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Operational Programme Proposal
“Saving energy and promoting renewable energy sources”
within the framework of
Financial Mechanism of the European Economic Area
2009-2014
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1 Introduction ............................................................................................................................ 4
2 Legal framework ...................................................................................................................... 4
3 Programme proposal ............................................................................................................... 4
3.1 Executive summary .................................................................................................................. 4
3.2 Basic information ..................................................................................................................... 5
3.3 Relevance of the Programme ................................................................................................... 5
3.4 Programme motivation and justification .................................................................................. 6
3.4.1 Challenges and needs analysis ................................................................................................. 6
3.4.2 Public and private structures competent regarding the programme area ................................. 7
3.4.3 Legislation relevant to the Programme area............................................................................. 7
3.4.4 State aid and public procurement ............................................................................................ 8
3.4.5 Justification for the Programme strategy ................................................................................. 9
3.5 Programme objectives and indicators .................................................................................... 10
3.5.1 Programme objectives (expected impact) .............................................................................. 10
3.5.2 Programme expected outcomes ............................................................................................ 10
3.5.3 Expected programme outputs................................................................................................ 10
3.5.4 Indicators, verification and baseline values ............................................................................ 11
3.6 Target groups of the Programme ........................................................................................... 14
3.7 Risk and uncertainty .............................................................................................................. 14
3.8 Bilateral relations ................................................................................................................... 17
3.8.1 Donor programme partner(s) ................................................................................................. 17
3.8.2 Donor partnership projects .................................................................................................... 17
3.8.3 Donor state applicants ........................................................................................................... 18
3.9 Predefined projects ............................................................................................................... 18
3.10 Small grant schemes .............................................................................................................. 18
3.11 Cross cutting issues ................................................................................................................ 18
3.11.1 Good governance .................................................................................................................. 18
3.11.2 Environmental considerations................................................................................................ 19
3.11.3 Economic sustainability.......................................................................................................... 20
3.11.4 Social sustainability ................................................................................................................ 20
3.11.5 Gender equality ..................................................................................................................... 21
3.12 Project monitoring by the Programme Operator .................................................................... 21
3.13 Information and publicity....................................................................................................... 22
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3.14 Management ......................................................................................................................... 22
3.14.1 Management structure .......................................................................................................... 23
3.14.2 Timeline ................................................................................................................................. 24
3.14.3 Calls ....................................................................................................................................... 24
3.14.4 Selection of projects .............................................................................................................. 25
3.14.5 Financial management ........................................................................................................... 27
3.14.6 Modification of projects ......................................................................................................... 28
3.15 Budget ................................................................................................................................... 29
3.15.1 Budget headings .................................................................................................................... 29
3.15.2 Advance payments ................................................................................................................ 34
3.16 List of annexes required for the programme offer .................................................................. 34
3.17 Signatures .............................................................................................................................. 35
ANNEX NO. 1 ...................................................................................................................................... 35
ANNEX NO. 2 ...................................................................................................................................... 37
ANNEX NO. 3 ...................................................................................................................................... 46
ANNEX NO. 4 ...................................................................................................................................... 48
ANNEX NO. 5 ...................................................................................................................................... 52
ANNEX NO. 6 ...................................................................................................................................... 55
ANNEX NO. 7 ...................................................................................................................................... 58
STATISTICAL ATTACHEMENT ............................................................................................................... 66
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1 Introduction
The Operational Programme Saving energy and promoting renewable energy sources of the European Economic Area Financial Mechanism (the EEA FM) will be implemented within the framework of the EEA Financial Mechanism 2009-2014.
The proposal of this Operational Programme was prepared by the Programme Operator - the Ministry of the Environment (MŚ) with support from the National Fund for Environmental Protection and Water Management (NFOŚiGW)1 and submitted for approval by the Financial Mechanism Committee of the European Economic Area (FMC) by the Ministry of Regional Development acting as the National Focal Point (NFP).
2 Legal framework
The Programme proposal is in compliance with the following documents:
• Protocol 38b to the EEA Agreement of 13th January 2011,
• Regulation on the implementation of the European Economic Area (EEA) Financial Mechanism 2009-2014, confirmed by the Standing Committee of the EFTA States on 18 January 2011,
• Memorandum of Understanding (MoU) agreed between the Donor States (Iceland, The Principality of Liechtenstein and The Kingdom of Norway) on one hand, and the Beneficiary State (the Republic of Poland) on the other hand, signed on 17th June 2011.
3 Programme proposal
3.1 Executive summary
The scope of this Operational Programme is focused on promoting of energy efficiency through comprehensive thermal modernization projects including the exchange of obsolete sources of heating and promoting of renewable energy through projects which use renewable energy sources (RES).
The Operational Programme provides the implementation of the following types of investment and non-investment projects submitted by applicants under open call for proposals:
1. Local projects aimed at improving the energy efficiency of buildings, including thermal modernization2 of public utility buildings3, for the needs of: public administration, education, health or social care, upbringing, higher education, science, tourism and sport.
1 Under a separate framework agreement, tasks of Programme Operator will be divided between the Ministry of Environment and the National Fund for Environmental Protection and Water Management. 2 In a framework of thermal modernisation, the following works specified in the audit relevant to the energy
efficiency of buildings may be financed under FM EEA:
1. replacement or modernization of internal installations (heating and hot water); 2. building or modernization of installations: ventilation; 3. modernisation of the cooling system (air conditioning); 4. insulation of building’s partitions separating the heated parts from the external air, land and adjacent unheated
spaces; 5. replacement of windows and external doors; 6. installation of automation systems, regulation of: heat source, heat center, heating system, hot water system,
ventilation system, air conditioning systems; implementation of building management system in the scope of energy efficiency;
7. other works necessary to achieve rationally low and consistent with current legal requirements level of consumption of heat, cooling and electicity needed in building exploitation, including replacement of built-in lighting with energy saving one (as an additional task completed simultaneously with thermal modernization of buildings).
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2. Projects aming at modernization or replacement of existing sources4 suplying public utility buildings referred to in paragraph 1 with modern, energy-saving and ecological sources of heat or electricity with total nominal power up to 3 MW, including: derived from renewable energy sources or sources of heat and electricity produced in cogeneration.
3. Sources of heat or electricity using renewable energy sources referred to in paragraph 2 include:
• solar collectors of the area exceeding 100 sq.m. (also for blocks of flats);
• photovoltaic systems;
• installations using biogas;
• heating pumps;
• installations using energy from geothermal sources;
• biomass boilers; 4. Projects aming at installation5, modernization or replacement of heat centers with total nominal
power up to 3 MW suplying public utility buildings referred to in paragraph 1.
The Operational Programme also provides for the implementation of two predefined projects submitted by the Programme Operator. These projects aim at education and increase of public awareness in the scope of energy efficiency.
3.2 Basic information
Name of the Operational Programme: Saving energy and promoting renewable energy sources.
Names of programme areas defined in the Memorandum of Understanding EEA FM 2009-2014, concerning this Operational Programme:
• programme area no. 5 – Energy efficiency
• programme area no. 6 – Renewable energy
Name of the Programme Operator: Ministry of the Environment with support from the National Fund for Environmental Protection and Water Management based on separate framework agreement.
3.3 Relevance of the Programme
The overall objectives of the EEA FM 2009-2014, according to Art. 1.2 of the Regulations adopted by FMC consist in reduction of economic and social disparities with simultaneous saving of energy and promotion of renewable energy sources in the EEA, and strengthening of bilateral relations between Donor States and Beneficiary State. These objectives are completed through financial support of projects within the programme areas: Energy efficiency and renewable energy, to which the Operational Programme belongs.
Actions completed within the framework of the Operational Programme should be consistent with priorities, objectives and directions of the „State ecological policy from 2009 untill 2012 including the perspective untill 2016”, which are connected with the protection of natural resources and renewable energy sources (RES), and contribute (in the scope of aims predicted for such actions) to the implementation of the Environmental Policy of the Ministry of the Environment.
3 Projects implemented in public utility buildings, in which more than 15% of the total area is used for business activity or housing purposes, are not eligible for financial support within the Programme. Expenses connected to the area with the business activity or housing purposes reduce the amount of eligible costs proportionally to the percentage of this area in relation to the total area. 4 Including the possible replacement or rebuilding of obsolete local systems (from heat sources or electricity to
public utility buildings referred to in paragraph 1). 5 by joining the public utility buildings to collective heating network and elimination of existing sources of heat.
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Actions provided for implementation within the Operational Programme are consistent with EU and national legal regulations.
3.4 Programme motivation and justification
3.4.1 Challenges and needs analysis
With reference to the area included in the Operational Programme, the greatest challenge consists in improvement of energy efficiency in order to improve air quality and reduce emissions of greenhouse gases by minimisation of energy consumption in building industry and transport. The need to direct actions at efficient elimination of pollution sources rather then their effects, and thus the implementation of integrated actions, is clearly visible. Those actions result in reducing negative impacts on the environment and improvement of energy efficiency.
In accordance with the climate and energy package adopted by the European Parliament, the aim consisting in improving the energy efficiency by 20% should be achieved until 2020.
Consumption of energy in blocks of flats and commercial buildings is responsible for over 40% of greenhouse gases emission in Europe. By improving the energy efficiency it is possible to achieve a considerable reduction thereof.
Directive 2009/28/EC defines the aim of percentage of renewable energy in the final gross consumption at the level of at least 20% in 2020. Furthermore, in accordance with this directive, in the same year the percentage of RES in the transport sector should achieve 10%.
Therefore, an increase of production of energy from renewable energy sources as an alternative for fossil fuels, which means an increase in the role and significance of renewable energy sources in state energy balances, is equally important. This will decrease the production of greenhouse gases and enable diversification of energy supplies. The development of renewable energy shall in addition results in the increase in employment, creation of new workplaces and the development of trade, thus contributing to the development of the economy towards less depending on coal. Currently, only a small part of the state energy potential comes from renewable energy sources.
The financial support provided for in the Operational Programme will be available for the following: administrators of estate or owners of buildings, sources of heating or electricity, heat centres and installations, machines or equipment referred to in point 3.16 that include entities in the public finances sector or non-public entities implementing public tasks, and the Ministry of the Environment.
The Operational Programme is intended for projects which will be effected in the whole area of Poland.
Means intended for promotion of using renewable energy concern first and foremost the support in the scope of financing thereof.
Currently, the basic fund of support consists in using the resources from the NFOŚiGW and the provincial funds of the environmental protection and water management. Furthermore, one of the currently available investments financing instruments in RES are credits and loans, and subsidies for loans and credits with interest.
6 Buildings, sources of heating or power, district heating substations, installations, machines and equipment
referred to in item 3.1 are owned or managed by the same beneficiary as public utility buildings improved in the scope of energy efficiency.
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Means of promoting and supporting of renewable energy production in addition includes the Infrastructure and Environment Operational Programme where a number of actions are aimed at supporting the production of energy from RES.
Financial support for small investments is however based on the number of Regional Operational Programmes that define i.a. the level of financial support and the types of projects that may apply for subsidies.
As means partly intended for support of production from RES, realized on a local level, also could be mentioned the Rural Development Programme for 2007-2013. This document defines the aims, priorities and principles based on which actions will be defined and supported. The scope of financing includes i.a. production or distribution of renewable energy, in particular from water, geothermal energy, solar energy, biogas or biomass.
The support granted for Poland within the framework of the EEA FM 2009-2014 perfectly complements the need for financing in the mentioned scope, and the kinds of projects chosen for implementation are acknowledged as strongly included in national environmental priorities and constituting a significant contribution in the reduction of greenhouse gases emissions.
3.4.2 Public and private structures competent regarding the programme area
The development of alternative power industry and the increase of energy efficiency is determined to a great extent by decisions of central and local authorities.
At the central level there is no single authority totally responsible for promoting of unconventional energy sources development. Tasks in this scope are divided between the number of departments in several ministries.
In addition to the central level, also provincial authorities (provincial environmental protection departments, regional development departments and regional entities responsible for farming and agricultural training) should contribute to increasing of production and using the energy derived from unconventional sources.
Another role in the scope of supporting of alternative sources of energy and improvement of energy efficiency is fulfilled by local authorities that are district and local governments.
Private and non-governmental organizations (NGOs) also have an impact on the increase of energy efficiency and promoting of RES. The above-mentioned entities take part in meetings of the Selection Committee whose task consists in recommending projects for financial support under the EEA FM.
Detailed description of all institutions involved in the development of unconventional sources of energy is presented in Annex no. 7 to the Operational Programme.
3.4.3 Legislation relevant to the Programme area
Energy efficiency – programme area no. 5
• The Kyoto Protocol – supplementation of the United Nations Framework Convention on Climate Change and simultaneouslyan international agreement concerning the prevention of global warming. The treaty has been negotiated at the conference in Kyoto in December 1997;
EU law
• European Commission Communication entitled “Action Plan for Energy Efficiency: Realising the Potential” (COM(2006)0545);
• European Parliament resolution of January 31st, 2008 on an Action Plan for Energy Efficiency: Realising the Potential (2007/2106(INI));
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• Directive 2010/31/EU of the European Parliament and of the Council of May 19th, 2010 on the energy performance of buildings.
Polish law
• Construction Law Act of July 7th, 1994(Dz. U. z 2010 r. Nr 243, poz. 1623 with later amendments);
• Energy Law Act of April 10th, 1997 (Dz. U. z 2006 r. Nr 89, poz.625 (Dz. U. z 2006 r. Nr 89, poz.625 with later amendments);
• Environmental Protection Law Act of April 27th, 2001 (Dz. U. z 2008 r. Nr 25, poz.150 with later amendments);
• Supporting thermomodernisations and repairs Act of November 21st, 2008 (Dz. U. z 2008 r. Nr 223, poz. 1459 with later amendments);
• Energy efficiency Act of 15th, 2011 (Dz. U. z 2011 r. Nr 94, poz. 551);
• Regulation of the Minister of Infrastructure from April 12th, 2002 on technical conditions recuired from buildings and their locations (Dz.U. z 2002 r. Nr 75 poz. 690 with later amendments);
• Regulation of the Minister of Infrastructure from November 6th, 2008 on the methodology for calculating the energy performance of building and apartment or part of a building that constitutes a separate technical-utilitarian unit and the method of preparation and models of certificates of energy performance (Dz.U. z 2008 r. Nr 201 poz. 1240);
• Regulation of the Minister of Infrastructure from March 17th, 2009 on detailed scope and forms of energy audit and a part of repair audit, specimens of audit cards, and the algorithm of evaluation of profitability of thermomodernisation project (Journal of Laws 2009 No. 43 Item 346)
Renewable energy – programme area no. 6
EU law
• Art. 4 section 3 of the Directive 2009/28/EC of the European Parliament and of the Council of April 23rd, 2009 on the promotion of the use of energy from renewable sources and amending and subsequently repealing Directives 2001/77/EC and 2003/30/EC.
