) narrative and financial reports prepared by the beneficiary concerning the use of grant funds and satisfactory physical and financial monitoring reports about the use of the previous tranche.



vii. A final tranche will be paid 6 months before the end of the project but 10% of this amount may be with-held and paid after the end of the project and once satisfactory reporting has been completed (financial and narrative). In all cases, the overall amount of the grant cannot exceed the amount requested at the time of project proposal.

viii. Unspent funds may accumulate in the account of the Host, but the grant tranches cannot be transferred while the amount of accumulated funds exceeds 40% of the value of the grant.

ix. The Host may reallocate funds between financial items, provided that proper notation is made in the financial and accounting records and subject to no more than 20% of the funds being reallocated. Prior written approval by the MoS is needed – adequate argumentation for such reallocation shall be provided to the MoS.

x. No grant funds shall be allocated for payments made for expenditures prior to the date of signature of the CoE Grant Contract.

xi. Funds may be expended on activities not included in the project/program application/proposal, subject to prior written approval of the HERIC PMT and MoS.

12.0 Reporting and monitoring

i. All reports should be prepared by the Host, in collaboration with the project partners, and should cover all project activities of the respective reporting period, including those executed by the Host and those executed by other partner organizations/institutions working together for the implementation of the CoE Grant project. All reports should be clearly and logically formulated.

ii. Narrative progress reports will be developed on a semi-annual basis by the Grant Recipient. An electronic copy and three (3) hard copies will be submitted to the HERIC PMT. The purpose is to report on progress in accordance with the plan for the project, to provide comprehensive information on realisation and achievement of project milestones for the related period and to identify and explain problems. A format for the narrative progress report is given in Annex 17.

iii. Semi-annual reports will be presented to the Steering Committee and may be shared with IPIEs prior to mid-term monitoring Missions.

iv. Financial reports will also be developed on a semi-annual basis by the Grant Recipient and an electronic copy and three (3) hard copies will be submitted to the HERIC PMT. The purpose of the reports is to show progress in disbursement of CoE Grant funds, and to serve as the basis for the next transfer of funds from the TSU to the Grant Recipient. Copies of the source documentation (i.e. invoices, receipts, etc.) for all expenditures shall accompany each financial report. A format for the financial report is given in Annex 18.

v. A mid-term monitoring mission by the IPIEs is envisioned with an on-site visit to determine and advise on any corrective action that is deemed necessary.

vi. An evaluation mission at end of the project by the IPIEs will also be permitted to evaluate the success of the project and to obtain feedback useful for further similar programs.

vii. The format of physical and financial reports may be modified at the request of Host, during negotiations with the MoS. The modified format would be valid only after the final approval by the World Bank.



viii. Reports shall be submitted not later than 10 days after the end of the period covered by such report. In the case of delay of reports’ submission, the Host should present written notification to the MoS and explain the reasons.

ix. The environmental monitoring and supervision reporting will be prepared by the Environmental Expert (PMT staff) twice per year, and will be submitted to the World Bank and the MoS for review and endorsement. The purpose is to report on compliance of the CoE Project activities with the EMF and specific EA/EMP.

13.0 Fraud and Corruption

The World Bank’s policy requires that all participants in the project activities (bidders, suppliers, contractors and their agents (whether declared or not), sub-contractors, sub-consultants, service providers or suppliers, and any personnel thereof) observe the highest standard of ethics during the procurement and execution of World Bank-financed contracts. In pursuance of this policy, the World Bank defines, for the purposes of this provision, the terms set forth below as follows:

“corrupt practice” is the offering, giving, receiving, or soliciting, directly or indirectly, of anything of value to influence improperly the actions of another party;

“fraudulent practice” is any act or omission, including a misrepresentation, that knowingly or recklessly misleads, or attempts to mislead, a party to obtain a financial or other benefit or to avoid an obligation;

“collusive practice” is an arrangement between two or more parties designed to achieve an improper purpose, including to influence improperly the actions of another party;

“coercive practice” is impairing or harming, or threatening to impair or harm, directly or indirectly, any party or the property of the party to influence improperly the actions of a party;

“obstructive practice” is:- deliberately destroying, falsifying, altering, or concealing of evidence material

to the investigation or making false statements to investigators in order to materially impede a World Bank investigation into allegations of a corrupt, fraudulent, coercive or collusive practice; and/or threatening, harassing or intimidating any party to prevent it from disclosing its knowledge of matters relevant to the investigation or from pursuing the investigation; or- act intended to materially impede the exercise of the World Bank’s inspection

and audit rights.

The World Bank will reject a proposal for award if it determines that the bidder recommended for award, or any of its personnel, or its agents, or its sub-consultants, sub-contractors, service providers, suppliers and/or their employees, has, directly or indirectly, engaged in corrupt, fraudulent, collusive, coercive, or obstructive practices in competing for the contract in question. In that case, the World Bank will sanction an organisation or individual, at any time, in accordance with the prevailing World Bank’s sanctions procedures, including by publicly declaring such organisation or individual ineligible, either indefinitely or for a stated period of time: (i) to be awarded a Bank-financed contract; and (ii) to be a nominated sub-contractor, consultant, supplier, or service provider of an otherwise eligible organisation being awarded a World Bank-financed contract.



Full list of Annexes

Annex 1: Key Dates for CoE Grant

Call for applications/proposals....................................... May 30, 2013

Due date for applications/proposals............................ September 20, 2013

Administrative/eligibility check completed………... October 4, 2013

Evaluation of applications/proposals conducted.... November 4, 2013

Review of evaluation reports and ranking completed.................................................................................. December 2, 2013

Ranking list announced publically................................. December 2013

Negotiation process completed....................................... February 2014

Final approval......................................................................... February 2014

Award of CoE Grant at the MoS....................................... February 2014

Contracts come into effect…………………………………. March 2014

Implementation period....................................................... March 2014 – March 2017



Annex 2: Call for Proposals

CALL FOR PROPOSALS

I Background

Ministry of Science of Montenegro (MoS) in partnership with the Ministry of Education and the World Bank implement the Higher Education and Research for Innovation and Competitiveness Project (HERIC) to harness the potential of Montenegro’s human capital through relevant investments in higher education and research, as well as in the context of sustainable and expansive economic development. The project goal is to provide the large-scale leverages needed to transform higher education and research into mainstream economic drivers for Montenegro. These efforts will support Montenegro to better connections with EU in the areas of science and research and enterprise and industrial policy.

Advancing towards this goal, Ministry of Science will focus on following: Accelerating and stimulating linkages between higher education institutions,

R&D centres, and private businesses at national and international levels, Promoting accessibility of scientists; Modernizing laboratory equipment for the needs of high quality scientific and

applied R&D; Stimulating technology commercialization and patenting activities.

In the framework of the HERIC project, through the Project Component 3 ("Establishing a Competitive Research Environment"), MoS will support researchers working in Registered Scientific Research Institutions (RSRI) to pilot a Centre of Excellence (CoE) project.

