Terms of Reference
for a Multiple Framework Agreement
on
Appraisal, Monitoring and Rapid Assessment Services relating
to EEA & Norway Grants 2009-2014 and 2014-2021
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Background
Through the EEA and Norway Grants 2009-2014, Iceland, Liechtenstein and Norway contribute
to reducing disparities in Europe and to strengthening bilateral relations with 16 countries in
Central and Southern Europe and in the Baltics1. €1.8 billion has been set aside under the Grants
for the period 2009 to 2014.
For the financial period 2009-2014, funding is channelled through around 150 programmes.
Each beneficiary country agreed on a set of programmes with the donor countries, based on
national needs and priorities and the scope for cooperation with the donor countries. All
programmes must adhere to standards relating to human rights, good governance, sustainable
development and gender equality.
Programme areas include environmental protection and climate change, civil society, children
and health, cultural heritage, research and scholarships, decent work and justice and home affairs.
For the period 2014-2021, €2.8 billion has been set aside for 15 beneficiary countries to
contribute to reducing disparities in Europe and to strengthening bilateral relations with the donor
countries. Five priority sectors are identified, each of which contains further programme areas2.
1.
2.
3.
4.
5.
Innovation, Research, Education and Competitiveness
Social Inclusion, Youth Employment and Poverty Reduction
Environment, Energy, Climate Change and Low Carbon Economy
Culture, Civil Society, Good Governance and Fundamental Rights and Freedoms
Justice and Home Affairs
Bilateral cooperation takes place within all sectors supported under the EEA and Norway Grants.
Grants are administered on the basis of a “Regulation on the implementation of the
EEA/Norwegian Financial Mechanism 2009-2014/2014-2021” (the “Regulations”) and of a
Memorandum of Understanding between the beneficiary countries and the donor countries (the
“MoU”).
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2
http://eeagrants.org/Where-we-work
http://eeagrants.org/What-we-do/EEA-and-Norway-Grants-2014-2021
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All beneficiary countries designate a National Focal Point (“the NFP”) which has the overall
responsibility for reaching the objectives and implementing the Financial Mechanisms, including
monitoring and evaluation. The NFPs represent the beneficiary countries vis-à-vis the Donors.
Programme Agreements are signed between the NFPs and the Donors. For the 2009-2014 period
all Programme Agreements have been signed, and the programmes are in their last year of
implementation. For the 2014-2021 period, the signing of the Memoranda of Understanding with
the beneficiary countries has just commenced. Programme Agreements are to be signed gradually
within the following years.
The Programme Agreements set forth the terms and conditions of the operation of the
programmes, indicators for outcomes and outputs and any other relevant financial and legal
details. Programme Operators (POs) in the beneficiary countries are responsible for preparing and
implementing individual programmes, making the funding available to applicants through calls
for proposals, appraising applications, selecting and monitoring projects. In some cases,
programmes are entrusted to Donor countries’ entities or are maintained under the responsibility
of the FMO which entrusts their implementation to Fund Operators (donor countries’ entities,
NGOs etc.).
In addition, for the period 2014-2021, the EEA and Norway Grants Fund for Youth Employment
and the EEA and Norway Grants Fund for Regional Cooperation have been set up. Their
implementation is partly entrusted to a Fund Operator.
The Regulations also allow for monitoring and evaluation to be carried out on behalf of the
Donors.
Figure 1 – Main organisations involved in the management of the Grants
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Description of services required
The FMO requires assistance for several types of services, to be contracted via specific
Detailed Contracts under a Framework Agreement:
1. Appraisals
2. Monitoring
3. Rapid assessments
2.1
Appraisals
The scope of the Appraisal Services required will vary from case to case. Frequently, the FMO
will require the appraisal of targeted questions related to a specific sector in one beneficiary
country. In other cases the FMO will require a more thorough appraisal of a full range of
horizontal issues in one or more beneficiary countries. Additionally, the FMO may require
assistance in the assessment of concept notes submitted by the beneficiary countries in the context
of the preparation of programme agreements or assistance in the assessment of project
applications.
The scope of the Appraisal Services will be set in the Specification of Tasks for each Detailed
Contract. Depending on the scope of the Appraisal Services, a desk review of the material
provided by the FMO, site visit(s) with the Programme Operator/Project Promoters, (telephone)
interviews of Programme or Project Partners involved in the proposed programme/project, may
be required.
Upon completion of the Appraisal Services, a report addressing the appraisal questions will be
submitted to the FMO (the “Appraisal Report”) using a template which will be provided by the
FMO. The report will cover the findings of the appraisal, including potential recommendations
for improvement. The report may be for internal use by the Donors and the FMO or for
publication.
The number of consultants required will depend on the scope of the assessment. For limited,
specialized tasks the assistance of a 1-2 person team of technical experts will be required. For
more complex tasks, a minimum team of 2 experts will normally be required.