Polish law
• Energy Law Act of April 10th, 1997 (Dz. U. z 2006 r. Nr 89, poz.625 (Dz. U. z 2006 r. Nr 89, poz.625 with later amendments);
• Regulation of the Minister of Economy from August 14th, 2008 on detailed scope of obligations obtaining and presenting for redemption of certificates of origin, payments of fees, purchase of electricity and heat produced from renewable energy sources and the obligation of data confirmation on the amount of electricity produced from renewable energy sources (Dz.U. z 2008 r. Nr 156 poz. 969 ze zm.);
• Regulation of the Minister of Economy, Labour and Social Policy from May 30th, 2003 on the specific obligation to purchase electricity and heat from renewable energy sources and electricity produced in combination with heat production (Dz. U. z 2003 r. Nr 104, poz. 971).
Detailed discussion of this issue is included in Annex no. 7 to the Operational Programme.
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3.4.4 State aid and public procurement
State aid
If the granting under the Operational Programme within the framework of the EEA FM constitutes state aid, terms of eligibility for state aid are taken into consideration. Such terms are defined in national aid programmes relevant for particular purpose or directly in EU legal regulations (i.a. de minimis aid). In Poland, such document is the Regulation of the Minister of Environment dated January
16th
, 2008 on detailed terms of granting state aid for projects that are RES related investments which is valid until December 31st, 2012. Currently, the Ministry of Environment is preparing a new version of the regulation that include a broader thematic scope. If the granting of the planned aid require previous approval from the European Commission (which may occur under special circumstances), it will be necessary to notify this aid under art. 108 section 3 of the Treaty on the Functioning of the European Union.
Detailed discussion of this issue is included in Annex no. 7 to the Operational Programme.
Public procurement
The beneficiaries implementing projects co-financed within the framework of the EEA FM are obliged to apply all valid regulations of the EU, national and local law, and in particular public procurement law in accordance with regulations of the Act on public procurement law (Ppl) when under art. 3 of Ppl the Beneficiary is an entity obliged to apply thereof.
Beneficiaries who are released by law from conforming to the Ppl act will be obliged under the terms of the financial agreement signed with the Programme Operator to obey the fair competition rules and equal treatment of entities in the market in the scope of ordered services, goods, works accompanying the implementation of projects financed under the EEA FM.
Other information and detailed resolutions in the scope of public procurement are defined in art.7.16 of the Regulation and in Annex no. 7 to the Operational Programme.
3.4.5 Justification for the Programme strategy
The strategy which was chosen for the Operational Programme foresees the implementation of projects selected in open call for proposals, consisting in energy saving and promotion of RES constitutes the most efficient way to achieve the complex outcomes of the Operational Programme. Taking into consideration the time frames of the Operational Programme duration, one open call for proposals for investment and non-investment projects is foreseen. The Operational Programme provides also the implementation of two predefined projects.
Implementation of the adopted strategy of the Operational Programme by funding the best projects concerning the achievement of objectives and outcomes, such as thermal modernization works in public utility buildings, replacement of old and used heating sources with modern ones, i.a. using solar collectors or heat pumps, energy saving and ecologic sources of heating, including: derived from RES or sources of heating and electricity produced in cogeneration, will contribute to the improvement of the comfort of use of modernised buildings and increase in ecological awareness of inhabitants, and allows to eliminate problems identified below:
• high air pollution related to low efficiency of obsolete combustion sources;
• many of wrecked public utility buildings;
• large number of buildings requiring renovation, including thermal modernization;
• low level of energy produced from RES etc.
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Implementation of the strategy adopted in the Operational Programme, besides the reduction of environmental pollution, it will also let to reduce the economic expenses related to maintenance of public utility buildings and the amount of bills and fees for heating or hot water.
Projects financed under the Operational Programme will promote the complex solutions that contribute to improvement of energy efficiency by decrease in the electricity consumption, reduction of carbon dioxide emissions and other greenhouse gases.
3.5 Programme objectives and indicators
In accordance with Article 1.5 of Regulation, the Programme Operator has defined the objectives7, expected outcomes8 and outputs9 that are essential to identify the areas of support and types of projects under the Operational Programme10.
Therefore, precisely defined objectives, expected outcomes and outputs shall be crucial for selection of projects provided for financing from the resources of the EEA FM.
3.5.1 Programme objectives (expected impact)
Objectives of the Operational Programme include:
• Reduced emissions of greenhouse gasses and air pollutants;
• Increased share of renewable energy in energy use.
3.5.2 Programme expected outcomes
The following expected outcomes have been chosen for the needs of the Operational Programme:
For programme area 05 energy efficiency
Objective: Reduced emissions of greenhouse gasses and air pollutants
Expected outcomes:
• improved energy efficiency in buildings (PA 0501);
• increased awareness of and education in energy efficiency (PA 0505).
For programme area 06 renewable energy
Objective: Increased share of renewable energy in energy use:
Expected outcomes:
• increased renewable energy production (PA 0602);
3.5.3 Expected programme outputs
The following outputs have been chosen for the needs of the Operational Programme11.
Outcome: Improved energy efficiency in buildings.
Expected outputs:
• increase in the number of public utility buildings with thermal modernization;
7 In accordance with the definition included in chapter 2 of the Operational Programme Manual; 8 In accordance with the definition included in chapter 2 of the Operational Programme Manual;
9 In accordance with the definition included in chapter 2 of the Operational Programme Manual;
10 In accordance with the definition included in art. 1.5 of the Regulation on the implementation of the European
Economic Area Financial Mechanism 2009-2014; 11
Names of indicators may change after FMO publishes the list of normalised indicators for all programme areas of the EEA FM 2009-2014;
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• increase in the number of replaced/modernised heat sources;
• increase in the number of installed/modernised/replaced heat centers.
Outcome: Increased awareness of and education in energy efficiency
Expected outputs:
• completion of the nation-wide educational campaign on energy saving in households;
• completion of the nation-wide campaign on sustainable transport and increase in public awareness on the impact of abusing car transport on health, quality of living in the cities and the condition of environment in the cities;
• cooperation with cities within the ETZT campaign (European Mobility Week).
Outcome: Increased renewable energy production
Expected outputs:
• increased number of installed machines, equipment or installations using renewable energy;
• increased power of installed machines, equipment or installations using renewable energy.
3.5.4 Indicators, verification and baseline values
Indicators for expected programme outcomes:
No Outcome Indicator Description Indicator value Source of information
1 Improved energy efficiency in building
Estimated energy saved in MWh/year
Estimated decrease of energy consumption shall be measured in MWh/year.
Base value
Target value Annexes to the final report (e.g. registers of indications: calorimeters indications, electricity meters indications, invoices/bills for delivered fuel and electricity),
400 000
280 000
Estimated decrease or avoiding of emission of CO2
Estimated decrease or avoiding of emission of CO2
shall be measured in Mg/year
Base value
Target value Annexes to the final report (decrease of emissions, avoided emission, calculations in accordance with guidelines of the Programme Operator)
100 000
70 000
2 Increased awareness of and education in energy efficiency
Increase in the number of people from among target groups who are familiar with the concept and declare undertaking of activities in the scope of energy efficiency in their households
The number of people who declare the undertaking of activities in the scope of energy efficiency shall be measured by social studies.
Base value
Target value Reports from studies and their comparison to the survey previously conducted
Results of the survey from 2012
Increase against the sesults of
the survey from 2012
by 5%
3 Increased renewable energy production
Estimated avoiding of emission of CO2
Estimated avoiding of emission of CO2 shall be measured in Mg/year
Base value
Target value Annexes to the final report (decrease of emissions, avoided emission, calculations in accordance with guidance of the Programme Operator)
0 5 000
Estimated renewable energy production (heat and electricity) in MWh/year
Increase in the production of energy from renewable energy resources shall be measured in MWh/year
Base value
Target value Annexes to the final report (e.g. lists of indications: calorimeters, electricity meters or calculations in accordance with guidance of the Programme Operator) 0 15 000
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Indicators for programme outputs:
Outcome Output Output indicator Indicator value Description
Improved energy
efficiency in building
Increase in the number of public utility buildings with thermal modernization
Estimated number of buildings with thermal modernization [pieces]
Base value
Target value
Annexes to periodic applications for payment, final report (certificates of completion) 0 250
Increase in the number of replaced/modernised heat sources
Estimated number of replaced/modernised heat sources [pieces]
Base value
Target value
Annexes to periodic applications for payment, final report (certificates of completion) 0 50
Increase in the number of installed/modernised/replaced heat centres
Estimated umber of installed/modernised/replaced heat centres [pieces]
Base value
Target value
Annexes to periodic applications for payment, final report (certificates of completion) 0 50
Increased awareness of
and education in
energy efficiency
Completion of the nation-wide campaign on energy saving in households
Number of people who have become familiar with the campaign’s subject
Base value
Target value
Results of the survey
0 5 000 000
Completion of the nation-wide campaign concerning sustainable transport and increase in the public awareness on the impact of abusing car transport on health, quality of living in the cities and the condition of environment in the cities
Number of people who have become familiar with the campaign’s subject
Base value
Target value
Results of the survey
0 3 000 000
Cooperation with cities within the ETZT campaign
Number of cities in cooperation [pieces]
Base value
Target value
Annexes to periodic applications for payment, final report (e.g. certificates of completion, reports on cooperation)
0 40
Increased renewable energy production
Increased number of installed machines, equipment or installations using renewable energy
Number of installed machines, equipment or installations using renewable energy sources [pieces]
Base value
Target value
Annexes to periodic applications for payment, final report (certificates of completion) 0 2 000
Increased power of installed machines, equipment or installations using renewable energy
Power of installed machines, equipment or installations using renewable energy sources [MW]
Base value
Target value
Annexes to periodic applications for payment, final report (certificates of completion)
0 15
3.6 Target groups of the Programme
Table 2. Direct and indirect recipient groups
Programme outcomes Direct beneficiary Indirect beneficiary
For programme area 05 energy efficiency
Improved energy efficiency in buildings
Administrators of estate or owners of buildings, sources of heating or electricity, heat centres and installations, machines or equipment referred to in point 3.1 that include entities in the public finances sector or non-public entities implementing public tasks
Users of public utility buildings
Increased awareness of and education in energy efficiency
The Ministry of the Environment
Owners, tenants and lodgers of detached house and multiple dwellings and users of car transport other than public one
For programme area 06 renewable energy
Increased renewable energy production
Administrators of estate or owners of buildings, sources of heating or electricity, heat centres and installations, machines or equipment referred to in point 3.1 that include entities in the public finances sector or non-public entities implementing public tasks
Users of public utility buildings
3.7 Risk and uncertainty
Programme Operator identified and assesed relevant risk factors that may affect the achievement of the expected outcomes and outputs of the Operational Programme.
Table 3. Risk factors
Risk factor Risk analysis Risk mitigation plan
Late date of Operational Programme commencement
Might create a risk of postponing the date of applications and thus failure to complete larger and more complex projects before the date of final eligibility of costs
Dates of particular tasks related to the implementation of the EEA FM should be scheduled in such manner so that even postponing of individual items does not disable implementation of others on safe dates. The due date for applications should be optimally determined in order to provide enough time for signing of the agreement and the implementation of projects. On the other hand, the due date for applications should be distant enough from the announcement of recruitment so that the applicants have enough time to prepare an application.
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Too many submitted applications in relation to available financial resources
Evaluation of applications might require longer time and involvement of a larger number of people for their verification
Programme Operator shall appoint a larger number of people for the evaluation of applications. Applications with positive evaluation but receiving lower number of points will be placed on a reserve list. The reserve list shall be used only when there will be any free place in the basic list of projects approved for completion.
Too few applications submitted in relation to available financial resources
There is a risk that the whole amount of financing shall not be used
When the number of positively evaluated applications fails to guarantee absorption of the whole amount of available financing, Programme Operator shall announce supplementary open call for proposals.
Risk of underspending of allocation available under the Operational Programme
Might be caused by Beneficiary’s revaluation of project implementation costs at the stage of applications and financial agreements
In order to avoid the risk associated with underspending of allocation available under the Operational Programme, Programme Operator will provide verification of project budgets proposed by applicants at the stage of applications evaluation. In order to increase the level of use of resources available under the Operational Programme, Programme Operator will consider the possibility to increase the amount of financing for projects in the final phase of the Operational Programme implementation. Such situation is possible in the case of savings whose management shall not be possible through the financing of subsequent projects from the reserve list due to too small amount of savings at the Programme Operator’s disposal or too short time needed for implementation of new investments or due to lack of interest on the part of applicants from the reserve list.
Limited time for negotiation of financing terms and signing of financial agreements
Defining the terms of agreement and causing signing thereof requires cooperation between the Beneficiary and the Programme Operator
In order to cause signing of agreements with Beneficiaries in possibly short period of time a list of permitted and required indicators for particular priority areas should be previously agreed, and precise dates of submitting/verification of required documents should be determined
Exchange rate fluctuations (EUR)
Exchange rate fluctuations (EUR) might have an impact on the amount of resources that Beneficiaries will have to allocate for co-financing of projects implementation. Unfavourable
The risk of exchange rate fluctuations is independent of Beneficiaries and the Programme Operator. Increase in the amounts of financing may be applied for projects where beneficiaries were particularly adversely affected by currency
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exchange rate of Polish currency (zloty) in relation to EUR is risky in particular for the Beneficiary who has limited financing sources
fluctuations. A provision for losses on currency fluctuations shall be created.
Prolonging procedure of Beneficiary’s obtaining formal and legal documents under the building law, necessary for commencement of investment
It shall disable timely commencement of the project, and thus there will be a need to extend the date of project completion beyond the date of eligibility of costs
The risk of lack of formal and legal documents may be minimised by including with the application documents confirming commencement of procedure of obtaining thereof.
Prolonging process of selection of contractors of works/services for individual projects
For most projects, Beneficiaries shall be obliged to select contractors of works/services under public procurement. If there are protests or no satisfactory offers, the date of selection of contractors shall be extended, and what follows, commencement of the project shall be delayed.
The risk related to public procurement may be minimised by diligent preparing of Terms of Public Procurement
Adverse weather conditions, natural disasters and fortuitous events
Adverse weather conditions, natural disasters and fortuitous events i.a. fires may hold or delay projects implementation
The only way to minimise the impact of such element of risk on the achievement of objectives of particular projects and the Operational Programme consists in Beneficiary’s proper execution of agreements with works/services contractors by introducing regulations on the contractor declaration to fulfil the terms of the agreement until a defined date.
Administration related delays – reporting and financial settlement of individual projects
Financial settlement of the project and all reporting related to, first and foremost, verification of applications for indirect payments, and also to the procedure of changes in projects may cause delay of the time of project implementation beyond the final date of eligibility of costs
The risk of failure to meet the planned date of completion for individual projects will be reduced by adjusting the schedule of completion thereof to the new situation.
In addition to the risk factors defined by the Programme Operator, which are cruicial for the Operational Programme implementation, also risk factors on the part of the Beneficiaries and those accompanying implementing by them projects should be taken into consideration.
In order to control the risk that might occur at the project level, the Programme Operator will make all applicants obliged to provide the risk analysis at their level in their applications, and will subsequently make the Beneficiary obliged to report in periodic reports/project interim report on threats of a
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particular risk or on risk that occurred at the stage of the project implementation and on actions taken by the Beneficiary in order to limit or minimise effects thereof.