Montenegro expects to increase its competitiveness with regard to technological innovation and intensify spending on research and development (R&D), and stimulate new knowledge.

II Scope of Call for Proposal

The Ministry of Science invites licensed scientific research institutions to apply for a CoE grant by submitting a proposal for establishing a pilot CoE. Applications/proposals will be accepted from institutions forming research teams including at least one additional RSRI partner, international partner and partner from industry that are proposing to further develop and/or expand an existing project or start-up and implement a new project that must clearly meet the defined objectives of the Pilot CoE Program. The proposed CoE needs to unite the scientific, professional, managerial and infrastructural potential in Montenegro so as to contribute to development of the knowledge based society capable of cultivating innovation and provoke economic growth. In particular applicants are encouraged to apply with a large and impactful research and development project that clearly meets the following three main goals of a CoE:

Realise the highest level of internationally recognised outputs in its area of science;



Strengthen the competitiveness of existing companies and establish a basis for the creation of new companies in Montenegro; and

Improve its suitability through the commercialization of knowledge and intellectual property, provision of technical services, and access to EU and international funds.

III Application Process

1. Who can apply – Eligibility criteria:Proposals can only be submitted by a national registered scientific research institution. The main applicant (the “Host”) must apply with at least one or more partner national RSRI organizations, an international partner and a partner from the industry (domestic or international commercial entity). Applications that do not have this cooperation will be deemed ineligible.It should be clearly stated which RSRI entity represents the Host and takes legal responsibility for administering and implementing the project. Applications from institutions and project leaders that have not fulfilled contractual obligations from projects under scientific programs financed by Montenegrin budget in previous five years will not be accepted in this Call.

2. Duration and Funding:Status of the Pilot CoE will be awarded for the three years period, beginning from March 2014 up until March 2017 at the latest. The requested project budget should not exceed €3,704,000.

3. Application process:This Call for Proposals invites eligible groups of research entities to submit project proposals in the areas identified as the most prosperous for the Montenegrin economy. These are: Energy, ICT, Medicine and Health, Sustainable Development and Tourism and Agriculture and Food.The Centre must have strong and defined top-level management with a high degree of scientific and administrative autonomy and a satisfactory administrative support system from the Host.Only one proposal will be selected for the CoE.Project proposals must be submitted on the CoE Grant Application Form. At the same time, applicants must fill out and submit an environmental screening checklist. All eligible proposals will be evaluated in a two stage process, by international reviewers on the basis of specified criteria. The entity whose proposal is pre-selected will be invited to negotiate and to provide additional modifications to its proposal as needed. Additional information will be identified during the review and evaluation procedure. Technical assistance will be provided to modify the proposal.

4. Eligibility of individuals4:The proposed Scientific Director must have the total coefficients greater than 25 for the last ten years depending on the expertise of his or her scientific field.A CoE Key researcher must have the sum of the coefficients above 15 in the past ten years depending on the expertise of his or her scientific field.

4 To be assessed according to the Article 16 of "The rulebook on the conditions for the approval and the methods for the usage of funds from the budget of Montenegro for the programs of general interest - national and international science and research projects, and the conditions to be met by the project manager, as well as the researchers engaged in the research team".______________________________________________________________________ 29– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –


5. Criteria for evaluating project proposals:Criteria for evaluating project proposals are:

a) Originality and innovativeness of the project proposal and its alignment with the objectives of the CoE program;

b) Quality of proposed Partnership, Managment Structure, Implementation and Budget Plan;

c) Competency of the Management team and Scientific excellence of the research team ; and

d) Impact and valorisation of the project results.

Gender equality:The Government of Montenegro is committed to gender equality. Applications are particularly encouraged from partnership seeking to appoint woman to senior management and research positions within the CoE.

Submission of proposals:Proposals shall be submitted in the English language. In addition, the Project Abstract should be separately submitted in Montenegrin language – maximum three pages.

Submission Deadline: 20th of September 2013.

All necessary details (requirements, procedures, application forms etc) can be found on the website of the MoS (http://www.mna.gov.me) and website of HERIC (www.heric.me) and are given in the Guidelines for Applicants, which can be downloaded from those two websites.

Project proposals should be submitted both in printed version (3 copies) by post and in electronic form (pdf and word format) on CD to:

Ministarstvo finansija Crne Gore (Ministry of Finance of Montenegro)Technical Services UnitJovana Tomasevica bb81000 PodgoricaCrna Gora (Montenegro)

For the attention of: Mr. Zoran Mijovic(e-mail: [email protected])

Subject Line: Name of the Applicant Organisation – CoE Grant 2013/16

For further details please contact: Vladan PerazicHERIC Project Grants OfficerRimski trg 19; 81000 Podgorica; MontenegroTel: +382 20 23 45 77______________________________________________________________________ 30– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –

mailto:[email protected]


http://www.mna.gov.me/


Fax: +382 20 22 15 [email protected]


mailto:[email protected]


See separate WORD and Excel documents for:

Annex 3a: Application form.docx

Annex 3bi: CoE Management CV template.docx

Annex 3bii: CoE Researchers CV template.docx

Annex 3c: CoE Budget Plan.xlsx

Annex 3d: CoE Impact Indicators.xlsx



Annex 4a: Self-Assessment format (recommended, but not mandatory)

Project Title

Self-Assessment Questionnaire RegardingApplicant’s Capacity to Conduct Procurement

Name of BeneficiaryLegal statusNature of activityDescription of Organization

Number of Employees with brief description of their responsibilities

Brief description of beneficiary’s experience with purchase of goods, minor works and services

Nature and value of purchases during the last fiscal year

Who is responsible for procurement and for contract signature

Who provides technical and legal expertise for purchases

A description of sources of supply

Description of purchasing procedures and documents

How are recurrent items, such as office supplies, spare parts, etc., purchased

Does the Beneficiary have written procurement rulesNoYes (please describe)What kind of contract forms are used



Annex 4b: Example guarantee form

HERIC ProjectPilot Centre of Excellence

CONFIRMATION LETTER

This form must be filled-in and signed by the authorised representative of each legal entity participating in the project.

Legal entity:

Full Name: ……..Street: ……..PO Box: …….. Postal Code: ……… City: ……..Country: ……..

Authorised representative:

First Name: ……..Last Name: ……..Function: ……..

Declaration:

By submitting this application, as the authorised representative to commit the mentioned legal entity, I certify that:

Contibution (infrastructure, equipment, human resouses, other indirect costs) to support the Centre will be: ...................................

All necessary internal authorisations have been obtained in order to permit the legal entity I represent to submit this application.

All the information given in relation with this application are complete, accurate and correct.

The legal entity I represent is committed to participate in and cooperate within the project, as described in this application.