3.8 Bilateral relations
This Operational Programme was constructed in a way that makes it possible to accomplish the above-mentioned objectives at the project level through partnerships between Beneficiaries and entities located in the Donor States, declaring the willingness to participate in the project implementation and thus strengthen bilateral relations. Encouraging and making it easier to create such type of cooperation is a responsibility of the Programme Operator.
The following instrument is foreseen to create and develop this type of co-operation::
• Fund for bilateral relations at Programme level (1 % of allocation) – managed by the Programme Operator.
The striking up (establishment) of the partnership requires, in accordance with Art. 6.8 of Regulation, signing a partnership agreement, which shall be verified by the Programme Operator.
3.8.1 Donor programme partner(s)
Within the framework of the Operational Programme, partners from the Donor States at the programme level are not provided for.
3.8.2 Donor partnership projects
Under the Operational Programme, the Programme Operator provides for partnership at the project level between Beneficiaries and entities from the Donor States, declaring their willingness to take part in the implementation of Projects and provides assistance in forming the above mentioned partnerships at the project level.
Project partner may include a public or private, commercial or non-commercial entity, realising public interest, as well as non-governmental organisations whose main location is in the Donor State, beneficiary state or a country outside the EEA which borders with the relevant beneficiary state, or an intergovernmental organisation.
The role of the Programme Operator is to provide assistance to Beneficiaries in forming partnerships at the project level. For this purpose, the Programme Operator will establish the Bilateral Cooperation Fund under the Operational Programme aimed at promoting and supporting bilateral relations.
Resources allocated by for the Bilateral Cooperation Fund at the programme level will not be lower than 1 % of total eligible costs for the Operational Programme and will be provided for the following activities:
a) exchange of experience, knowledge, technology and best practice between Beneficiaries and organisations from Donor States.
Applications will be treated as submitted in partnership if the Beneficiary and the Partner from Donor State sign a partnership agreement on bilateral cooperation for the time of project implementation which should be submitted with the Programme Operator before financial agreement on project financing is signed.
Both the choice of the Partner for the Project, as well as services rendered by it or technology transfer should be implemented in accordance with current national and EU law, with particular reference to the relevant legal provisions on public procurement.
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3.8.3 Donor State applicants
Within the framework of the Operational Programme, applicants from Donor States are not provided for.
3.9 Predefined projects
Within the framework of the Operational Programme, the Programme Operator provides for two predefined projects submitted outside the contest.
• “The European Mobility Week”
• “Educational and promotional activities in the scope of energy efficiency and use renewable energy including the environmentally friendly houses”
Implementation of the above-mentioned predefined projects will have a positive impact on the increase in public awareness in the scope of education concerning energy efficiency.
The expected outcomes of the Operational Programme will be achieved i.a. by nationwide educational campaigns concerning energy saving in households, sustainable transport, as well as the impact of abusing car transport on health, quality of living in the cities and the condition of environment in the city.
Further information on the above-mentioned predefined projects is included in Annex no. 2 to the Operational Programme.
3.10 Small grant schemes
Small grant scheme is not foreseen within the Operational Programme
3.11 Cross cutting issues
3.11.1 Good governance
Among the elements threatening the policy of good governance, improper governance limiting the economic growth and development as well as corruption are regarded as one of the most destructive activities that have an impact on supporting the best projects, and thus on achieving the best outcomes.
Good management is favourable for participation and integration of the entities, it is associated with responsibility, it is assumed to react quickly , it is transparent, effective, efficient and consistent with the law.
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Table 4. Three elements of good governance policy
Element 1. Prevention irregularities, mismanagement and corruption
Programme Operator:
- ensure broad access to information concerning the Operational Programme and the programme area and support area and principles and projects selection principles; - open call for proposals of projects to benefit from support in the form of grants; - transparent and legal procurement of services related to the implementation of the Operational Programme, funded within the framework of the EEA FM; - use of external and independent institutions for programme evaluation; - ensuring that individuals and institutions involved in management, evaluation, making recommendations and monitoring of the funds avoid conflict of interests;
Beneficiary:
- compliance with public procurement rules set out at national and EU level; - demonstrate the impact of the project on various aspects of good governance practices in a state; - implementation of good governance policy based on transparency and openness principles.
Element 2. Identification of irregularities, mismanagement and corruption
The Programme Operator uses several procedures and tools for information verification that might discover possible instances of mismanagement and corruption, i.a.:
- provides access to basic information about the projects, financial figures and information concerning the funding process; - provides the usage of external institutions to conduct programme evaluation;
Element 3. Application of appropriate sanctions
Implementing good governance policy, the Programme Operator in relation to its own employees or Beneficiaries may request:
- stop practices that resemble conflict of interest; - suspend, in whole or in part, to pay funding during the study period by competent authorities concerning accusations of mismanagement or corruption until further audit is performed; - return of funds from the EEA FM which as a consequence of the investigation have been considered to be the subject of mismanagement or corruption, unless the project outcomes and outputs prove that such sanction should not be applied.
During the implementation of good governance policy, the Programme Operator will be in close cooperation with NFP and FMC.
3.11.2 Environmental considerations
For the Operational Programme, the concept of sustained development will be viewed in three categories:
1. natural environment as a basis for sustained development; 2. economy as the tool to achieve sustained development; 3. good living quality (social aspect) as the objective of sustained development.
In accordance with the principle of sustained and permanent development, environmental aspects concerning i.a. improvement of energy efficiency and climate changes are reflected in the Country Development Strategy for 2007-2015, defining the framework and basis for preparing this Operational Programme.
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Table 5. Respecting the principle of sustained development of the environment at the Programme Operator and Beneficiary level:
Programme Operator Beneficiary
respecting national and EU law concerning principles of using the environment and the necessity of its protection
running proceedings concerning evaluation of the environmental impact in accordance with national law and EU directives
supervision over systematic monitoring of Programme environmental outcomes
providing information on direct and indirect impact of the project on the environment, health and conditions of living, corporeal property, monuments and mutual interactions of such elements
providing information on undertaking actions aimed at limiting of negative Programme outcomes for the environment
analysis of opportunities and ways of preventing and limiting of negative impact on the environment and defining the required scope of monitoring
providing information on the reduction of greenhouse gases emissions and air pollution through the Programme implementation
reduction of greenhouse gases emissions and air pollution through the Project implementation
providing information concerning the increase of use of renewable energy in the production of heat or electricity through the Operational Programme implementation
using renewable energy in the production of heat or electricity through the Project implementation
providing information on the undertaking activities aimed at limiting of negative Project outcomes for the environment
3.11.3 Economic sustainability
Implementation of sustained development in the economic aspect is based on the efficiency principle (rational governance of funds and resources). This manifests itself in:
• efficiency, ordering to maximise social and economic effects with acceptable level of use of natural resources,
• savings, ordering with a particular level of social and economic effect to minimise the use of natural resources.
Table 6. Ensuring sustained economic development at the level of the Programme Operator and Beneficiary
Programme Operator Beneficiary
systematic monitoring of random selected project with reference to obtaining positive effect of economic sustained development during their realisation
rational use of natural resources and optimum governance of resources and raw materials, including waste management
promoting ecological and highly efficient production technology, including promotion of electricity production at the lowest cost for the environment
applying the polluter pays principle – parties causing damage to the environment should cover expenses of preventing such damage or remediating results thereof
prudence principle consisting in actions based on predicted and possible threats to the environment instead of waiting for absolute scientific proof (related thereto)
3.11.4 Social sustainability
Social aspect of the sustained development is expressed in the support on the part of a citizen society, its involvement in solving all types of issues, and participation in the decision making process on various levels (both in the area of planning and realisation, as well as in the area of control and monitoring of undertaking activities).
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Table 7. Ensuring sustained development at the level of the Programme Operator and the Beneficiary
Programme Operator Beneficiary
admitting participation of the local society in the Programme creating process through public consultations
admitting participation of the local society in the Project creating process through public consultations
providing information on undertaking activities in the Programme implementation
providing information on undertaking activities in the Project implementation
3.11.5 Gender equality
Equal opportunities of women and men, as a horizontal issue, are integrated with the main objective of the EEA FM that is decreasing economic and social differences in the European Economic Area.
Such rights are guaranteed by the Council Directive 76/207/EEC from February 9th, 1976 on the implementation of the principle of equal treatment for men and women as regards access to employment, vocational training and promotion, and working conditions, as well as the Council Directive 79/7/EEC from December 19th, 1978 on the progressive implementation of the principle of equal treatment for men and women in matters of social security.
In order to achieve sustained economic and social development, it is important that women and men have equal rights and opportunities in all areas of economic and social life.
Full realisation of the principle of equality of women and men requires equal representation and participation of both men and women in economic life, in the decision making process, as well as in social, cultural and citizen life. The above mentioned aspects assumes fair distribution of resources between men and women, redistribution of obligations and respecting equally of economic and social rights of both genders.
Table 8. Ensuring gender equality at the level of the Programme Operator and Beneficiary
Programme Operator Beneficiary
equal access of representation of men and women to implementation of particular components of the Operational Programme – both at the level of management, as well as the addressed support from the resources of the EEA FM, participation in public consultations and in the Selection Committee
evaluation of the project impact on equal rights of women and men taking into consideration various conditions and specific needs of genders resulting from the Project implementation
taking into consideration and monitoring of gender equality at any level of Programme implementation
taking into consideration and monitoring of gender equality at any level of Project preparation and implementation
3.12 Project monitoring by the Programme Operator
Monitoring is the process of systematic acquiring and analysing of quantitative and qualitative information concerning implementation of projects and the whole Operational Programme in the financial and substantial aspect, aimed at providing the compliance of projects and Operational Programme implementation with previously accepted assumptions and objectives. Based on information provided within the monitoring system, it is possible to identify all irregularities related to the implementation of the programme and projects, and to undertake the correcting activities.
One of the basic instruments for monitoring of Operational Programme and projects in a permanent and continuous way is reporting. In relation to the centralisation of the Operational Programme, most of information necessary for the monitoring process will be generated and processed at the local level,
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however based on such information interim reports (3 reporting periods), annual reports and final reports will be elaborated.
In accordance with Art. 4.7.1 (f) of the Regulations and based on the detailed description of the management and control system, the Programme Operator establishes annual monitoring plans which should reflect the progress in the Operational Programme implementation based on advancement of particular projects, including predefined ones.
Further information concerning methodology of selection of projects that will be monitored and the scope of monitoring visits is included in Annex no. 3 to the Operational Programme.
3.13 Information and publicity
The aim of information and publicity activities under the Operational Programme is to increase the public awareness in the broad circle of recipients, concerning co-financing within the framework of the EEA FM 2009-2014.
Such activities provide information on the areas of support under this Operational Programme, objectives of the Operational Programme and objectives of the EEA FM 2009-2014 as the source of financing thereof, the Operational Programme implementation system, as well as bilateral cooperation as a part of the Operational Programme.
In accordance with Art. 4.7.2 of the Regulations the Programme Operator will prepare a communication plan for the Operational Programme.
Implementation of the communication plan aims at i.a.:
• Providing clarity and openness of all undertaking actions
• Enabling easy access to appropriate information for specific recipient groups in Poland
• Contributing to efficient implementation of the EEA FM
• Dispelling all doubts concerning the EEA FM and preventing the abuse of financial resources which may be caused by improper access to information.
Publicity and information activities will be implemented at two levels:
1. Operational Programme level – the Programme Operator informs potential Beneficiaries about the content of the Operational Programme and the opportunity to obtain financing from the EEA FM resources, and the bilateral cooperation with Donor States,
2. Project level – Beneficiary, in accordance with the financing agreement informs the society about the grant awarded, the realised project, its outcomes and the EEA FM sources of financing.
In both cases, the Programme Operator shall supervise information and publicity activities concerning the EEA FM.
The Programme Operator ensures that information concerning the EEA FM is provided to potential Beneficiaries and to widely defined public opinion, in a comprehensible and accessible way.
Information and publicity activities on the Operational Programme and on the Project level as well as Communication Plan including objectives, target groups, tools and timeline are presented in Annex no. 4 to the Operational Programme.
3.14 Management
The Programme Operator shall perform the duties associated with managing the Operational Programme in accordance with Art. 4.7 and 4.8 of the Regulation.
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3.14.1 Management structure
The Programme Operator of this Operational Programme is the Ministry of the Environment with support from the National Fund for Environmental Protection and Water Management based on a separate framework agreement.
The management structure is presented in Annex no. 5 to the Operational Programme.
The Programme Operator is in charge of i.a. preparation and implementation of the Operational Programme in accordance with economic efficiency principles, including the proper use of financial resources, financial control and audit.
The Programme Operator supervises the implementation of the Operational Programme, including responsibility for the efficiency and correctness of the Programme management.
Under a separate framework agreement, the tasks of the Programme Operator will be divided between the Ministry of the Environment and the National Fund for Environmental Protection and Water Management.
In order to make a decision on granting funds to individual projects, the Programme Operator will appoint the Selection Committee acting on openness and transparency principles, in a way that ensures representation.
In accordance with Art. 6.4 Regulation, the Selection Committee must include at least 3 experts in a particular field (including one person not related to the Programme Operator), and representatives of FMC and NFP as observers.
Tasks of the Selection Committee include providing opinions, recommendations and approvals of the list of projects eligible for support under the EEA FM resources, prepared by the Programme Operator.
In order to provide opinion on projects eligible for support, the Selection Committee may benefit from services of external experts or available expert opinions.
Annex no. 6 to the Operational Programme includes CVs of key employees responsible for legal, financial and technical issues related to the programme area.
3.14.2 Timeline
The timeline of Programme’s implementation is dependant on the date of Programme approval by the Donor States
Nb Programme implementation stage 2011 2012 2013 2014 2015 2016 2017
1. Preparation of the Operational Programme and detailed description of the management and control system
2. Approval of the Operational Programme by Donor States
3. Commencement of the Operational Programme
4. Preparation of an open call for proposals 5. Announcing an open call for proposals
6. Performing formal and substantial evaluation of submitted applications
7. Preparation of a ranking list of projects eligible for granting
8. Approving a list of projects recommended for granting by the Selection Committee
9. Signing financial agreements for granting of submited projects
10. Monitoring of projects implementation and reporting
11.
Verification of interim reports and realisation of advance payments, reimbursement of expenses incurred and final payments
12. Running informational and publicity activities
3.14.3 Calls
The Programme Operator during the period of the Operational Programme implementation under the whole allocation provides one call for proposals in a transparent and open manner. The Programme Operator provides NFP and FMC with information on the open call for proposals at least two weeks before announcing thereof and at the same time provides a translation into the English language of the content of each announcement. Detailed principles concerning the recruitment of projects are defined in Art. 6.3 Regulation.
The open call for proposals will at the same time concern two programme areas: energy efficiency and renewable energy.
In case of savings and the risk of not using all allocation, the Programme Operator provides for the following intervention activities:
• Organising supplementing open call for proposals – in case of insufficient number of applications submitted in the main call.
• Making use of applications included in the reserve projects list – in case of large number of applications submitted in the main call.