Signature and Seal

Date: ……Place: ……



The following internal documents do not form part of the Guidelines portfolio. They are listed for completeness and clarity only:

Annex 5: Format for initial screening of completeness and administrative compliance of proposal

Annex 6a Code of conduct for independent experts appointed as reviewers/evaluators

Annex 6b: IPR Draft Contract ISPR

Annex 6c: FEC Draft Contract IPIE

Annex 6d: Draft Appointment Letter for ISPR

Annex 6e: Draft Appointment Letter for FEC - IPIE

Annex 7a: Proposal Evaluation form to be used by Scientific Peer Reviewers

Annex 7b: Proposal ranking form to be used by Project Implementation Experts

Annex 8: Format for verification of pre-selected CoE proposal

The following documents will be made available to the pre-selected CoE applicant immediately after the decision on pre-selection and at the beginning of the negotiation phase:

Annex 9: Procurement Plan Draft Format

Annex 11: Payment schedule and reporting requirements

Annex 12: Summary of procurement rules, procedures and methods

Annex 13: Procurement of goods through the "shopping method"

Annex 14: Procurement of works through the "shopping method"

Annex 15: Procurement of individual consulting services

Annexes 16a and 16b: Format of Order and Receipt for delivery of goods/works/services through "small procurement" methods

The following documents will be made available to the selected CoE applicant after the negotiations are completed:

Annex 10: Centre of Excellence Grant Contract

Annex 17: Bi-annual Progress Report Format (narrative)

Annex 18: Bi-annual Progress Report Format (financial)

Annex 19: Form for CoE Grant Project monitoring

Annex 20: Format for requesting modifications in project implementation



Annex 21: Environmental Management Framework (EMF)

Environmental Management Framework (EMF) for the Pilot CoE Grant

The HERIC Project is classified as a World Bank Environmental Category “B” Project, which requires a partial environmental analysis, but not a full-scale Environmental Assessment. Potential environmental impacts of Category B projects are likely to be site specific and reversible through the application of appropriate mitigation and monitoring measures. Environmental Management Framework (EMF) for selecting and establishment the Pilot CoE is prepared to provide guidance to ensure compliance with World Bank and Montenegrin environmental requirements.

1. Main impact of the project

The key environmental safeguard issues associated with the Pilot CoE establishment are:

laboratory biosafety; pest management; laboratory or medical waste management; and potential environmental issues arising in connection with the possible

rehabilitation of laboratory or other facilities (minor civil works).

In addressing these environmental safeguard issues, all screening, monitoring and remedial measures will have to comply both with Montenegrin legislation and World Bank safeguard policies and procedures.

The Pilot Centre of Excellence is not expected to have any major environmental impact and is not expected to trigger World Bank Safeguard Policies related to Natural Habitats, Pest Management, Involuntary Resettlement, Indigenous People, Forests, Safety of Dams, Cultural Property, Projects in Disputed Areas or Projects on International Waterways (including aquifers). However, these issues are included in the project environmental screening checklist, so that any potential impacts can be identified and appropriate mitigation measures adopted. Since it is possible that funded research may involve agricultural productivity improvements (including pest management), the EMF provides guidance on the FAO Code of Conduct for Pesticides (Attachment VI).

Where Montenegrin legislation should provide insufficient safeguards, the CoE will comply with World Bank safeguard policies and procedures and with best international practice for laboratory safety, waste disposal and operating procedures. Existing Montenegrin laboratories may not currently comply with best international environmental and safety practices. Therefore, in addition to helping to develop Montenegro’s research and scientific capacity, this project will help to introduce world class safety and environmental procedures and ensure that those facilities supported by the project serve as a model for other facilities. (See Attachment V, International Best Practice in Safety of Research Laboratories).



2. Environmental Safeguards Procedure

Environmental Safeguards Procedure are made up of six steps listed below:

Screening and Exclusions Environmental Assessment and EMP Preparation Disclosure and Public Consultation Review and Approval Conditionality Monitoring and Reporting

Screening

The purpose of environmental screening is to determine the environment risk associated with the proposed CoE, classify applications by environmental categories, reject applications which are unacceptable and conduct Environmental Assessment for selected CoE.

Environmental Screening Checklist filled in by the applicant will be required for every CoE grant application/proposal and will be a part of a grant application (Attachment I).

Under the World Bank system, activities will be categorized in accordance with the following three screening categories.

Category I (Low Risk): grant activities whose environmental impacts are expected to be negligible, for which no environmental evaluation will be required, corresponding to a World Bank Category C. Category I activities have no further environmental assessment requirements.

Category II (Intermediate Risk): grant activities with impacts that can be readily identified and standard preventative and/or remedial measures can be prescribed without a full EIA as per the Law on Environmental Impact Assessment. Mitigating measures are standard, readily identified, and would be carried out by the beneficiary as a condition of the sub-project. This category corresponds to World Bank Category B and requires a partial Environmental Assessment(EA) and Environmental Management Plan ( EMP) .

Category III (Not Eligible for Financing): activities which may have potential and highly significant or irreversible environmental impacts, for which a full Environmental Impact Assessment is required, corresponding to World Bank Category A. In addition, activities which involve resettlement or land acquisition, any type of new construction or rehabilitation activities, as well as those that include activities on the World Bank Group-International Finance Corporation (IFC) Exclusion List (given in Attachment II) are not eligible for financing.

The applicant will be responsible for ensuring that all of the adequate documentation has been submitted if/when needed and filed, including: (a) all of the Montenegrin EA documentation; (b) official approvals for the documentation from responsible authorities for protection of environment, and (c) copies of the environmental permit. The applicants will be responsible to meet all of the legally prescribed requirements and



to submit proof of doing so – through the documentation listed above. The incomplete applications will not be considered for financing.

The HERIC Environmental Expert is responsible for the preliminary screening of the proposed CoE applications, or for checking the screening questionnaire already filled in by the applicants to ensure compliance with the criteria listed below (Exclusions). The Ministry of Science of Montenegro (MoS) does not bear any liability for information that may be untruthfully and intentionally provided by the applicants.

Exclusions

The project will not finance:

Any activities which would have an irreversible and substantial environmental impact, or correspond to a World Bank Category A project. This means that the Project will not finance activities for which a Full Environmental Impact Assessment is required as per the Montenegrin Law on Environmental Impact Assessment.

Any activities which involve land acquisition or any form of resettlement; Projects involving the: involuntary taking of land resulting in relocation or loss of

shelter; loss of assets or access to assets; loss of income sources or means of livelihood;

Projects involving the involuntary restriction of access to legally designated parks and protected areas;

Any of the activities listed in the World Bank Group – IFC Exclusion List given in Attachment II;

Construction and large rehabilitation activities, including any wholesale construction of new facilities or comprehensive renovations of existing structures that require extensive external construction works, except for very small refurbishment or renovation activities.

Environmental Assessment and EMP Preparation

The selected Pilot CoE applicant is responsible for conducting site-specific Environmental Assessment (EA) to evaluate potential environmental impact of the project. The output of the EA process will be the EA report with specific Environmental Management Plan (EMP) consisting of the set of mitigation, monitoring and institutional measures to be taken to eliminate adverse environmental and social impacts, offset them, or reduce them to acceptable level. The selected Pilot CoE can hire an independent consultant to prepare the EA report with the EMP. The HERIC Environmental Expert will support the CoE applicant in proper EA/EMP preparation, or assist the independent consultant by preparing the Terms of Reference (ToR) for EA/EMP and requirements for the consulting team, if needed. Sample EMP for Centre of Excellence is given in Attachment III.

If a Request for an Environmental Permit was prepared by the applicant to meet Montenegrin Environmental Assessment requirements, this documentation should be used to prepare the EA/EMP to insure, as a minimum, consistency in terms of: (a) identifying the same priority environmental issues, mitigating measures and implementing responsibility, (b) monitoring program, (c) institutional arrangements for environmental management.______________________________________________________________________ 38– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –


Environmental guidelines for minor civil works

In the case that the selected Pilot CoE involves minor civil works for renovation, Checklist and EMP for Minor Civil Works will be required (Attachment IV) and incorporated into the EA/EMP. It provides “pragmatic good practice” and it is designed to be use friendly and compatible with WB safeguard requirements. The checklist-type format attempts to cover typical mitigation approaches to common civil works contracts with localized impacts. The Checklist and EMP will be directly usable and applicable in bidding documents as an integral part of contract documents for civil works. The Checklist and EMP has three sections:

Part 1 constitutes a descriptive part (“site passport”) that describes the project specifics in terms of site location, the institutional and legislative aspects, the need for a capacity building program and description of the public consultation process.

Part 2 includes the environmental and social screening in a simple Yes/No format followed by mitigation measures for any given activity.

Part 3 is a monitoring plan for activities during project preparation, implementation and supervision. It retains the same format required for standard WB EMPs.

Part 2 and Part 3 will be included in the bidding documents of the contractors.

The CoE grant applicant is responsible to prepare and adopt the Checklist and EMP for Minor Civil Works with support of the HERIC Environmental Expert.

Disclosure and Public Consultation

The CoE grant recipient is responsible for disclosing the EA report with the EMP (both the draft EA/EMP used for consultations and the final EA/EMP revised following comments received during consultations) in a public place (library, municipal or government building etc.) near the project site and on the enterprise website, and place a notification in the local media (e.g. newspaper) as to where the EA/EMP may be viewed, with a suitable feedback mechanism in place for comments or queries (both on-line and hard copy).

The final version of the EA/EMP will contain an Annex on the public consultations, to include:

Manner in which notification of the consultation was announced: media(s) used, date(s), description or copy of the announcement

Date(s) consultation(s) was (were) held Location(s) consultation(s) was (were) held Who was specifically invited (Name, Organization or Occupation, Telephone/Fax/e-

mail number/address (home and/or office)) List of Attendees (Name, organization or occupation, contact details) Meeting Agenda Summary Meeting Minutes (Comments, Questions and Response by Presenters) List of decisions reached, and any actions agreed upon with schedules, deadlines and

responsibilities.



Within the HERIC Project the grant funds will be provided for innovation purposes. Innovation and technological development are very sensitive issues with regards to disclosure of details related to the processes and activities involved. As such, the CoE grant recipient reserves the right to abbreviate the EA/EMP in a manner where information disclosed will not disclose any of the confidential information related to the innovation process itself but will sufficiently explain how the financed activities will mitigate any of the associated environmental impacts.

Review and Approval

The HERIC Environmental Expert is responsible for supporting the EA/EMP preparation and for review and approval of the final EA report with EMP. The Ministry of Science of Montenegro (MoS) does not bear any liability for information that may be untruthfully and intentionally provided by the applicant.

Conditionality

The MoS will include CoE grant recipient commitment to implement the requirements set forth in the EA/EMP into the grant contract. The CoE grant recipient will be required to show best effort to ensure that the funded activity is carried out with attention to good environmental management. The CoE grant recipient will be held responsible for all mitigation measures and monitoring program that have been listed in the EMP.

Monitoring and Reporting

As part of normal monitoring activities the MoS and the PMT Environmental Expert will perform desk and field-based monitoring functions to assure compliance by the CoE grant recipient with overall and environmental obligations specified in the grant contract. The performance reports will contain details on supervision of potential environmental impacts and report on implementation of EMP. Through this report, the MoS and PMT Environmental Expert will verify whether or not environmental requirements as detailed in the grant contract have been met. If requirements have not been met, the MoS will provide recommendations for further action to insure compliance. Depending on the severity of a compliance failure, the MoS may terminate the project financing.



ATTACHMENT I

SCREENING CHECKLIST(TO BE COMPLETED BY ALL CoE CANDIDATES)

Name of Project (Reference number):City/Municipality:Name of applicant: Contact:

ENVIRONMENTAL AND SOCIAL CHECKLIST QUESTIONNAIRE(must be filled out and filed for every application)

CRITERIA YES NODoes the proposed activity require a FULL Environmental Impact Assessment as per the Montenegrin Law on Environmental Impact Assessment (list of projects for which full EIA is mandatory)? If yes, this activity cannot be financed.Does the existing enterprise have valid operating permit, licenses, approvals etc.? If not, please explain. Permits to screen for include: construction permit, operational/use permit, urbanistic permit, water management permit…

If not, will the grant financing be used to correct this condition?Does the existing enterprise have a valid environmental permit (or is in the procedure of obtaining an environmental permit as per the Montenegrin laws) and does the proposed activity fall under those for which this permit was issued?Does the existing enterprise have a valid water management permit that calls for special investments or measures for the enterprise’s wastewater releases (or is in the procedure of obtaining this permit as per the Montenegrin laws)?Does the existing enterprise need to follow specific Montenegrin environmental regulations regarding air emissions, water use or wastewater discharge and solid waste management?Are there any significant outstanding environmental fees, fines or penalties or any other environmental liabilities (e.g. pending legal proceedings involving environmental issues etc.)If so, will the grant financing be used to correct this condition and please explain?

Have there been any complaints raised by local affected people or groups or NGOs regarding conditions at the facility?If so, will the grant financing be used to remedy these complaints?

Proposed ActivityWill the activity generate water effluents (wastewater) that may require special treatment, control or the water management permit?Will the activity air emissions which would require special controls in order to ensure compliance with the Montenegrin standards?Will the activity generate noise levels that would require control measures to ensure compliance with the Montenegrin standards?Will the noise levels impact particularly sensitive receptors (natural habitats, hospitals, schools, local population centres)?Will the activity consume, use or store, produce hazardous materials (including



pesticides) that:

require special permits or licenses require licensed or trained personnel are outlawed or banned in EU or Western countries are difficult, expensive, or hard to manage are inconsistent with PPAH recommendations may cause soil and water pollution or health hazards if adequate control

measures are not in placeWill the activity generate solid waste that may be considered hazardous, difficult to manage, or may be beyond the scope of regular household waste?