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The Programme Operator provides for the level of funding under the EEA FM 2009-2014 will not exceed 85% of eligible costs for Beneficiaries12 that are the public finance sector entities, including territorial local government entities.
In case of other Beneficiaries, the Programme Operator provides for the level of funding under the EEA FM 2009-2014 that will not exceed 60% of eligible costs.
The level of funding may be reduced in order to adjust to the appropriate regulations on the principles of state aid.
The final date of eligibility of costs is April 30th, 2016.
Within the framework of this Operational Programme, the Programme Operator provides for the projects financed from the EEA FM 2009-2014 resources minimum funding amounting to 170 000 EUR and a maximum funding amounting to 2 000 000 EUR. The whole alocation provided for funding of projects from the EEA FM resources under the open call for proposals is 67 280 251 EUR (this amount does not take into account 1 702 125 EUR from the EEA FM resources provided for predefined projects). Detailed information concerning the distribution of resources within the budget categories are included in Table 3.15.1 Budget headings.
The Programme Operator reserves the right to modify the level of funding suggested by the applicant in the proposal at the stage of substantial evaluation of the project and before the financing agreement is signed.
The reason for modification of the suggested funding for which consists in reduction of the percentage or amount may be i.a. recognising by the Programme Operator of the part of project costs as non-eligible, identification in the project of extraordinary net income.
Financing of tasks under the Application cannot include tasks that obtained funding within the framework of the Infrastructure and Environment Operational Programme or obtained funding from NFOŚiGW resources under the other programmes, including Green Investment Scheme Programme (GIS).
3.14.4 Selection of projects
In accordance to Art. 6.4 Regulation, The Programme Operator is responsible for establishing the Selection Committee which will be in charge of selection of projects for funding.
The Selection Committee will be operating based on non-discrimination and representation principles and will be composed i.a. from target groups defined in chapter 3.6 of this Operational Programme. Tasks of the Selection Committee consist in recommendation and approval of projects for funding from the EEA FM 2009-2014 under this Operational Programme.
The Programme Operator ensures:
• participation of FMC and NFP representatives in Selection Committee meetings,
• availability for all members and observers of the Selection Committee of the materials whose content will be the object of the meeting and of minutes from meetings,
• availability for members of FMC of summary in the English language of minutes from meetings of the Selection Committee.
12
Beneficiaries of the programme, in accordance with item 3.4.1., include administrators of estates or owners of buildings, sources of heating or electricity, heat centres and installations, machines or equipment referred to in point 3.1 that include entities in the public finances sector or non-public entities implementing public tasks, and the Ministry of the Environment.
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The Programme Operator is responsible for verification of submitted projects under the open call for proposals. The verification will be performed based of the Appraisal Card approved by the Selection Committee.
The Programme Operator provides for a two-step verification of applications:
• formal, during which applications are verified with reference to meeting the formal and eligibility criteria;
• substantial and technical, during which application forms are verified with reference to feasibility, legitimacy, economic efficiency, innovation and planned ecological effect, environmental impact and contribution to the achievement of aims, outcomes and outputs of the Operational Programme.
At the stage of the formal appraisal in the case of ambiguities or lack in documentation of application forms, the Programme Operator will send a letter to the applicant, which includes information of all ambiguities and the need to supplement the application with lacking documents. Furthermore, the letter includes the due date of sending explanations and supplements.
The above-mentioned Applicant will be obliged by the letter to send the answer to the Programme Operator within the defined due date. If there is no answer until the defined due date, the Application will be regarded as nonconforming to the requirements defined by the Programme Operator.
Applications that fail to meet formal requirements will not be submited to further appraisal. The Programme Operator will send to that applicant a letter informing of the negative verification result and the possibility to make use of the appeal procedure, including the date of the appeal.
The Applicant may appeal from the decision concerning the application rejection at the stage of the formal appraisal. The appeal is a two-instance procedure. The appealing body of the first instance is the Programme Operator.
In the case of negative consideration of the means of appeal, the applicant may submit another appeal with the second instance, i.e. the NFP.
When the appeal will be rejected by the Programme Operator (with the assumption that no appeal shall be made with NFP) or if the appeal will be rejected by the NFP, the application will be regarded as not meeting formal requirements and will not be submitted to further appraisal. However, in the case of positive consideration, the application will be submitted to further appraisal.
The applications that will successfully pass the formal assessment are the subject to substantial and technical appraisal during which they are assessed by two independent and impartial assessors defined by the Programme Operator.
Assessors will perform the substantial and technical assessment of applications independently from each other in accordance with the appraisal criteria approved by the Selection Committee, published simultaneously with the announcement of the open call for proposals. Projects selection criteria will be approved by the Selection Committee.
In the case of content-related assessment, a two instance appeal procedure is in force. The first instance institution competent to consider appeals is the Programme Operator who re-examines the proposal in substantive terms, with the help of experts, taking into account the applicant's argument, presented in the appeal. Where appropriate, the PO may request additional opinion by an independent expert. In the second instance NFP considers appeals in terms of, among others: substantive appraisal accuracy. Appealing procedure in second instance is dedicated to control assessment of the project in
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terms of its compliance with binding laws, including the projects’ assessment procedure adopted by the Programme Operator. The NFP decision is final and not entitled to appeal from it.
The summary of appraisal of each application consists in awarding of a respective number of points by each assessor.
When the difference in points awarded to the application by each of the assessors exceeds 30%, the Programme Operator will appoint a third additional assessor for the appraisal. In such case, final calculation of points for an application will take into consideration two most similar appraisal results.
Listing the assessed applications in accordance with awarded points will allow the Programme Operator to create a ranking of applications recommended for funding from the EEA FM 2009-2014 resources that will subsequently be submitted with the Selection Committee and FMC in the English language.
After the analysis of ranking projects submitted by the Programme Operator, the Selection Committee may under justified circumstances change the order of projects submitted for funding from the EEA FM resources included in the list. The justification for the above-mentioned change should be included in the minutes from the Selection Committee meeting. If this change is related to rejection of the project recommended for financing, the applicant whom this situation concerns should be informed by the Programme Operator on reasons of the decision made by the Selection Committee.
When the Selection Committee will verify all applications and approve the project ranking list, the Programme Operator informs the applicants of the appraisal results and publishes the approved ranking list in the Operational Programme website.
The Programme Operator shall ensure that during the appraisal of the applications submitted and the selection of projects eligible for funding, Regulation provisions shall be observed, and recommendation of the Selection Committee shall be consistent with the objectives of the Operational Programme.
The Programme Operator shall ensure that the appraisal process of submitted applications and of selection of projects eligible for funding shall be transparent, impartial and free from conflict of interests of entities taking part.
The Programme Operator shall keep the documentation including the appraisal process of submitted applications and of the selection of projects eligible for funding for the period of 5 years counted from the approval by the FMC of the final report from the Operational Programme implementation or 10 years from signing the agreement in case of projects included state aid.
3.14.5 Financial management
The system of financial management and control of financial resources from the EEA FM 2009-2014 that are the object of support under this Operational Programme are based on the following national institutions:
• NFP,
• Certifying Institution,
• Programme Operator,
• Audit Institution.
Detailed scope of tasks performed by the above-mentioned institutions is presented in Annex no. 7 to the Operational Programme.
As a part of projects realisation, beneficiaries have the opportunity to make use of a one-off advance payment paid on the basis of the agreement on the project realisation signed with beneficiaries. The
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beneficiaries that are public finance sector entities, including territorial local government entities, have the opportunity to make use of an advance payment amounting up to 40 % of the financing granted. In case of other beneficiaries the advance payment shall not exceed 10% of the financing granted.
The whole amount of advance payment shall be deducted from the grant amount specified in the requests for payment. Payment of funds shall be paid after the settlement of the advance payment.
Periodic payments to the benefit of the Beneficiary shall be made based on submitted and verified applications for payment. Applications for payment shall be verified based on checklists.
3.14.6 Modification of projects
At the stage of formal as well as substantial and technical evaluation of applications submitted under open call for proposals, the Programme Operator does not provide for the possibility of submitting and making by applicants of any amendments to the substantial and financial scope of the project.
For projects that have been recommended for funding, and for which financial agreements have not been signed yet, the Programme Operator reserves the right of modification consisting in reducing the level of the financing or the amount of funding from the EEA FM resources applied for.
This modification should however be justified in the light of substantial and technical evaluation and shall result from:
• the necessity to adjust the financing applied for to the limits of allowed state aid,
• the necessity to adjust the financing applied for in relation to generating by the Project of extraordinary income.
For Projects for which financial agreements have been signed, the Programme Operator provides for modifications at the request of the Beneficiary and at the request of the Programme Operator.
In the case of a modification requested by the Beneficiary, the Programme Operator shall make a decision concerning approval or rejection thereof having analysed the scope and the legitimacy of modification applied by the Beneficiary and the influence thereof on achieving the objectives and outcomes of the Project.
It is allowed to make modifications in the Project at the request of the Programme Operator. This concerns situations where such necessity results from the findings of the project implementation control conducted by the Operator or any other appropriate service.
As a result of the analysis of post-audit report findings, the Programme Operator shall make a decision on the necessity to introduce proper modifications, proposing at the same time scope thereof, and submits it with the Beneficiary for information and application. Modifications proposed by the Programme Operator shall have the nature of remedy actions aiming at successful completion of the Project.
The scope of modifications applied for by the Beneficiary of the Programme Operator may concern:
• financial aspects of Projects, such as changes in the Project budget consisting in movements between actions or expenses categories, managed from savings occurred
• aspects related to the substantial scope of the Project, such as the correction of base values or target indicators, change of outputs
• temporary aspects, such as change in the schedule of the whole Project or its individual actions.
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At the projects level, the Programme Operator does not provide for modifications whose objects is:
• increasing the requested level or amount of financing13 defined in the financial agreement for Project financing,
• change of objectives or expected outcomes of Projects,
• prolonging the period of eligibility of expenses incurred as a part of projects completion beyond the final eligibility date defined by Donor States in the EEA FM 2009-201414 Programme.
3.15 Budget
3.15.1 Budget headings
Requested Programme grant rate (in %)
Eea FM National
cofinancing Total eligible expenditure
(a) (b) (c) = (a)+(b)
€ € € % of total
Programme management 4 855 000 856 765 5 711 765 6,47
Improved energy efficiency in buildings 56 280 251 9 931 809 66 212 060 75,04
Increased awareness of and education in energy efficiency (predefined projects) 1 702 125 300 375 2 002 500 2,27
Increased renewable energy production 11 000 000 1 941 176 12 941 176 14,67
Funds for bilateral relations 750 000 132 353 882 353 1,00
Complementary action 0 0 0 0,00
Preparation of Programme proposal 37 624 6 640 44 264 0,05
Reserve for exchange rate losses 375 000 66 176 441 176 0,50
Total 75 000 000 13 235 294 88 235 294 100,00
Predefined projects
In order to achieve the outcome “Increase in the social awareness in the scope of education concerning energy efficiency” besides the projects implemented under the open call for proposals the two predefined projects, entitled The European Mobility Week and Educational and promotional
activities in the field of energy efficiency and use of renewable energy including the environmental
friendly house idea. The amount of financing within the EEA FM provided for predefined projects is 1 702 125 EUR.
13 Increase in the amount of funding for the Project may be considered by the Programme Operator as an
exception only in the final chase of implementing of the Operational Programme only in the case of savings whose management is not be possible through financing of subsequent projects from the reserve list due to too small amount of savings at the disposal of the Programme Operator or too short time needed for the implementation of new investments or due to lack of interest on the part of applicants from the reserve list themselves.
14 In the case of force majeure in justified circumstances it could be possible, after the consent of Donors is
obtained, to prolong the period of eligibility of costs.
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National co-financing is covered by final beneficiaries.
Bilateral Cooperation Fund
The fund (1 % of the value of the eligible costs of the Operational Programme) designed to build the bilateral relations aimed at undertaking cooperation to develop and submit the application forms will be distributed on the basic of reimbursement of costs incurred for projects submitted in the partnership and eligible within the Operational Programme. The amount of financial resources to cover the bilateral cooperation fund needs at the programme level was reduced to 1% of the total eligible costs of the Operational Programme. The value of the programme is of significant size due to the primarily infrastructural character of the planned projects that require substantial outlays in order to reach envisaged outcomes and outputs. Consequently, the total value of the Bilateral Cooperation Fund which is calculated as a percentage of the programme total amount is also of substantial amount. Simultaneously, as a result of the programme’s nature the need for the funds that facilitate building bilateral relations aimed at cooperation, exchange of experience, knowledge, technology as well as best practices between Beneficiaries and organizations from Donor States is limited. This is dissimilar to the programmes that aim predominantly at the soft measures where the 1,5 % percentage threshold, due to its character might be completely allocated. For that reasons, in this particular case there is a tangible threat of not using the planned financial means for Bilateral Cooperation Fund if the level of percentage required under the Regulation is maintained. The amount of financial resources at the level of 1% of the total eligible cost will be sufficient to build partnerships between beneficiaries and institutions of Donor States effectively. The difference between the above mentioned amounts of costs (0.5%) will be used for open call for proposals.
Reserve for exchange rate loss
The reserve for exchange rate loss at the level of 0,5% of the total eligible costs of the Operational Programme is suggested by the Programme Operator in order to cover any exchange rate differences incurred by the Programme Operator and the Project Promoter. In the case of favourable exchange rate differences for the Programme Operator or for the Project Promoter or if the reserve or part of it is not used, the Programme Operator will make it available for projects implemented under the Operational Programme after the NFP approval.
Annual breakdown of the EEA FM contribution
Budget heading 2010 2011 2012 2013 2014 2015 2016 2017 Total
Programme management 0 0 541 020 933 370 904 530 854 730 825 930 795 420 4 855 000
Improved energy efficiency in buildings 0 0 0 9 391 875 14 489 500 15 500 000 14 000 000 2 898 876 56 280 251
Increased awareness of and education in energy efficiency (predefined projects) 0 0 0 1 486 000 202 750 13 375 0 0 1 702 125
Increased renewable energy production 0 0 0 1 500 000 3 000 000 3 000 000 3 000 000 500 000 11 000 000
Funds for bilateral relations 375 000 375 000 750 000
Complementary action 0 0 0 0 0 0 0 0 0
Preparation of Programme proposal 0 37 624 0 0 0 0 0 37 624
Reserve for exchange rate losses 0 0 0 75 000 75 000 75 000 75 000 75 000 375 000
Total 0 0 953 644 13 761 245 18 671 780 19 443 105 17 900 930 4 269 296 75 000 000
Detailed budget for the management costs of the Programme Operator (EEA contribution + national cofinancing)
Cost category 2010 2011 2012 2013 2014 2015 2016 2017 Total
Preparation of Programme implementation 0 0 70 000 0 0 0 0 0 70 000
Project evaluation and selection 0 0 211 176 4 706 0 0 0 0 215 882
Payment claim verification, transfer of payments 0 0 0 532 941 532 941 501 176 501 176 501 176 2 569 410
Monitoring of projects 0 0 177 176 421 765 390 000 358 235 326 471 326 471 2 000 118
Audits and on-the-spot verification of projects 0 0 0 19 906 22 447 28 800 26 682 18 212 116 047
Promotional and information 0 0 42 941 41 176 41 176 41 176 41 176 41 176 248 821
Reporting to donors and national authorities 0 0 1 176 1 176 1 176 1 176 1 176 1 176 7 056
Establishment and operation of bank accounts 0 0 825 825 825 825 825 825 4 950
Overheads 0 0 133 200 75 588 75 588 74 176 74 176 46 753 479 481
Total x x 636 494 1 098 083 1 064 153 1 005 564 971 682 935 789 5 711 765
Detailed budget for preparation of Programme proposal (EEA contribution + national cofinancing)
Cost category Units Unit cost Amount (€)
Salaries of staff of the Programme Operator 5 persons 4 235 21 175
3 allowances 2 206 6 618
Travel and subsistence allowance 1 travel
(2 persons) 4 706 9 412
Feasibility studies, including experts fees x 0 0
Translation costs 3 2 353 7 059
Preparation for public procurement and state aid x 0 0
Public consultation x 0 0
Total x 13 500 44 264
Justification of the Management Costs
Within the environmental priorities of Financial Mechanism of European Economic Area and Norwegian Financial Mechanism 2004-2009 1094 grant applications were submitted within three calls for proposals. The decisions awarding financial aid (Grant Offer Letter (GOL), were received by 158 grant applications with total allocation of 112 173 997 Euro. The large number of implemented projects and their broad thematic scope, including activities aiming at reducing the amount of pollution in the environment by protection of air, surface waters and rational waste management, promotion and implementation of the principles of sustainable development, as well as strengthening the skills and capabilities of central, local and regional government authorities and other entities responsible for implementation and enforcement of EU law on the environmental protection, demanded a strong engagement of the human resources of both the Intermediate Body (MŚ) and Auxilliary Institution (NFOŚiGW). The activities related to the management and implementation of the EEA and Norwegian Funds 2004 – 2009 included i.a. monitoring of project implementation, on-site visits, promotion, costs associated with hiring new employees, organization of seminars, conferences and trainings for the beneficiaries, preparation of publications on the EEA and Norway Grants etc.
Under the EEA and Norwegian Funds 2004-09 the Ministry of the Environment as the Intermediate Body received 5 940 780 PLN from the Technical Assistance Fund for the years from 2006 to 2012. For the third quarter of 2011 the amount of the expenditure was equal to 5 683 474 PLN, which represents 96% of the total amount.
The successful experience of the EEA FM and NFM 2004 – 2009 as well as experience of other institutions benefiting from the Grants, acquired during the implementation period, is the most important source for the Programme Operator for planning the costs of the Programme management within the EEA FM 2009 - 2014.
The Programme Operator took into account management costs of following budget categories in planning the budget:
1. For the preparation of Programme implementation, including development of procedures and financial flows the following tasks were planned:
- salary for experts employed on a contract of employment/a casual work contract, - preparation of key documents for the implementation of the EEA FM, including
analyses and feasibility studies 2. For the project evaluation and selection, including expert fees, expenses related to the
operations of the Projects Selection Committee and appeals the following tasks were planned: - meetings of the Project Selection Committee
33
- salary for experts employed on a contract of employment/a casual work contract in order to verify project applications and appeals,
- employment of experts in order to verify applications/appeals in case of doubt, - remuneration of employees engaged in the evaluation and the selection of projects
co-financed from EEA FM. 3. For the payment claim verification and transfer of payments the following tasks were planned:
- salary for experts employed on a contract of employment/a casual work contract, - supplements for employees employed by the Programme Operator on on a contract
of employment 4. For the monitoring of Projects the following tasks were planned:
- salary for employees employed by the Programme Operator on a contract of employment/casual work contract
- supplements for employees employed by the Programme Operator on on a contract of employment
5. For the audits and on-the-spot verification of the Projects the following tasks were planned: - the cost of on-the-spot inspection of the project
6. For the promotion and information activities the following tasks were planned: - announcement of open calls for proposals, - publication of materials on EEA FM, - translations, - organization of promoting and training seminars, - promotional materials with the EEA FM and the Programme Operator logo.
7. For reporting obligations to donors and national authorities the following tasks were planned: - translation of documents,
8. For the establishment and operation of bank accounts required under the Regulation or by the Programme agreement, including the costs of incoming and outgoing transfers the following tasks were planned:
- accounts maintenance fees 9. For the general expenses calculated in accordance with art. 7.4, par. 1 a) or b) except as
required in the art. 7.13, 4 , the following tasks were planned: - preparation, creation and maintenance of a database for projects submitted to the
EEA FM, - purchase of IT equipment for employees to operate the database, - organization of training courses (including the maintenance of the database) / studies
/ training for employees involved in the implementation of the EEA FM, - office articles (for seminars / conferences / training), professional publications with
the appropriate logotypes, - necessary internal and external meetings e.g. costs associated with meetings with the
program partner, - purchase of office equipment for project documentation, - postal delivery, - creation, preparation and delivery of professional publications, stands, banners etc.
with appropriate logotypes, - costs unanticipated at this stage (i.e. insurance of equipment),
Administrative costs, eg. salary, office equipment, etc., and costs of trainings for employees involved in the implementation of the EEA FM and for programme beneficiaries are calculated proportionally, depending on the value of the program, within the framework of the three Operational Programmes administered by the Programme Operator.
34
3.15.2 Advance payments of the EEA Financial Mechanism contribution (EURO)
Budget heading
Advance requested
(€)
Programme management 360 680
Improved energy efficiency in buildings 0
Increased awareness of and education in energy efficiency (predefined projects) 0
Increased renewable energy production 0
Funds for bilateral relations 0
Complementary action 0
Preparation of Programme proposal 0
Reserve for exchange rate losses 0
Total 360 680
The advance payment will be dedicated for the Programme Operator for the Programme management. The advance payment in the requested amount is necessary for the Operator to initiate the Programme implementation, organize trainings for employees engaged in its management, conduct information and promotion activities and to cover the general costs of the functioning of the Operator.
As a part of the realisation of projects, beneficiaries have the opportunity to make use of an advance payment paid under the financing agreement signed with beneficiaries and concerning realisation of the project. The advance payment settlement procedure is presented in item 3.14.5 of the Operational Programme.
3.16 List of annexes required for the programme offer
I. List of abbreviations II. Predefined projects
III. Monitoring plan IV. Communication plan V. Management structure
VI. CV of key employees VII. Additional information
VIII. Statistical attachment
35
3.17 Signatures
Optionally second signature
Forename and surname
Aneta Wilmańska
Position Underecretary of State
Institution Ministry of the Environment
signature
Day Month Year Day Month Year
Date
36
ANNEX NO. 1
TO THE OPERATIONAL PROGRAMME “Saving energy and promoting renewable energy sources”
within the framework of Financial Mechanism of the European Economic Area
2009-2014
List of abbreviations
FMO – Financial Mechanism Office
EEA – European Economic Area
EC– European Commission
FMC – Financial Mechanism Committee of the European Economic Area
NFP – Ministry of Regional Development acting as the National Focal Point
EEA FM – Financial Mechanism of the European Economic Area
NGOs – non-governmental organisations
NFM – Norwegian Financial Mechanism 2009-2014
Programme Operator - Ministry of the Environment (MŚ) with the assistance og the National Fund for Environmental Protection and Water Management (NFOŚiGW)
UN – United Nations
Ppl – Public procurement law
EU – European Union
Regulations – Regulations concerning implementation of the Financial Mechanism of the European Economic Area 2009-2014 dated January 18th, 2011.
RES – Renewable Energy Sources
37
ANNEX NO. 2 TO THE OPERATIONAL PROGRAMME
“Saving energy and promoting renewable energy sources” within the framework of
Financial Mechanism of the European Economic Area 2009-2014
Predefined Projects
(item 3.9. of the Operational Programme)
TITLE: “Educational and promotional activities in the scope of energy efficiency and use renewable energy including the environmentally friendly houses”
BACKGROUND AND JUSTIFICATION OF THE PROJECT, INCLUDING REFERENCE TO PROPER PLANS AND NATIONAL PRIORITIES
The project is compatible with binding strategic national and community documents in the scope of energy efficiency.
In the document Poland’s Energy Policy until 2030 basic directions of development of Polish energy policy include i.a.: improvement of the energy efficiency, development of use of renewable energy, limitation of the impact of the energy industry on the environment. Completing actions in accordance with these directions, the energy policy shall strive for increase in the national energy security with preserving the sustainable development principle.
Since 2011, the act of April 15th, 2011 on the energy efficiency that establishes a system promoting and supporting obtaining of savings of energy in the scope of final energy use came into force.
One of the priorities of the Europe 2020: a strategy for intelligent, sustainable and inclusive growth is sustainable development: on one hand, supporting the economy in a more efficient use of resources, more friendly to the environment and more competitive, and on the other hand, its operationalisation and measures to the benefit of making the economic growth independent of using the resources, switching to low-emission economy, greater use of renewable energy, modernisation of transport and promotion of energy efficiency. The document i.a. draws the attention to the need of using the regulations and standards in the scope of energy efficiency in buildings in order to limit the consumption of energy and resources.
With reference to the above-mentioned documents, it is necessary to run Polish information actions directed at citizens. There is a strong need to inform the society on possible manners of energy saving and inducing them to change their everyday habits and make conscious choices.
Legal and organisational regulations and institutional activities, economic impulses as well as research and development aimed at the development of energy-saving technologies are necessary in order to change the current situation. An integral part of the project is education and diffusion of information concerning systems of improvement of heating efficiency in buildings and promotion of modern performance technologies and standards. Tenants in detached houses and administrators of housing co-operatives should be informed of the opportunities of saving energy and expenses related to heating of house and apartments.
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Realisation of this project shall result in the growth of the social awareness in the scope of energy efficiency and use of renewable energy, and thus shall contribute to increase of the percentage of renewable energy in the total energy consumption balance.
TARGET GROUP
Tenants of detached houses (villages, suburbs) and blocks of flats
OBJECTIVES AND EXPECTED OUTCOMES OF THE PROJECT
General objective:
• increased awareness of and education in energy efficiency
Project outcomes:
• completion of the nation-wide educational campaign on energy saving in households;
Project outputs:
• nation-wide educational campaign on energy saving in households carried out
• efficient use of energy and renewable energy promoted
INFORMATION ON BENEFICIARY
Ministry of the Environment is an institution contributing to state policies, caring for the environment in Poland and worldwide. The Ministry influences a long-term development of the country, performed out with respect for nature and human rights in order to take into account the needs of present and future generations. The tasks of the Ministry of the Environment are, among others, initiation and implementation of educational campaigns aimed at raising environmental awareness and knowledge about the environment. This task is performed by the Department of Environmental Education (DEE). In its activities the Department uses modern means of communication. It draws on the specialist support from advertising agencies and media houses. Examples of recently conducted promotional and informational activities (2008-2011) iclude:
1. Nation-wide education and information campaign aimed at prevention and appropriate treatment of waste (total project value: 2 175 000 euro, funded by the Operational Programme Infrastructure and Environment under the European Regional Development Fund 2009-2011).
2. Campaign European Car Free Day and Mobility Week (organized every year since 2002, financed by the Ministry of the Environment, Environmental Partnership Fund (EFP) Phare - Fifth Indicative Programme (VPI) and the National Fund for Environmental Protection and Water Management).
3. In 2010, the Ministry of the Environment through actions of the Department of Environmental Education actively participated in the International Year of Biodiversity, i.e. Biodiversity. You depend on it. Summer campaign for tourists at the Baltic Sea (billboards in the cities at the Baltic Sea, happenings and festivities).
4. In 2011, DEE has been realising the following campaigns:
• Educational and informational campaign in the Internet on the protection of the Earth climate by changing everyday habits
• European Car Free Day Campaign and European Mobility Week
• Polish informational campaign on proper waste management in regions
• Development and promotion of a children’s website run by the Ministry of the Environment (www.dzieci.mos.gov.pl)
• Informational and promotional actions concerning Polish presidency in the EU Council.
39
PROJECT TIMELINE15
TASKS 2013
2014
2015
I II III IV I II III IV I
1. TV campaign – (campaign creation, production and TV spot broadcasting)
2. TV campaign –placement in TV series
3. Press and ternet campaign
4. Promotional activities
5. Project management
Good project management increases the likelihood of success and leads to the effective implementation of the project in accordance with the schedule.
Project management related expenses shall include i.a. improvement of project team qualifications, expert services, office supplies, necessary IT structure and personnel costs that shall be distributed in proportion to the scope of activities.
The project shall be managed by the beneficiary in PRINCE2 methodology.
MANAGEMENT STRUCTURE
15
Schedule depends on the date of approval of the programme by donors.
Minister of the Environment
Undersecretary of State
Director General Office
Ecological Education Department Director
Legal Department Director
Division I Financial Team
Division II
Strategic Planning Department Director
Director of the Climate Changes and Atmosphere Protection Department
40
PROMOTION PLAN
The promotion plan shall be a component of the realised project, implemented by an interactive agency, selected in competitive procedure and by the project team. Detailed scope of promotional activities shall be defined once an agreement with the contractor is signed.
Item Tool of communication
Objective Actions Target groups Schedule16
1. Beginning of campaign (meeting)
providing campaign announcements, informing of realisation of project financed from the EEA FM resources
organisation of the meeting, placing of information in the website, preparing information for the press
campaign target group, press, institutions engaged in implementing of the EEA FM
2013
2. Information materials/gadgets produced for campaign (i.a. with the EEA FM logo)
providing campaign announcements, informing of realisation of project financed from the EEA FM resources
distribution within campaign target group
campaign target group
2013 2014
3. Providing current information on realised project at www.mos.gov.pl on a specialty adapted subpage
providing campaign announcements, informing of realisation of project financed from the EEA FM resources
placing information on the website
campaign target group, press, parties interested in environmental protection, MŚ website recipients
2013-2015
5. Information on the project realised in MŚ newsletter
providing campaign announcements, informing of realisation of project financed from the EEA FM resources
including information on the project in MŚ newsletter
MŚ newsletter recipients
2013-2015
6. Summary meeting informing on effects of projects realised, providing campaign announcements
organisation of the meeting, placing information in the website
campaign target group, press, parties interested in environmental protection
2014
16 Schedule depends on the date of approval of the programme by Donors.
41
FINANCIAL PLAN INDICATING TOTAL PLANNED FINANCIAL RESOURCES AND PLANNED CONTRIBUTION FROM FINANCIAL MECHANISMS
Budget headings
EEA FM (a)
National co-financing (b)
Total eligible costs (c) = (a)+(b)
€ € € % of whole
Increase in social awareness in the scope of RES and energy efficiency
1 213 375 214 125 1 427 500 100 %
Annual breakdown from the EEA FM
Budget categories 2010 2011 2012 2013 2014 2015 2016 2017 Total
Increase in social awareness in the scope of RES and energy efficiency
1 000 000 €
200 000 €
13 375 €
1 213 375 €
42
TITLE: “European Mobility Week”
BACKGROUND AND JUSTIFICATION OF THE PROJECT
European Mobility Week is a campaign initiated by the European Commission. In Europe since 1998, and in Poland since 2002, from September 16th until September 22nd each year, thousands of European cities introduce improvements related to the functioning operations of public transports and facilities for cyclists and pedestrians. I this time, educational campaigns are aimed at changing the awareness and social behaviour towards rational use of passenger cars, and more frequent use of public transport, bicycles and walking. A culmination of the Week is the European Car Free Day (September 22nd). The largest cities in Poland, as well as small ones offer their inhabitants special attractions, e.g. family picnics and festivals, free public transport and bike rentals.