(This may include, but not be limited too, animal carcasses, toxic materials, pesticides, medical waste, cleaning materials, flammables etc.)Will the activity be located within or close to natural areas, officially protected areas or areas under consideration by the Government for official protection status? And will the activity potentially impact areas of known significance to local, regional or national cultural heritage?Will the activity involve import of living organisms, e.g. saplings, insects, animals, etc. or works that can impact sensitive environmental receptors?Has the local population or any NGOs expressed concern about the proposed activity’s environmental aspects or expressed opposition?Is there any other aspect of the activity that would – through normal operations or under special conditions – cause a risk or have an impact on the environment, the population or could be considered as a nuisance?

The applicant, in signing this form states that the grant activity will not involve land acquisition, any form of construction, or will promote any activities on the IFC exclusion list. In addition, the applicant is aware of the EIA requirements as per Montenegrin Law and certifies that there are no Full Environmental Impact Assessment reports required.


Form filled out by (Applicant):Date:

Name:Title:Sign:

Stamp:

Form checked by (Independent Evironemental Expert):

Date:Name:

Title:Sign:


ATTACHMENT II

IFC Exclusion List

Production or trade in any product or activity deemed illegal under host country laws or regulations or international conventions and

agreements, or subject to international bans, such as pharmaceuticals, pesticides/herbicides, ozone depleting substances, polychlorinated biphenyls (PCBs), wildlife or products regulated under CITES

Production or trade in weapons or munitions Production or trade in alcoholic beverages (excluding beer and wine) Production or trade in tobacco Gambling, casinos, and equivalent enterprises Production or trade in radioactive materials (this does not apply to the

purchase of medical equipment, quality control (measurement) equipment and any equipment where the World Bank considers the radioactive source to be trivial and/or adequately shielded).

Production or trade in unbounded asbestos fibers. This does not apply to purchase and use of bonded asbestos cement sheeting where the asbestos content is less than 20%.

Drift net fishing in the marine environment using nets in excess of 2.5 km in length

Production or activities involving harmful or exploitive forms of forced labor/harmful child labor

Commercial logging operations for use in primary tropical moist forest Production or trade in wood or other forestry products other than from

sustainably managed forests Production, trade, storage, or transport of significant volumes of

hazardous chemicals, or commercial scale usage of hazardous chemicals (includes gasoline, kerosene, and other petroleum products)

Production or activities that impinge on the lands owned, or claimed under adjudication, by indigenous people, without full documented consent of such people



ATTACHMENT III

Sample Environmental Management Plan for Centre of Excellence

Possible Environmental

IssuesMitigation Measures Monitoring Strategy and

Contingency Measures

1. Air Emissions Lab staff will be provided with information and training on methods to minimize air emissions.

Procurement of equipment which is ODS free (refrigerator, A/C, fire extinguisher, etc.) and proper servicing of ODS containing equipment.

List of hazardous air pollutant sources and emissions and category will be provided to the laboratory.

A list of actual and potential emissions in the lab (fumes foods, stacks vents, etc.) will be prepared.

Biannual exposure assessment of air pollutants will be developed.

Periodic verification of control systems will be undertaken

Records of emissions will be kept and reviewed periodically by Bank supervision team and any other relevant authorities. It will be responsibility of EMS In charge for annual certification.

Regular inspection and maintenance of ventilation system.

2. Waste Water Discharges

A comprehensive listing of sources and location of wastewater discharge will be prepared and maintained.

Appropriate operating procedure will be undertaken for minimization of wastewater (such as neutralizing predisposal treatment, etc.)

On-site septic tank systems or appropriate waste water treatment system depending on the waste water characteristics will be encouraged for implementation. After proper treatment waste water will be discharged in to existing municipal sewer line.

Lab personnel will be trained in minimization and management of wastewater discharges.

Periodic maintenance will be undertaken of the sewer system.

Periodic testing of lab procedures will be carried out to ensure compliance with regulatory measures.

Regular training will be provided to ensure waste minimization.

3. Hazardous Waste

Different types of hazardous waste stream such as unused chemicals, spent solvents, etc. will be identified for appropriate collection,

Biannual assessment will be undertaken for hazardous waste.

4 times/year periodic



transportation and disposal system.

Special segregation and disposal method will be adopted for used lead acid batteries and alkaline batteries

Training and awareness program will be imparted to laboratory staff for safe handling of hazardous waste.

Waste minimization procedure will be developed and followed.

medical surveillance will be conducted for all employees.

Records of waste generation and disposal will be kept and reviewed on regular basis by the laboratory.

4. Radioactive Waste

Radioactive waste will be identified, segregated and managed in accordance with current regulations and the facility radioactive materials and waste management plan.

Staff training on the radioactive materials and waste management plan carried out at least 2 times/year

Regular assessment and monitoring in accordance with the facility radioactive materials and waste management plan.

Plan updated annually, or when new relevant technologies or practices are introduced.

Once per year periodic medical surveillance will be conducted for all employees.

Records of waste generation and disposal will be kept and reviewed on regular basis by the laboratory.

5. Handling of Hazardous Chemicals

Required precautionary measures (such as hand gloves, masks and apron) as per manufacturer requirements/recommendations for handling different types of chemicals to minimize potential chemical exposure when working with hazardous chemicals.

Appropriate labels for all hazardous chemicals, e.g. flammable and combustible material, oxidizing material, poisonous material, for clear identification of risks and precautionary measures to be taken.

Selection use and maintenance matrix for personal protective equipment will be developed for preventing direct contact with corrosives, carcinogens and irritants.

During reconstruction of proper ventilation/exhaust system will be designed to avoid exposure to vapors

Periodic personal exposure assessment will be undertaken for chemicals. Simultaneously, periodic medical surveillance program will be undertaken for all employees.

Periodic visual inspection of all labels, symbols and signs will be designed, followed and recorded by the laboratory.

Compliance with regulatory measure will be undertaken by the Laboratory in charge.

Periodic maintenance and validation schedule will be prepared for checking effectiveness of the engineering control



and fumes of hazardous chemical.

Appropriate radiation protection devices will be procured and used to work with radioactive chemicals.

Suitable spill containment procedure will be developed for different types of hazardous chemicals.

Training on First Aid measures will be organized to all employees.

Training on handling of hazardous chemicals will be provided to the laboratory staff. ‘Train the trainers’ program will be undertaken.

devices mitigation measures.

Records of all incidents/events related to handling of hazardous chemicals will be kept and reviewed periodically by the lab.

6. Storage of Hazardous Chemicals

Procedure for segregation of chemicals will be developed and followed according to chemical classes and compatibility criteria.

Minimum inventory storage procedure of every hazardous chemical will be prepared.

Proper storage criteria for flammable, combustible and volatile chemicals will be identified. Filled and empty chemical containers will be segregated accordingly.

During reconstruction proper ventilation/exhaust system will be designed to avoid exposure to vapors and fumes of hazardous chemical.

Training program will be organized on proper storage and health effect for all employees.

Periodic inspection criteria and regular visual inspection schedule to be developed and implemented.

Periodic review will be carried out to procure safer alternatives for highly toxic, carcinogenic, reactive or mutagenic material. If available.

Periodic checks will be done of the ventilation system by the lab.

7. Disposal of Hazardous Chemicals

Hazardous chemical/waste will be segregated at source and treated appropriately and stored in separate container.