Car transport in the cities is a source of multiple problems, such as i.a. air pollution. Emission of fumes is to be limited by resigning from using passenger cars on short distances, applying the “car sharing” principle, as well as using public transport whenever possible. Providing the city dwellers with good infrastructure that would facilitate travel, i.e. bus passes, park&ride (p&r) car parks, bicycle paths, pavements with driveways for the handicapped and comfortable busses is equally important.
For a few years, the Ministry of the Environment has been engaged in the European Commission initiative, involving Polish cities in the project – their authorities and inhabitants.
As a part of the campaign concerning the European Mobility Week, the Ministry of the Environment in 2010 conducted a research concerning the attitudes of drivers in the scope of sustainable transport (“Monitoring of social attitudes in the scope of sustainable transport”). Most of Polish drivers travel short distances by car, even up to 5km. They say this is comfortable and saves time. In the light of the above-mentioned research, the drivers are however willing to resign from cars and use public transport due to health and financial benefits.
The results of analyses performed clearly mention the necessity of running further educational and informational actions concerning the harmful influence of transport on the state of the environment and promoting the idea of sustainable transport, especially in the group of drivers.
The campaign assumptions are included in the realisation of State ecological policy for 2009-2012 with
the perspective until 2016 and Strategy towards intelligent and sustainable development favourable
for including the society in the scope of climate and energy (Europe 2020) taking up i.a. the issue of necessary modernisation of the transport sector, including reduction of its participation in the emission of carbon compounds, actions in the scope of infrastructure (e.g. early creation of electric mobility network infrastructure), intelligent traffic management, further reducing of CO2 emission from road vehicles etc.
Realisation of this project shall result in the increase of social awareness in the scope of sustainable transport, and thus shall contribute to the reduction of greenhouse gasses emission and emission to the atmosphere.
TARGET GROUP
Passenger car drivers, city inhabitants
OBJECTIVES AND EXPECTED OUTCOMES OF THE PROJECT
General objective:
• increased awareness of and education in energy efficiency
43
Project outcomes:
• completion of the nation-wide campaign on sustainable transport and increase in public awareness on the impact of abusing car transport on health, quality of living in the cities and the condition of environment in the cities
• cooperation with cities within the ETZT campaign (European Mobility Week).
Project outputs:
• awareness of drivers in the scope of sustainable transport increased
• drivers encouraged to resign from using passenger cars on short distances
• social awareness concerning the need to act against pollution caused by road traffic in the city increased
• contents concerning the impact of abusing car transport on health, quality of living in cities and the condition of environment in the cities promoted
INFORMATION ON BENEFICIARY
Ministry of the Environment is an institution contributing to state policies, caring for the environment in Poland and worldwide. The Ministry influences a long-term development of the country, performed out with respect for nature and human rights in order to take into account the needs of present and future generations. The tasks of the Ministry of the Environment are, among others, initiation and implementation of educational campaigns aimed at raising environmental awareness and knowledge about the environment. This task is performed by the Department of Environmental Education (DEE). In its activities the Department uses modern means of communication. It draws on the specialist support from advertising agencies and media houses. Examples of recently conducted promotional and informational activities (2008-2011) iclude:
1. Nation-wide education and information campaign aimed at prevention and appropriate treatment of waste (total project value: 2 175 000 euro, funded by the Operational Programme Infrastructure and Environment under the European Regional Development Fund 2009-2011).
2. Campaign European Car Free Day and Mobility Week (organized every year since 2002, financed by the Ministry of the Environment, Environmental Partnership Fund (EFP) Phare - Fifth Indicative Programme (VPI) and the National Fund for Environmental Protection and Water Management).
3. In 2010, the Ministry of the Environment through actions of the Department of Environmental Education actively participated in the International Year of Biodiversity, i.e. Biodiversity. You depend on it. Summer campaign for tourists at the Baltic Sea (billboards in the cities at the Baltic Sea, happenings and festivities).
4. In 2011, DEE has been realising the following campaigns:
• Educational and informational campaign in the Internet on the protection of the Earth climate by changing everyday habits,
• European Car Free Day Campaign and European Mobility Week,
• Polish informational campaign on proper waste management in regions
• Development and promotion of a children’s website run by the Ministry of the Environment (www.dzieci.mos.gov.pl),
• Informational and promotional actions concerning Polish presidency in the EU Council.
44
PROJECT TIMELINE17
The project shall be realised in 2013 and 2014.
TASKS
2013
2014
I II III IV I
1. Preparing campaign creation
2. Radio campaign 3. Internet campaign
4. Cooperation with partners – cities included in the action
5. Promotional actions 6. Project management
Good project management increases the likelihood of success and leads to the effective implementation of the project in accordance with the schedule.
Project management related expenses shall include i.a. improvement of project team qualifications, expert services, office supplies, necessary IT structure and personnel costs that shall be distributed in proportion to the scope of activities.
The project shall be managed by the beneficiary in PRINCE2 methodology.
MANAGEMENT STRUCTURE
17
Schedule depends on the date of approval of the programme by Donors.
Minister of the Environment
Undersecretary of State
Director General Office
Ecological Education Department Director
Legal Department Director
Division I
Financial Team
Division II
45
PROJECT PROMOTION PLAN
Item Tool of communication Objective Actions Target groups Schedule18
1 Meetings and workshops for campaign partners
providing campaign announcements, informing of realisation of project financed from the EEA FM resources
organisation of the meeting, placing of information in the website
campaign target group, press, institutions engaged in implementing the EEA FM
2013
2 Information materials/gadgets produced for campaign
providing campaign promoting materials
distribution within campaign target group
campaign target group
2013
3 Providing current information on realised project at the campaign website and in MŚ newsletter
providing campaign announcements
placing information in a website
campaign target group, press, parties interested in environmental protection, MŚ website recipients
2013 - 2014
4 Report for partners of realisation of campaign in the cities
informing on effects of projects realised, providing campaign announcements
organisation of the meeting, placing information in the website
partners 2013
FINANCIAL PLAN INDICATING TOTAL PLANNED FINANCIAL RESOURCES AND PLANNED CONTRIBUTION FROM FINANCIAL MECHANISMS
Budget headings
EEA FM (a) National
co-financing (b) Total eligible costs
(c) = (a)+(b)
€ € € % of whole
increase in social awareness in the scope of sustainable transport
488 750 86 250 575 000 100 %
Annual breakdown from the EEA FM
Budget categories 2012 2013 2014 2015 2016 2017 Total
increase in social awareness in the scope of sustainable transport
486 000 € 2 750 € 488 750 €
18 Schedule depends on the date of approval of the programme by Donors.
46
ANNEX NO. 3 TO THE OPERATIONAL PROGRAMME
“Saving energy and promoting renewable energy sources” within the framework of
Financial Mechanism of the European Economic Area 2009-2014
Monitoring Plan
In the first year of realisation of the Operational Programme there will be a selection of projects under an open contest for projects, and the Programme Operator shall prepare an annual report for the programme describing the Progress in implementing the Programme in accordance with art. 5.11 Regulation.
Monitoring methodology
In subsequent years, the most crucial element of annual monitoring plan shall be a list of projects provided for control on the location of realization. The Programme Operator is obliged to perform once a year monitoring of projects selected based on the selection of test on a representative number of projects based on the methodology adopted. In selecting project for tests that will be subject to control, the Programme Operator shall take into consideration a group of projects for which timely realisation consistent with the financial agreement is burdened with a greater risk than other projects.
The methodology for project monitoring adopted by the Programme Operator provides for a control plan including all projects whose realisation is at an end. Controls at the ending of a project are to confirm that the substantial scope of the project defined in the financing agreement has been fully completed and objectives of the project have been reached.
On principle, control at the end of the realisation of the project is performed after the Beneficiary submits with the Programme Operator the last application for payment.
Updating of annual monitoring plans takes place in quarterly periods through preparing quarterly control plans based on the annual plan.
In accordance with the methodology adopted by the Programme Operator, the annual monitoring plan shall take into consideration projects that include the following elements of risk:
• large contribution of financial resources on the part of Donor States
• risk of failure to use the awarded amount of grant
• delayed commencement of project realisation or failure to commence realisation of the project by the Beneficiary
• irregularities occurring in the project
• threatened date of project completion mentioned in the financing agreement
• Beneficiary’s failure to fulfil its obligations mentioned in the financing agreement
During the monitoring visit, the following elements shall be taken into consideration:
• degree of completion of objectives and indexes of the project defined in the financing agreement
47
• degree of realisation of substantial scope in relation to assumptions adopted in the financing agreement (progress of particular actions)
• degree of realisation of budget in accordance with assumptions adopted in the financing agreement
• eligibility and correctness of expenses incurred by the Beneficiary
• ensuring co-financing and documenting the contribution in kind
• generating of revenues by projects
• fulfilment of obligations once the project ends
• realisation of the principle of partnership in accordance with the financing agreement and partnership agreement
• realisation of the project in accordance with procedures and tender documentation
• holding by the Beneficiary of required permissions and other required documents
• realisation of informational and promotional activities at the level of the project
• evaluation of risk related to timely project completion failure and failure to realise the substantial scope included in projects.
The monitoring plan described is in addition applicable to predefined projects.
ANNEX NO. 4 TO THE OPERATIONAL PROGRAMME
“Saving energy and promoting renewable energy sources” within the framework of
Financial Mechanism of the European Economic Area 2009-2014
Communication plan
No Tool of communication Objective Actions Target groups Schedule19
1. Announcement of the EEA FM 2009-2014 recruitment
Information on available resources from the EEA FM 2009 – 2014 and requirements a project must meet
Placing information: - in the EEA FM and Programme Operator’s websites, - in national press,
Potential applicants, institutions engaged in implementing of the EEA FM
2012
2. Informational bulletin on the EEA FM 2009-2014
Information on resources available from the EEA FM 2009 – 2014
The printed bulletin shall be distributed at a promoting seminar and made available in electronic form on Programme Operator’s website
Potential applicants, beneficiaries and institutions engaged in implementing of the EEA FM
2012 2013 2014 2015
3. Seminar promoting the EEA FM 2009-2014
Information on resources available from the EEA FM 2009 – 2014
Programme Operator shall organise a meeting with beneficiaries
Potential applicants, institutions engaged in implementing of the EEA FM
2012
4. Informational and promotional materials with the EEA FM and MŚ logo e.g. bags, calendars, notebooks, pendrives, ball pens, mugs etc.
Information and promotion of the EEA FM 2009 – 2014
Promotional materials shall be distributed at a promoting seminar and subsequent meetings with beneficiaries
Potential applicants, institutions engaged in implementing of the EEA FM
2012 2013 2014 2015 2016 2017
19
Schedule depends on the date of approval of the programme by benefactors.
49
5. The EEA FM 2009-2014 website
Current information on the EEA FM
Programme Operator shall be including current information on the EEA FM 2009-2014 in its website
Potential applicants, Beneficiaries realising projects and institutions engaged in implementing of the EEA FM
Updated on a current basis from 2nd half of 2011
6. Training for beneficiaries on proper preparation and running of financial documentation and reporting on projects realized as a part of the EEA FM 2009- 2014
Information on practical settlement of the EEA FM aid obtained
Programme Operator shall organise a meeting with beneficiaries
Beneficiaries realising projects and institutions engaged in implementing of the EEA FM
2013 2014 2015
7. Informational bulletin summarising the state of works related to the implementation of the EEA FM 2009-2014 projects
Information summarising realisation of operational programmes as a part of the EEA FM 2009 – 2014
The printed bulletin shall be distributed at the EEA FM 2009 -2014 summary conference, sent to beneficiaries, and made available in electronic form on Programme Operator’s website
Beneficiaries realising projects and institutions engaged in implementing of the EEA FM
2016 2017
8. Conference summarising the state of the EEA FM 2009 – 2014 implementation in the scope of environmental priorities
Information summarising realisation of operational programmes as a part of the EEA FM 2009 – 2014
Programme Operator shall organise a meeting with beneficiaries
Beneficiaries realising projects and institutions engaged in implementing of the EEA FM
2016 2017
Information and publicity
(item 3.13. of the Operational Programme)
Information and publicity at the level of the Programme
The main source of information on the Operational Programme will be a website dedicated to the Operational Programme, the EEA FM and bilateral cooperation with Donor States. The website will provide current and detailed information on using the financing by potential Beneficiaries, and on open call for proposals, as well as grants awarded. The website of the Operational Programme will be managed in the Polish and the English language.
The website shall include easily accessible links to all basic documents and websites concerning the EEA FM implementation structures, including FMO website.
Other activities in this scope taken up by the Programme Operator include:
• Publication of materials in the scope of areas covered by the assistance of the Operational Programme and the EEA FM in the form of widely accessible brochures, folders and leaflets.
• Organisation of a conference, participation in fairs and promotional events where actiwities will have a form of presentations and interview, distribution of leaflets and folders among potential applicants and Beneficiaries – informing of financing opportunities and the manner of using grants, as well as of the Operational Programme and projects implementation objectives and outcomes,.
• Organisation of trainings and workshops for groups of potential applicants – before announcing the open call for proposals and organisation of trainings and workshops for Beneficiaries who will receive financing from the EEA FM resources.
• Running a consultation point for service of potential applicants.
• Distribution of information through media on planned/run open call for proposals under the particular programme areas of the Operational Programme. Informational and promotional meetings at a regional and local level with applicants and Beneficiaries.
Information and publicity at the level of the Project
The promotion plan (including informational and promotional activities) shall be prepared for each application by a Beneficiary in charge and shall be included to the application for financial aid submitted during applications recruitment as a part of the EEA FM.
Such plan should define:
• objectives and groups to whom information and publicity are directed (target groups),
• activities and plan implementation methods,
• promotional and informational activities budget as an element of a project budget,
• information on responsibility for the implementation of information and promotion plan at the level of the project.
All expenditures related to informational and publicity activities, including the assistance of consultants/PR companies, should be covered from financial resources of the project budget. A respective proportion between the budget for informational and publicity activities of the project and total value of the project budget should be preserved.
A Beneficiary should inform of the financial assistance received on all documents and materials related to project implementation and at each promotional material, including training materials, brochures,
51
leaflets and posters. Recipients of such materials should be aware of the significance of the assistance granted as a part of the Operational Programme within the framework of the EEA FM.
If possible, the Beneficiary should document the course of project implementation and accompanying promotional events through photographs or film materials.
All initiated activities shall be related to the Operational Programme and the EEA FM through the following wordings in both language versions:
• for financial assistance granted under the EEA FM :
„Wsparcie udzielone przez Islandię, Liechtenstein i Norwegię, poprzez dofinansowanie ze środków
Mechanizmu Finansowego Europejskiego Obszaru Gospodarczego.