Appropriate waste management system will be defined.

Lab personnel will be trained in proper waste management procedures.

Periodic monitoring of waste treatment and disposable procedures will be done by the local environmental protection authorities (TBC).



8. Fire and Explosion

Proper selection and installation of fire fighting equipment in effective locations will need to be implemented. Required new technology (smoke sensors, thermocouple, and fire alarms, as required) will be installed.

Periodic inspection of fire prevention equipment will be established.

Emergency response plan will be upgraded periodically.

9. Sustainable Practices

Water conservation measures will be taken to reduce water consumption.

Minimum energy utilization measures will be implemented.

Laboratory employees will be education and motivated in energy and water management practices.

An energy and water inspection will be carried out to identify current equipment use and associated cost by the laboratory in cooperation with the local authorities.



ATTACHMENT IV

Sample Checklist and EMP for Minor Civil Works

PART 1: INSTITUTIONAL & ADMINISTRATIVE Country

Project title Scope of project and

activityInstitutional

arrangements(Name and contacts)

WB (Project Team

Leader)

Project Management Local Counterpart and/or Recipient

Implementation arrangements

(Name and contacts)

Safeguard Supervision

Local Counterpart Supervision

Local Inspectorate Supervision

Contactor

SITE DESCRIPTIONName of siteDescribe site location Attachment 1: Site Map [ ]Y [ ] NWho owns the land?Geographic descriptionLEGISLATIONIdentify national & local legislation & permits that apply to project activityPUBLIC CONSULTATIONIdentify when /where the public consultation process took placeINSTITUTIONAL CAPACITY BUILDINGWill there be any capacity building?

[ ] N or [ ]Y if Yes, Attachment 2 includes the capacity building program



PART 2: ENVIRONMENTAL /SOCIAL SCREENINGWill the site activity include/involve any of the following:

Activity Status Additional referencesA. Building rehabilitation [ ] Yes [ ] No See Section B belowB. New construction [ ] Yes [ ] No See Section B belowC. Individual wastewater treatment system [ ] Yes [ ] No See Section C belowD. Historic building(s) and districts [ ] Yes [ ] No See Section D belowE. Acquisition of land5 [ ] Yes [ ] No See Section E belowF. Hazardous or toxic materials6 [ ] Yes [ ] No See Section F belowG. Impacts on forests and/or protected areas [ ] Yes [ ] No See Section G belowH. Handling/management of medical waste [ ] Yes [ ] No See Section H belowI. Traffic and Pedestrian Safety [ ] Yes [ ] No See Section I below

ACTIVITY PARAMETER MITIGATION MEASURES CHECKLISTA. General Conditions

Notification and Worker Safety (a) The local construction and environment inspectorates and communities have been notified of upcoming activities(b) The public has been notified of the works through appropriate notification in the media and/or at publicly

accessible sites (including the site of the works)(c) All legally required permits have been acquired for construction and/or rehabilitation(d) All work will be carried out in a safe and disciplined manner designed to minimize impacts on neighboring

residents and environment.(e) Workers’ PPE will comply with international good practice (always hardhats, as needed masks and safety

glasses, harnesses and safety boots)(f) Appropriate signposting of the sites will inform workers of key rules and regulations to follow.

B. General Rehabilitation and /or Construction Activities

Air Quality (a) During interior demolition use debris-chutes above the first floor(b) Keep demolition debris in controlled area and spray with water mist to reduce debris dust(c) Suppress dust during pneumatic drilling/wall destruction by ongoing water spraying and/or installing dust screen

enclosures at site(d) Keep surrounding environment (side walks, roads) free of debris to minimize dust(e) There will be no open burning of construction/waste material at the site(f) There will be no excessive idling of construction vehicles at sites

Noise (a) Construction noise will be limited to restricted times agreed to in the permit(b) During operations the engine covers of generators, air compressors and other powered mechanical equipment

should be closed, and equipment placed as far away from residential areas as possibleWater Quality (a) The site will establish appropriate erosion and sediment control measures such as e.g. hay bales and/or silt

fences to prevent sediment from moving off site and causing excessive turbidity in nearby streams and rivers.Waste management (a) Waste collection and disposal pathways and sites will be identified for all major waste types expected from

demolition and construction activities.(b) Mineral construction and demolition wastes will be separated from general refuse, organic, liquid and chemical

wastes by on-site sorting and stored in appropriate containers.(c) Construction waste will be collected and disposed properly by licensed collectors

5 Land acquisitions includes displacement of people, change of livelihood encroachment on private property this is to land that is purchased/transferred and affects people who are living and/or squatters and/or operate a business (kiosks) on land that is being acquired. 6 Toxic / hazardous material includes and is not limited to asbestos, toxic paints, removal of lead paint, etc.

____________________________________________________________________________________________________________________ 49– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –


(d) The records of waste disposal will be maintained as proof for proper management as designed.(e) Whenever feasible the contractor will reuse and recycle appropriate and viable materials (except asbestos)

ACTIVITY PARAMETER MITIGATION MEASURES CHECKLISTC. Individual wastewater treatment system

Water Quality (a) The approach to handling sanitary wastes and wastewater from building sites (installation or reconstruction) must be approved by the local authorities

(b) Before being discharged into receiving waters, effluents from individual wastewater systems must be treated in order to meet the minimal quality criteria set out by national guidelines on effluent quality and wastewater treatment

(c) Monitoring of new wastewater systems (before/after) will be carried outD. Historic building(s)

Cultural Heritage (a) If the building is a designated historic structure, very close to such a structure, or located in a designated historic district, notify and obtain approval/permits from local authorities and address all construction activities in line with local and national legislation

(b) Ensure that provisions are put in place so that artifacts or other possible “chance finds” encountered in excavation or construction are noted, officials contacted, and works activities delayed or modified to account for such finds.

E. Acquisition of land

Land Acquisition Plan/Framework (a) If expropriation of land was not expected and is required, or if loss of access to income of legal or illegal users of land was not expected but may occur, that the bank task Team Leader is consulted.

(b) The approved Land Acquisition Plan/Framework (if required by the project) will be implementedF. Toxic Materials Asbestos management (a) If asbestos is located on the project site, mark clearly as hazardous material

(b) When possible the asbestos will be appropriately contained and sealed to minimize exposure(c) The asbestos prior to removal (if removal is necessary) will be treated with a wetting agent to minimize asbestos

dust(d) Asbestos will be handled and disposed by skilled & experienced professionals(e) If asbestos material is be stored temporarily, the wastes should be securely enclosed inside closed containments

and marked appropriately(f) The removed asbestos will not be reused

Toxic/hazardous waste management

(a) Temporarily storage on site of all hazardous or toxic substances will be in safe containers labeled with details of composition, properties and handling information

(b) The containers of hazardous substances should be placed in an leak-proof container to prevent spillage and leaching

(c) The wastes are transported by specially licensed carriers and disposed in a licensed facility.(d) Paints with toxic ingredients or solvents or lead-based paints will not be used

G. Affects forests and/or protected areas

Protection (a) All recognized natural habitats and protected areas in the immediate vicinity of the activity will not be damaged or exploited, all staff will be strictly prohibited from hunting, foraging, logging or other damaging activities.