Supported by a grant from Iceland, Liechtenstein and Norway, through the EEA Financial Mechanism.”
Informational and publicity activities taken up by the Beneficiary at the level of the Project provide for the following instruments of transfer of information and publicity:
1. Billboards and commemorative plaques Advertising/informational plaques should be installed at the moment of commencement of works at the location of infrastructural investments. Within 6 months from ending of investment works, such plaques should be replaces by commemorative plaques which should be installed in a commonly accessible location.
2. Informational materials Publications (e.g. brochures, leaflets, posters, newsletters) concerning the project should include a clear reference to the EEA FM and emblems thereof in the title page. Emblems of the EEA FM may be accompanied by national or regional symbols. The above-mentioned principles are also valid for informational materials provided in electronic form (e.g. through websites, electronic databases for potential Beneficiaries) or audio-visual materials.
3. Informational events, inaugurations of projects and other significant stages of project implementation
Organisers of informational events, such as conferences, seminars, fairs and exhibitions, prepared in relation to project implementation co-finances by the EEA FM under the Operational Programme, should clearly indicate the participation of the EEA FM in financing of the project and possibility of realising thereof. The Programme Operator should inform the FMO and the representatives of Donor States and their organisations on such events respectively in advance in order to make it able to organise the participation of representatives thereof. Also in the case of inauguration of the project or other significant stages of implementing thereof Beneficiaries should inform of this fact respective institutions in advance.
4. Additional informational and promotional actions at the level of the Operational Programme and Projects
Following previous consultations with the FMO, the Programme Operator under its own initiative or at the request of the Beneficiary may initiate additional publicity and informational activities if it seems them necessary.
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ANNEX NO. 5 TO THE OPERATIONAL PROGRAMME
“Saving energy and promoting renewable energy sources” within the framework of
Financial Mechanism of the European Economic Area 2009-2014
Management structure (item 3.14.1 of the Operational Programme)
Charts showing the management structure of the Programe Operator
Minister of the Environment
Undersecretary of State Ministry of the Environment
Director General
Director of the Department of Financial Instruments
Director General Office
Director of the Department
of Law
Director of the
Department of Economy
responsible for coordinating and
managing the EEA FM
responsible for providing legal advice of documents in the
framework of EEA FM
responsible for providing projects
funding
responsible for making payments within technical assistance (management
costs, programme preparation costs)
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President of the National Environmental Protection
Fund and Water Management
Norwegian Funds Depatment
Accounting and Settlements Department
Verification and Settlements Department
Enterprises Control Department
Deputy President of the Environmental Protection Fund and
Water Management
responsible for the coordination of projects
responsible for verifying reports and settlement documents with reference
to financial, formal and accounting aspects, and for the transfer of
resources to Beneficiaries' accounts mentioned in the financial agreement,
and for settlement of expenses as a part of technical assistance
(management costs etc.)
responsible for verifying reports and settlement document with
reference to the substantial aspect
responsible for control at the Beneficiary’s facility
Internal Control Department
responsible for proper processing of reported
irregularities discovered during the project
realisation
substantial units
responbible for proper evaluation of the application in the scope of consistency
with ecological criteria
Financial Analyses Department
responsible for proper financial evaluation in the scope of consistency with substantial and technical criteria in the scope of financial evaluation of
applications
State Aid Team
responsible for proper evaluation of an application in the scope of
state aid
ANNEX NO. 6 TO THE OPERATIONAL PROGRAMME
“Saving energy and promoting renewable energy sources” within the framework of
Financial Mechanism of the European Economic Area 2009-2014
CVs of key employees
56
Paweł Magdziarek Department of Financial Instruments Ministry of the Environment ul. Wawelska 52/54, 00-922 Warszawa, Poland tel. (+48 22) 57 92 732, fax: (+48 22) 57 92 529 e-mail: [email protected] http://www.mos.gov.pl/
Current Position: Director of Department of Financial Instruments, Ministry of the Environment, since 2009
Education: Master of Law, Adam Mickiewicz University in Poznań
National School of Public Administration, Warsaw
Professional career:
1. 2001 -2002 - Ministry of Finance, Department of Treasury Control, Experience in area of: - legislation process, - legal service in scope of taxation and budget issues, 2. 2002-2008 - Ministry of Finance, Bureau of International Treasury Relations/Department of
Certification and Issuing of the Winding-up Declarations. Experience in area of: - building of the institutional system of checks/auditits of the EU measures (Phare, SAPARD, ISPA,
Cohesion Fund, Structural Funds), - building of Irregularities Reporting System (SION) for programs co-financed by the EU (both for
perspective 2000-2006 and 2007-20013) - on-the-spot checks of projects co-financed by the EU, - issuing of the winding – up – declarations for projects financed from the Cohesion Fund (both
Transport and Environment Sectors) - compliance audit for the Financial perspective 2007-13 in area of Cohesion Fund and European
Regional Development Fund. - cooperation with European Anti Fraud Office (OLAF) in case of serious irregularities and
infringements of law. Experience in the Ministry of the Environment is connected with the supervision of environmental projects implemeted within the Cohesion Fund as well as the implementation of environmental and technical assistance projects realised within environmental priorities of the EEA and Norwegian Financial Mechanisms 2004-2009. The activities coordinated within the EEA and Norway Grants as the Intermediate Body include i.a.:
- organisation of the selection process of projects chosen as a result of calls for proposals and assessment of applications for financing projects in the fields of water and wastewater management, renewable energy resources, waste disposal, monitoring, thermal insulation, biodiversity, education, etc.,
- provision of funding for the implementation of projects, proper realisation of the financing agreement with the Auxilliary Institution, monitoring of financial flows and reporting documentation
- implemetation of the Technical Assistance Fund in the substantial and financial aspect. The activities provided for within the fund were i.a.: organisation of activities for beneficiaries: training seminars, national and international conferences, publication of information and promotion materials, purchase of promotional materials and distribution among the beneficiaries.
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- preparation of monitoring reports and applications for payment within the Technical Assistance Fund and submission to the National Focal Point
Anna Przeniosło Department of Norwegian Funds National Fund for Environmental Protection and Water Management ul. Konstruktorska 3A 02-673 Warszawa, Poland tel.: (+48 22) 45 90 430 fax: (+48 22) 45 90 621 e-mail: a.przeniosł[email protected] http://www.nfosigw.gov.pl/
Current Position: Director of Department of Norwegian Funds, National Fund for Environmental Protection and Water Management, since 2006
Education: Master of Science at the Faculty of Chemistry, University of Warsaw
Professional career:
1. After graduation employed in chemical industry and research facilities, including postgraduate studies on biochemistry and biophysics. Independent and group researches on determination of resources, management methods as well as industrial and recycling waste utulisation technology.
2. Eighteen years of professional experience in the National Fund for Environmental Protection and Water Management, position connected with financing investments in the field of environmental protection, including:
• Implementation of financial agreements with contribution from domestic funds, among others in the field of hazardous waste disposal technology.
• Implementation of EEA and Norwegian Financial Mechanism 2004-2009. Coordination of work performed by the Auxilliary Institution connected with:
- elaboration of guidelines and procedures connected with utilisation of EEA and Norwegian Finacial Mechanism financial resources,
- elaboration of criteria for application assessment and internal procedures connected with effective utilisation of EEA and Norwegian FM funds,
- calls for proposals and assessment of applications for financing projects in the fields of water and wastewater management, renewable energy resources, waste disposal, monitoring, thermal insulation, biodiversity, education, etc.,
- preparation and implementation of financial agreements with final beneficiaries.
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ANNEX NO. 7 TO THE OPERATIONAL PROGRAMME
“Saving energy and promoting renewable energy sources” within the framework of
Financial Mechanism of the European Economic Area 2009-2014
Additional information
Public and private structures relevant to the programme area
(item 3.4.2 of the Operational Programme)
At the governmental level, sole competencies in the scope of the energy industry, policy related thereto, and implementing a considerable part of executive regulations to the energy law are held by the Minister of Economy. The Ministry of Economy is preparing i.a. the “National plan of action in the scope of renewable energy.” This plan defines national objectives in the scope of participation of renewable energy in the transport sector, power sector, heating and cooling sector in 2020, taking into consideration the impact of other energy efficiency policy means onto the final consumption of energy and respective measures that need to be adopted in order to achieve national general objectives in the scope of the participation of RES in using of the final energy. The Minister of Economy is responsible i.a. for limiting the impact of the energy industry on the natural environment with simultaneous care for the economic development. Furthermore, competencies of this department include adapting Polish law to EU requirements which consists in i.a.: diversification of energy sources, enabling the development of local energy manufacturers, as well as promoting the increase of renewable energy use. The Minister of Economy is in addition responsible for drawing up regulations concerning energy efficiency, thermal insulation, entering proper elements into state ecology policy, and Poland’s climate policy to the sector policy. The Economy Department is in close cooperation with the Energy Regulatory Office whose task consists in approving the prices calculated by companies manufacturing energy. Office tasks in addition include issuing of licences valid for all electricity and heating manufacturers who use alternative sources of energy exceeding 1 MW.
Issues of obtaining energy from RES are included in the competencies of the Minister of the Environment. This department is responsible for reduction of air pollutions emission which Poland obliged to apply at the national level and through signing international agreements (UN Framework Convention on Climate Change, Kyoto Protocol, Convention on Long-range Transboundary Air Pollution). The Minister of the Environment ratified a number of bilateral agreements concerning the protection of air, i.a. with Holland as a part of the Joint Implementation Programme, and other bilateral agreements (e.g. with Denmark). The Environmental Department is in addition responsible for the protection of water and geological resources which has its direct translation into decisions on the use of geothermal energy. In addition, it has at its disposal pro-ecology funds that may also be granted for the support of the development of the energy industry from unconventional sources. The National Fund is supervised by the Minister of the Environment. The most important task of the National Fund in recent years has been efficient use of resources allocated for building and modernisation of environmental protection infrastructure in our country. Implementing ecological projects which obtained or will obtain financial support of such enterprises under the EEA FM shall serve achieving by Poland ecological outcomes resulting from international obligations. Third ministry interested in promoting alternative sources of energy is the Ministry of Agriculture and Rural Development. This interest results from the care for proper operation of rural areas, and in particular providing a circle of benefits that might result from the development of this branch of energy industry,
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even through decreasing the amount of pollution into the atmosphere as a result of reduction of low emissions.
The Minister who is responsible for energy efficiency is also the Minister of Infrastructure by introducing with the Building Law executive regulations.
Apart from the central level, also provincial authorities should contribute to increasing the production and the use of energy derived from unconventional sources. Tasks of these authorities mainly include creating development plans which shall include priority tasks. In particular, much say in the scope of creating such type of studies have provincial environmental protection departments, regional development departments and regional units responsible for agriculture and agricultural improvement. At a regional level, due to current regulations included in system and detailed acts (Environmental Protection Law of Energy Law), the governor has basic competencies in the scope of development or regress of RES. The governor, being a field representative of the government, effects government’s policy and coordinates actions of other field authorities of specialised governmental administration. The significant instruments awarded to the above-mentioned authority are orders. For the development of RES, an important right of the governor consists in ensuring cooperation of all organisational units of governmental and local government administration acting in the territory of the province. The governor, being an authority supervising actions of the municipality, has competencies to declare invalidity of resolution adopted by the municipality which are in conflict with current legal regulations, including objectives of the Energy Law, therefore i.a. with the development of renewable energy. Through their rights, the governor guides local governments towards the development of RES.
Another role to fulfil in the scope of supporting of alternative sources of energy and the improvement of energy efficiency has local authorities that are district and municipality local governments. At this level there are many tasks in completion of which the decision-makers may promote this branch of the energy industry. An important task of this type is the necessity to limit low emissions to air that is impossible without the modernisation of old hearths and the introduction of new equipment. This opportunity ensures a possibility of supporting the development of renewable sources that do not pollute the environment, and at the same time are available locally. The Energy Law act imposes on local government authorities an obligation to include in local energy plans the use of renewable energy. Apart from this, local officers may at their own initiative promote such solutions.
A significant impact on the increase in energy efficiency and promoting renewable energy has planning and land development plan, shaping and running a land development policy at the level of the municipality, including passing a study of conditions and directions of land development plan of the municipality and local land development plans, which is municipality’s own task. Local government of a particular district is responsible for land development plans at the level of the district.
Therefore, defining the location of equipment producing the energy from renewable sources occurs based on the local land development plan or, should there be no such plan, based on the decision on the conditions of buildings. In the above-mentioned activities, the municipality is however bound by planning at a national level, i.a. findings of the conception of the national land development plan.
In addition, private sector and nongovernmental organizations (NGOs) which participate in social consultations concerning the scope of the Operational Programme have an impact on the increase of energy efficiency and promotion of RES. The above-mentioned entities in addition take part in the meetings of the Selection Committee whose task consists in recommending projects for support from the EEA FM resources.
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EU and national regulations competent regarding the programme area
(item 3.4.3 of the Operational Programme)
Energy efficiency – programme area no. 5
Buildings are responsible for 40 % of total use of energy in the EU. This sector is under development, and that leads to the increase in the consumption of energy. Therefore, limiting the consumption of energy and using RES in the building industry sector are important actions necessary for limiting the EU energy dependence and emission of greenhouse gasses. Legislative actions adopted at the community level, serving the limitation of the energy consumption, accompanying the increase of use of RES would allow the Union to fulfil the provisions of the Kyoto Protocol of the United Nations Framework Convention on Climate Change (UNFCCC) and to fulfil its long-term obligations to keep the level of increase of global temperature below 2°C and the obligation to limit – until 2020 – total emissions of greenhouse gasses by at least 20% below the level from 1990 and by 30% – in the event of an international agreement reached.
Lower consumption of energy and increased use of renewable energy have in addition a great significance for increasing the safety of energy deliveries, support of technical development, and for employment opportunities and regional development, in particular in rural areas.
Energy demand management is an important tool enabling the Union to have an impact on the world energy market and thus on the safety of mean and long-term energy deliveries.
EU has observed a necessity of the improvement of energy efficiency in member states in order to achieve the objective aiming at decreasing until 2020 the consumption of energy by EU by 20%, and has called member states to implement in a thorough and quick manner of priorities defined in the European Commission Communication entitled “Action Plan for Energy Efficiency: Realising the Potential” This plan of action included significant opportunities of saving energy in an economically feasible manner in the buildings sector.
In the European Parliament resolution of January 31st, 2008, to strengthen regulations of the Directive 2002/91/EC, which in result led to adopting of the Directive of the European Parliament and of the Council 2010/31/EU of May 19th, 2010 on the energy performance of buildings. This Directive is focused on the rationalization of energy consumption in buildings with reference to: - heating and cooling of rooms, - preparing hot water, - lighting of rooms (in public utility buildings).