(b) For large trees in the vicinity of the activity, mark and cordon off with a fence large tress and protect root system and avoid any damage to the trees

(c) Adjacent wetlands and streams will be protected, from construction site run-off, with appropriate erosion and sediment control feature to include by not limited to hay bales, silt fences

(d) There will be no unlicensed borrow pits, quarries or waste dumps in adjacent areas, especially not in protected areas.

ACTIVITY PARAMETER MITIGATION MEASURES CHECKLISTH. Disposal of medical waste

Infrastructure for medical waste management

(a) In compliance with national regulations the contractor will insure that newly constructed and/or rehabilitated health care facilities include sufficient infrastructure for medical waste handling and disposal; this includes and



not limited to: Special facilities for segregated healthcare waste (including soiled instruments “sharps”, and human tissue

or fluids) from other waste disposal; and Appropriate storage facilities for medical waste are in place; and If the activity includes facility-based treatment, appropriate disposal options are in place and operational

I Traffic and Pedestrian Safety

Direct or indirect hazards to public traffic and pedestrians by

construction activities

(b) In compliance with national regulations the contractor will insure that the construction site is properly secured and construction related traffic regulated. This includes but is not limited to Signposting, warning signs, barriers and traffic diversions: site will be clearly visible and the public warned

of all potential hazards Traffic management system and staff training, especially for site access and near-site heavy traffic.

Provision of safe passages and crossings for pedestrians where construction traffic interferes. Adjustment of working hours to local traffic patterns, e.g. avoiding major transport activities during rush

hours or times of livestock movement Active traffic management by trained and visible staff at the site, if required for safe and convenient

passage for the public. Ensuring safe and continuous access to office facilities, shops and residences during renovation activities, if

the buildings stay open for the public.



PART 3 ENVIRONMENTAL MANAGEMENT PLAN

PhaseWhat

(Is the parameter to be monitored?)

Where(Is the parameter to be monitored?)

How(Is the parameter to be monitored?)

When (Define the frequency / or continuous?)

Why(Is the parameter being monitored?)

Cost(if not included in project budget)

Who(Is responsible for monitoring?)

During activity preparation

During activity implementation

During activity supervision


ATTACHMENT V

International Best Practice in Safety of Research Laboratories

Procurement / Transport

Minimize acquisition / quantity of hazardous materials, minimize storage time needed

Identify mechanism of waste disposal before acquisition

For chemicals, have Material Safety Data Sheets (MSDSs) accessible/confine deliveries to areas that are equipped to handle them (and train relevant personnel)

Ensure container is intact and appropriately labeled (US regulations detail how hazardous materials have to be identified, packaged, marked, labeled, documented and placarded)

Transport in appropriate (secondary) containers

Use triple packaging system for infectious and potentially infectious substances

Adhere to international air transport regulations

Storage / Management

Inventory should have name as printed on the container

For chemicals: include molecular formula for further identification and to provide a simple means of searching chemicals; include CAS (Chemical Abstract Service) registry number for unambiguous identification of chemicals despite the use of different naming conventions

Source

Size of container

Hazard classification, as a guide to safe storage, handling, and disposal

Date of acquisition, to ensure that unstable chemicals are not stored beyond their useful life, and Storage location

Procedures

Dispose of materials anticipated to not be needed within a reasonable time frame

Use approved containers; make sure storage containers remain intact and sealed

Dispose of chemicals prior to expiration date, monitor reactive chemicals

Replace deteriorating labels before information is obscured or lost

Follow regulations for safe storage in stockroom or lab

Avoid storing chemicals on bench tops or lab hoods

Store volatile chemicals in ventilated cabinet (near hood)

If ventilation is not required, store in closable cabinet or on shelf with lip to prevent sliding

Do not expose stored chemicals to heat or direct sunlight


Observe all precautions regarding the storage of incompatible chemicals

Provide vented cabinets beneath hoods for storing hazardous materials

Use chemical storage refrigerators for storing chemicals

Have fire protection system (sprinklers)

Follow storage limits for flammable and combustible liquids

Restrict access to storage facility

Protocols / Facilities for Use in Research

Wear and use appropriate personal protection materials to minimize exposure

Wash hands

Reduce the possibility of creating splashes or aerosols

Contain in biological safety cabinets operations that generate aerosols

Use good housekeeping

Use mechanical pipetting devices

Promptly decontaminate work surfaces

Never eat, ring, smoke, handle contact lenses, apply cosmetics, or take medicine in the lab

Take special care when using sharps

Keep lab doors closed when experiments are in progress

Use secondary leak-proof containers to move or transfer cultures

Decontaminate infectious waste before disposal

Post appropriate warning signs

Mark emergency equipment, maintain it, inspect it; list telephone numbers to call in case of accident

Control access

For Radioisotopes

Use only in designated areas

Allow the presence of essential staff only

Use personal protective equipment

Monitor personal radiation exposures

Use spill trays lined with disposable absorbent materials

Limit radionuclide quantities

Shield radiation sources

Mark radiation containers with the radiation symbol, including radionuclide identity, activity, and assay date

Use radiation meters to monitor working areas, protective clothing, and hands after completion of work

Use appropriately shielded transport containers

Remove radioactive waste frequently from the working area

Maintain accurate records of use and disposal of radioactive materials



Screen dosimetry records for materials exceeding the dose limits

Establish and regularly exercise emergency response plans

In emergencies, assist injured persons first

Clean contaminated areas thoroughly

Write and keep incident reports

For Animal laboratories

Require good microbiological techniques

Establish policies and protocols for all operations and for access to vivarium

Establish appropriate medical surveillance program and supervision for staff

Prepare and adopt safety or operations manual

Post warning signs

Decontaminate work surfaces after use

Use appropriate biological safety cabinets or isolator cages; handle and decontaminate animal bedding and waste materials appropriately

Transport material for autoclaving or incineration safely, in closed containers

Treat, report, and record injuries

Training of Personnel

Employer develops Chemical Hygiene Plan containing (models available from U.S. government and from some professional societies)

Employee information and training about the hazards of chemicals in the work area:

o How to detect their presence or release

o Work practices and how to use protective equipment

o Emergency response procedures

Circumstances under which a lab operation requires prior approval from the institution

Standard operating procedures for work with hazardous chemicals

Criteria for use of control measures

Measures to ensure proper operation of fume hoods and other protective equipment

Provisions for additional employee protection for work with select carcinogens and toxins

Provisions for medical consultations and examinations for employees

Labs should establish their own safety groups at the department level (include students and support staff)

Labs should provide training in safety and waste management for all lab workers, including students in laboratory classes

Labs should incorporate institutionally supported lab and equipment ______________________________________________________________________ 55– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –


inspection programs into their overall health and safety programs

Review exit/evacuation routes

Know how to report fire, injury, chemical spill, or summon emergency response

Know first aid

Know location and use of emergency equipment such as safety showers and eyewashes

Know location and use of fire extinguishers and spill control equipment (have appropriate kits readily available)

Lab personnel should establish ongoing relationships and clear lines of communication with emergency response teams

Include information on safe methods for highly hazardous procedures commonly encountered by lab personnel that involve:

o Inhalation risks

o Ingestion risks

o Risks of percutaneous exposures

o Bites and scratches when handling animals

o Handling of blood and other potentially hazardous pathological materials

o Decontamination and disposal of infectious material

Segregation / Triage of Waste

Multihazardous waste – goal is reduction of waste to a waste that presents a single hazard.