In the Polish legal system, the following acts are in particular significant for the programme area concerning energy efficiency:
• Construction Law Act of July 7th, 1994(Dz. U. z 2010 r. Nr 243, poz. 1623 with later amendments),
• Energy Law Act of April 10th, 1997 (Dz. U. z 2006 r. Nr 89, poz.625 (Dz. U. z 2006 r. Nr 89, poz.625 with later amendments),
• Environmental Protection Law Act of April 27th, 2001 (Dz. U. z 2008 r. Nr 25, poz.150 with later amendments),
• Supporting thermomodernisations and repairs Act of November 21st, 2008 (Dz. U. z 2008 r. Nr 223, poz. 1459 with later amendments), defining the new form of state aid in the process of decreasing the use of thermal energy in buildings.
The improvement of energy efficiency and national use of existing energy resources in the perspective of increasing energy demand are the areas that Poland pays particular attention to. A priority objective of the government consists in creating legal frames and the support system for actions included with the improvement of energy efficiency. Therefore, a number of regulations in this scope
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has been prepared and adopted, i.a. on March 4th, 2011, the Parliament adopted the Energy Efficiency Act of April 15th, 2011.
The act defines the objective in the scope of saving the energy, taking into account the leading role of public sector, establishes supporting mechanisms and system of monitoring and accumulation of necessary data which shall contribute to increasing of energy use rationality. It introduces a system of white certificates where companies selling electricity, heat and gas to final recipients have to submit with the President of the Energy Regulatory Office energy efficiency certificates that are a proof of completion of efficiency enterprises in a defined scope or pay a substitute fee instead of such certificates. This act shall in addition ensure full implementation of European directives in the scope of energy efficiency, in particular regulations of Directive 2006/32/EC on energy end-use efficiency and energy services.
National legal acts of executive nature, allowing i.a. to fulfil obligations resulting directly from the above-mentioned acts and indirectly from the above-mentioned directive include i.a.:
• Regulation of the Minister of Infrastructure from April 12th, 2002 on technical conditions recuired from buildings and their locations (Dz.U. z 2002 r. Nr 75 poz. 690 with later amendments);
• Regulation of the Minister of Infrastructure from November 6th, 2008 on the methodology for calculating the energy performance of building and apartment or part of a building that constitutes a separate technical-utilitarian unit and the method of preparation and models of certificates of energy performance (Dz.U. z 2008 r. Nr 201 poz. 1240);
• Regulation of the Minister of Infrastructure from March 17th, 2009 on detailed scope and forms of energy audit and a part of repair audit, specimens of audit cards, and the algorithm of evaluation of profitability of thermomodernisation project (Journal of Laws 2009 No. 43 Item 346)
Renewable energy – programme area no. 6
The main mechanism of energy production support from renewable sources, the so-called green
certificates system, was defined in Polish legal system in the Energy Law Act of April 10th, 1997 (Dz. U. z 2006 r. Nr 89, poz.625 (Dz. U. z 2006 r. Nr 89, poz.625 with later amendments).
This solution is a market mechanism favourable for the development of renewable energy industry. Its essence lies with the obligation, imposed on energy companies that sell power to final recipients, concerning obtaining and submitting for amortisation with the President of the Energy Regulatory Office a defined number of certificates of origin of power created from renewable energy or paying a substitute fee. This concerns building of new powers in the scope of RES, building and development of transport grids enabling connection to new production units, as well as production of equipment for renewable energy industry.
This solution shall enable fulfilment of the obligation under art. 4 section 3 of the Directive 2009/28/EC of the European Parliament and Council of April 23rd, 2009 on the promotion of the use of RES and amending and subsequently repealing Directives 2001/77/EC and 2003/30/EC. This Directive has basic meaning for the development of renewable energy in EU member states. This deed defines requirements related to i.a. national objectives and the operations of national support systems, and linking national objectives with Community objectives on promoting the use of renewable energy, creating conditions for supporting the production of energy from renewable sources, and has a meaning for supporting energy efficiency in the context of binding objective in the scope of renewable energy whose participation shall be 20% of total use of energy in the EU until 2020.
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National legal acts of executive nature, allowing i.a. to fulfil obligations resulting directly from the above-mentioned acts and indirectly from the above-mentioned directive include i.a.:
• Regulation of the Minister of Economy from August 14th, 2008 on detailed scope of obligations obtaining and presenting for redemption of certificates of origin, payments of fees, purchase of electricity and heat produced from renewable energy sources and the obligation of data confirmation on the amount of electricity produced from renewable energy sources (Dz.U. z 2008 r. Nr 156 poz. 969 ze zm.);
• Regulation of the Minister of Economy, Labour and Social Policy from May 30th, 2003 on the specific obligation to purchase electricity and heat from renewable energy sources and electricity produced in combination with heat production (Dz. U. z 2003 r. Nr 104, poz. 971).
State aid and public procurement
(item 3.4.4 of the Operational Programme)
State aid
Pursuant to art. 107 section 1 of the Treaty on the functioning of the European Union (TfUE) (former art. 87 section 1 of the Treaty establishing the European Community), support for business entities (entrepreneurs within the meaning of the EU law on competition) is subject to regulations concerning state aid, provided that at the same time the following are met:
• it is granted by the State or from public resources;
• the entity obtains benefit on terms more profitable than offered in the market; • it is selective in nature (it privileges defined entities or manufacturing of defined goods);
• it threatens to disturb or disturbs competition and has an impact on the trade exchange between EU Member States.
The notion of state aid has its source in the EU legislation, thus interpreting thereof solely on the grounds of the national legislation is improper. Polish legal regulations – act of 30.04.2004 on the proceeding in matters concerning the state aid (Journal of Laws of 2007 No. 59 Item 404 as amended) and executive regulations thereto specify only EU regulations i.a. in the scope of the procedure of granting state aid and detailed formal terms that must be met by applications for aid.
In evaluating the financing granted from the point of view of qualification thereof as state aid, an EU definition of an entrepreneur should be followed first and foremost.
In relation to the notion of an entrepreneur in the EU legislation, this notion is understood very widely and includes in its scope all categories of entities engaged in running business activity (i.e. providing goods or services in the market), regardless of the legal form of such entities and sources of financing thereof. The fact that these entities are non-profit organisations does not matter.
Regulations of the EU legislation are in addition applicable to entities in the public sector in a situation in which they run such business activity.
In relation to local government units and their relations and agreement, it might be stated that their activity, on principle, is not business activity, therefore support granted to these entities in most cases (which however does not mean always) is not state aid.
In evaluation of applications that fact whether the applicant runs such business activity consisting in providing goods in the market or rendering services there, that may generally be subject to usual market principles (even if under specific conditions the profit motive is excluded) should first and foremost be taken into consideration. However, the fact whether regulations valid in a particular Member State grant a particular entity a status of an entrepreneur does not matter. Regulations
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concerning state aid are thus applied in relation to an entrepreneur within the above-mentioned meaning, however only when at the same time this entrepreneur runs business activity in the market where there is competition, and there is – if minimum – interaction in this scope on the trade (i.a. on the flow of goods or services) between particular (at least two) Member States of the European Union. It should be stressed that the fact that the applicant for financing actually does not take part in this exchange, i.a. does not i.a. export goods to markets of other Member States or to markets of states outsider the European Union shall have no significance. A potential possibility that goods or services of such an entity shall be competitive towards goods or services of a competitor from another Member State is sufficient. In this manner, applying for financing could – potentially or actually – threaten to disturb the competition.
However, in relation to first three premises defining state aid for financing of entrepreneurs as a part of the Operational Programme, they are fulfilled. In particular, being financed in this manner, an entrepreneur is offered a benefit that they would not obtain under market conditions, and support of entities is selective.
Granting support which is state aid as a part of this Operational Programme shall take place while taking into consideration the terms of availability of state aid defined in EU legal regulations and national regulations in the scope of state aid. Therefore, in the case of state aid, applications, apart from evaluation, should also be verified in relation to their conformity with regulations defining the terms of granting state aid. In consequence, in the event of necessity to in the event of the necessity to apply in granting support rules of state aid, there might occur in particular a necessity to limit the list of costs eligible for aid, provided for in the Operational Programme.
Applicants (and later Beneficiaries) for whom financing shall be state aid, must therefore observe principles defined both in the Operational Programme, as well as in aid programme (in proper national regulation on state aid) or EU regulation (i.a. on de minimis aid).
State aid granted based on the Operational Programme shall be evaluated – depending on the nature of a particular enterprises or the amount of financing applied for – with reference to its conformity with regulations on i.a. regional aid, regulations on horizontal aid or de minimis aid. Terms defining the permissibility of a particular aid (regional and horizontal) have been included in national regulations competent regarding the support granted by the National Fund which can be found at http://www.nfosigw.gov.pl/pomoc-publiczna/.
Taking into consideration the scope of the Operational Programme, it might be mentioned that state aid granted as a part thereof shall be evaluated based on the following national aid programmes:
� as regional state aid – on terms defined in the the Council of Ministers Regulation of December 22nd, 2006 on aid programme in the scope of regional state aid for some investments in the environmental protection (Journal of Laws No. 246 Item 1795 as amended); the regulation is valid until 31.12.2013
� as horizontal state aid – on terms defined in the Minister of the Environment Regulation of January 16th, 2008 on detailed terms of granting state aid for enterprises being investments related to renewable energy (Journal of Laws No. 14 Item 89 as amended); the regulation shall be valid until 31.12.2012 and is to be replaced by regulation valid until 31.12.2014
� as horizontal state aid – on terms defined in the Minister of the Environment Regulation of April 8th, 2008 on detailed terms of granting state aid for enterprises being investments in application of technologies providing cleaner and energy-saving production and saving of raw materials (Journal of Laws No. 61 Item 385 as amended); the regulation is valid until 31.12.2012 and is to be replaced by regulation valid until 31.12.2014
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In relation to support qualified as de minimis aid, i.a. a regulation of the Commission (EC) No. 1998/2006 dated December 15th, 2006 on applying art. 87 and 88 of the EC Treaty to the de minimis aid (Official Journal of EU L 379 dated 28.12.2006 p. 5) shall be applied (valid until 31.12.2013). De minimis aid id an aid which – summed at the level of an entrepreneur (de minimis aid received by an entrepreneur including de minimis aid it applied for) – may not exceed EUR 200 thousand in the period of the last three years (or in the case of de minimis aid granted in the road transport sector –100 000 EUR).
In preparing an application for financing it should be determined whether this financing meets all premises defined in art. 107 section 1 of TfUE, and in the case of confirming state aid – through the analysis of basic terms of admissibility of a particular aim of aid – which aim of aid shall be applied to this enterprise.
Information on state aid granted shall be included in the content of the financial agreement concerning financing of a particular enterprise and end reports on the realisation of project.
Public procurement
Beneficiaries realising projects co-financed from the EEA FM resources are obliged to apply in full all proper regulations of EU legislation, national and local legislation, and in particular public procurement legislation in conformity with regulations of Public Procurement Law (Ppl) in case where in accordance with art. 3 of Ppl the Beneficiary is an entity obliged to apply thereof. Other legal deeds regulating the issue of signing of agreements include: Directive 2004/18/EC of the European Parliament and Council of March 31st, 2004 on the coordination of procedures for the award of public works contracts, public supply contract and public service contracts (the so-called classic directive), Directive 2004/17/EC of the European Parliament and Council of March 31st 2004 coordinating the procurement procedures of entities operating in the water, energy, transport and postal services sectors (the so-called sector directive), the European Commission Interpretative Communication on the Community law applicable to contract awards not or not fully subject to the provisions of the Public Procurement Directives (EC Communication of August 1st, 2006 no. 2006/C 179/02), and the act of January 29th, 2004 – Public Procurement Law – Ppl (Journal of Laws of 2010 No. 113 Item 759 and No. 161 Item 1078).
If an entity is not obliged to apply Ppl, it should sign agreements with contractors based on its own internal procedures while observing principles resulting from financing agreement and the European Commission Interpretative Communication on the Community law applicable to contract awards not or not fully subject to the provisions of the Public Procurement Directives.
Chief principles of running a tender proceedings are equal treatment of contractors and transparency of the proceedings, proper periods, mutual recognition of diplomas, certificates and other documents confirming qualities held, in accordance with the Polish law, equal access for business entities from all member states, non-discriminating description of the object of the order, and making information of orders public (openness).
The basic assumption of the principles mentioned consists in eliminating the risk of privileged treating of one of the entities. This entails and obligation to define in a clear, precise and risk eliminating manner of subjective evaluation of terms of the order mentioned in the announcement or terms of reference, which includes first and foremost:
• description of the object of the order,
• entity criteria for contractors,
• bids evaluation criteria.
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This, on the one hand, would allow potential contractors to acquaint themselves and equally understand basic information concerning the order, and thus proper preparation of the proceedings, and on the other hand it would provide the ordering party an instrument for objective evaluation and qualification of entities applying for the order, as well as bids submitted by them.
In order to minimise irregularities resulting from errors in the procedure of granting public procurement, the Programme Operator might perform an audit of the procedure of public procurement ex-ante (before announcement of tender) or ex-post (after the announcement of tender, however before signing the agreement with the contractor or the supplier).
Beneficiaries released by right from applying the act on Ppl shall be obliged under terms of the financial agreement signed with the Operational Programme Operator to observe fair competition principles and fair treatment of entities in the market in the scope of ordered services, goods and works accompanying realisation of projects financed from the EEA FM resources.
Financial management
(item 3.14.5 of the Operational Programme)
Resources derived from the EEA FM are included in public resources and shall be serviced in accordance with budget principles defined in the June 30th, 2005 act on public finance (Journal of Laws No. 249 Item 2104 as amended) and in executive deeds to the above-mentioned act.
Minister of Finance, on behalf of the Certifying Institution, shall open an account for the EEA FM, to which resources by FMC shall be transferred. The account shall be managed in accordance with the public finance act of August 27th, 2009.
In order to formally establish principles of cooperation of institutions included in the realisation of enterprises co-financed by the EEA FM, NFP shall sign agreements as a part of the Memorandum of Understanding with the Certifying Institution and the Programme Operator.
Such agreements shall regulate in particular principles of cooperation between the above-mentioned institutions, circulation of documents, principles of financial management control and substantial progress of projects implementation.
Tasks of the Programme Operator in the above-mentioned scope include inter alia:
• signing financial agreements with Beneficiaries concerning the project;
• verification of project outcomes and expenses declared by beneficiaries in accordance with the agreement on programme and respective national and EU legal regulations;
• ensuring timely payments of project financing;
• ensuring the use of financial aid solely for the purposes of the programme and projects thereof;
• ensuring that beneficiaries manage a separate accounting system or proper accounting code for all transactions related to the project, subject to national accounting regulations;
• preparing and submitting financial periodic reports for the programme, annual reports for the programme, final reports for the programme and reports concerning interest calculated;
• providing the Certifying Institution with a forecast concerning planned payments necessary for the Certifying Institution to fulfil its obligations;
• ensuring that all necessary and proper actions are adopted in order to prevent, detect and eliminate of all instances of alleged or actual irregularities, and that they are quickly and successfully tested and properly reported and fixed, including proper financial adjustments.
Financing of the project within the framework of the EEA FM provides for an opportunity to include contribution in kind and overhead cost into eligible costs.
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Periodic payments to the benefit of the Beneficiary shall be made based on submitted and verified applications for payment. Applications for payment shall be verified based on checklists.
STATISTICAL ATTACHEMENT