Consider frequency and amount of waste generated; assess risk

Identify/characterize waste:

o Physical description

o Water reactivity

o Water solubility

o pH and possibly neutralization information

o ignitability/flammability

o presence of oxidizer

o presence of sulfides/cyanides

o presence of halogens

o presence of radioactive materials

o presence of biohazardous materials

o presence of toxic constituents

Minimize waste’s hazards

Determine options for management of hazards

If appropriate, take steps to neutralize waste or render it non-hazardous



When possible, select a single management option

Establish procedures for dealing with unstable waste, or waste that requires special storage or handling

Store safely:

o Designated room or facility modified to contain the waste (with ventilation and effluent trapping)

o Protect workers

o Minimize risk of fire or spill

o Minimize radiation levels outside of area

o Consider compatibility of materials being accumulated (e.g., aqueous and non-aqueous waste should be separated)

Give particular attention to the handling or cleaning of radioactive laboratory ware, and to the proper disposal of sharps.

o Non-contaminated (non-infectious) waste can be reused or recycled or disposed of as general waste

o Contaminated (infectious) sharps – collect in puncture-proof containers fitted with covers and treated as infectious; autoclave if appropriate

o Contaminated material for decontamination by autoclaving and thereafter washing and reuse or recycling

o Contaminated material for direct incineration

Disposal

No activity should begin unless a plan for the disposal of hazardous waste has been formulated

Use appropriate disposal method for each category of waste

Use appropriate containers

Label and securely close waste containers

Separate wastes as appropriate

For low level radioactive waste, options include

Storage time for decay and indefinite on site storage,

Burial at a low-level radioactive waste site,

Incineration, or

Sanitary sewer disposal

For biological waste, options include

Disinfection

Autoclaving

For liquids, disposal in sanitary sewer; putrescible waste disposed of by incineration; needles and sharps require destruction, typically by incineration or grinding



Collection and storage of waste

At satellite area near lab:

o should be clearly identified, ventilated if necessary

o determine whether to recycle, reuse, or dispose

o hold here for less than one year; when containment volume limits reached, move to central accumulation area – package appropriately

At central accumulation area:

o separate according to compatibility, commingle solvents when appropriate

o label clearly, store in appropriate containers

o limit storage time to 90 days

o (ensure that employees are trained to handle waste materials as well as contingency planning for emergencies)

o When transporting, make provisions for spill control in case of accident; have internal tracking system to follow movement of waste

o Ensure that all necessary records have been generated (Quantities and identification of waste generated and shipped; Documentation and analyses of unknown materials; Manifests for waste shipping as well as verification of waste disposal; Any other information required to ensure compliance and safety from long-term liability)

Disposal options:

o Incineration – is method of choice for most wastes, but is most expensive

o Normal trash – only where appropriate, must be clearly identified and appropriately labeled

o Sanitary sewer – not commonly used; solutions must be aqueous and biodegradable, or low toxicity inorganics – make sure sewer doesn’t drain into water supply inappropriate for waste disposal, and make sure waste is highly diluted

o Release to the atmosphere – not acceptable; fume hoods must have trapping devices to prevent discharge to atmosphere

If hazardous and non-hazardous wastes are mixed, entire waste volume must be treated as hazardous

Preparation for transport to a treatment, storage, and disposal facility (TSDF)

Waste generator must obtain assurance (in terms of documentation, permits, records) that provider is reliable

For infectious material

Decontaminate, autoclave, or incinerate in lab

Package appropriately (for incineration or for transfer to another facility for incineration)

Protect against hazards to others to those who might come in contact with discarded items



ATTACHMENT VI

FAO Code of Conduct and Technical Guidelines

If the CoE involves agricultural pest management, the organization would need to be guided by the FAO Code of Conduct.

The FAO has taken the lead among international organizations in promoting the safe use of agricultural pesticides and has adopted an International Code of Conduct on Distribution and Use of Pesticides (2002). First adopted in 1985, the Code establishes voluntary standards of conduct for all public and private entities engaged in, or associated with, the distribution and use of pesticides and serves as the globally accepted standard for pesticide management. The Code, in conjunction with its supplementary technical guidelines, has been instrumental in assisting countries to put in place or strengthen pesticide management systems. Revised in 2002, the Code embodies a modern approach, based on sound management of pesticides focusing on risk reduction, protection of human and environmental health, and support for sustainable agricultural development by using pesticides in an effective manner and applying IPM strategies. Among the technical guidelines to the Code of Conduct of possible relevance to HERIC are the following:

Guidelines on Good Practice for Ground Application of Pesticides (2001), which offer practical guidance (i.e. on decision-making, safety considerations, application procedures, etc.) to those involved in using pesticides for food and fibre production and recognizes that because pesticides may put people, other life forms and the environment at risk, the decision to use a pesticide should only be taken when all other alternative control measures have been fully considered.

Guidelines on Good Practice for Aerial Application of Pesticides (2001), which offer similar practical guidance (i.e. on decision-making, safety considerations, application procedures, etc.) to those involved in applying pesticides by air and again insist that a pesticide should only be used when other alternative control measures have been fully considered and its use is part of an integrated control program.

Guidelines on Organization and Operation of Training Schemes and Certification Procedures for Operators of Pesticide Application Equipment (2001), which provide a general framework outlining the need for training and assessment and confirmation of operator competence in order to improve the safety and efficiency of pesticides in farm use, recognizing that it is essential that those who apply pesticides be familiar, not only with the equipment they use, but also with the general principles of crop protection, IPM and the pesticides they apply.

The Code of Conduct, with its emphasis on risk reduction, promotes the use of less toxic pesticides; recommends the avoidance of pesticides whose handling and use require the use of personal protective equipment; and advises prohibition of the importation, sale and purchase of highly toxic and hazardous products, such as those included in the 2004 classification by the World Health Organization (WHO) of extremely hazardous (Ia) and highly hazardous (Ib) pesticides.



(see http://www.inchem.org/documents/pds/pdsother/class/pdf). The MoS will ensure that the project complies with the FAO Code of Conduct , particularly with respect to prohibiting the purchase or use of any extremely or highly hazardous pesticides identified by WHO.


http://www.inchem.org/documents/pds/pdsother/class/pdf

ministry of education and training - heric.me web viewministry of science of montenegro. ... the...

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