2.2
Monitoring
The FMO will require external monitoring of selected programmes (and occasionally projects) in
order to determine whether the requirements/actions set in the programme agreements are
fulfilled/taken and whether progress is made on achieving the outcome(s) and output(s) 3. The
3
Regulations: http://eeagrants.org/Results-data/Documents/Legal-documents/Regulations-with-annexes.
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consultant will report on implementation progress and will alert the FMO of problematic issues
and provide recommendations for corrective measures. The scope of the Monitoring Services
required will vary from case to case.
The scope of the Monitoring Services will be set in the Specification of Tasks for each Detailed
Contract. It would typically include a desk review of material provided by the FMO, site visit(s)
with the Programme Operator/Project Promoters, (telephone) interviews of Programme or Project
Partners involved in the programme/project.
Upon completion of the Monitoring Services, a report addressing the monitoring questions will be
submitted to the FMO (the “ “Monitoring Report”) in the template provided by the FMO. The
report will cover the findings, including potential recommendations for improvement. The report
may be for internal use by the Donors and the FMO or for publication.
The number of consultants required will depend on the scope of the assessment. For limited,
specialized tasks the assistance of a 1-2 person team of technical experts will be required. For
more complex tasks, a minimum team of 2 experts will normally be required.
2.3
Rapid assessments
Rapid assessments are reviews or mini-evaluations in a specific sector or country covered by the
EEA and Norway Grants. They are quick and narrow in scope, and are mainly focused on a)
providing additional results and lessons learned regarding the implementation of the EEA and
Norway Grants 2009-2014 b) providing information to support the preparation of the EEA and
Norway Grants 2014-2021. Typically, they employ evaluation techniques and principles, but may
be conducted on a smaller sample, or be adjusted to respond to the need for information to be
provided quickly. They may involve desk review, survey, interviews, focus groups and field
work.
The scope of the rapid assessment will be set out in the Specification of Tasks for each Detailed
Contract and, for example, may look at results achieved, where the Grants can/are adding
value and/or may also inform planning for the Financial Mechanisms 2014-2021. As such the
assessments typically include questions linked to one or more of the following criteria: efficiency,
effectiveness, relevance, impact or sustainability.
Appropriate methods and designs should be selected for the assignment in question and may, for
example, include theory-based, case-based, participatory approaches, quantitative approaches or
mixed methods, with a view to providing e.g. impact assessments, ex-ante sector assessments,
cost-benefit analysis, counterfactual analysis, contribution analysis, qualitative comparative
analysis, process tracing, real-time rapid assessment or action-research.
The rapid assessment reports may be for internal use by the Donors and the FMO or for
publication.
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3.1
Implementation of the Agreement
Duration of the Framework Agreement
The duration of the framework agreement will be two years from the date of signature by the last
contracting party. The framework contract shall be renewed automatically for a period of one
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year up to 5 times under the same conditions, unless written notification to the contrary is sent by
one of the contracting parties and received by the other, in accordance with the provisions set out
in the framework agreement.
3.2
Value of the framework agreement
The total value of the framework agreement is not expected to exceed 4.7 million Euros.
3.3
Selection criteria for Detailed Contracts under the framework agreement
Each service will be contracted via a Detailed Contract, which shall come under the
Framework Agreement established between one company (the “Contractor”) and the FMO.
The FMO will select one Contractor to carry out a specific task, based on the following criteria
(in no particular order):
1) Sector expertise. The Contractor must be able to provide services in the required priority
sector(s).
2) Beneficiary State experience. The Contractor must have expertise in the Beneficiary State
concerned, including the relevant language skills.
3) Qualifications of the consultant(s) proposed. On the basis of the list of consultants
proposed by the Contractor, the FMO will assess which Contractor is best qualified to carry
out a specific task.
4) Understanding of the assignment. A good understanding of the assignment will be
required.
5) Quality of work. The process and product quality control of the Contractor, the quality of
Services rendered and the reports submitted in the course of the duration of the Framework
Agreement will be taken into account.
6) Price. The FMO will conclude Detailed Contracts based on an overall assessment of the
most advantageous offer (price in relation to quality and scope of service).
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Procedures applicable to the execution of Detailed Contracts
The scope of each Detailed Contract will be defined by the FMO with a Specification of Tasks.
This Specification of Tasks will be sent to one or more Contractor(s) with the request to enter into
a Detailed Contract. For appraisal or monitoring assignments, the Contractor will have 10
working days to submit an offer. For rapid assessments the Contractor will have 15 working days
to submit an offer. Following an assessment of the offer(s) by the FMO, a Detailed Contract will
then be concluded between the FMO and the selected Contractor.
The FMO and the Contractor shall agree on the following:
1. Content of the Detailed Contract
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
The name and contact details of the main FMO contact person (Responsible Officer, the
“FMO Contact Person”).

The name and contact details of the consultant who will be responsible for the Services as
outlined in the Detailed Contract (the “Responsible Consultant”). It is expected that the
Responsible Consultant will have close coordination and communication with the FMO
Contact Person.

The scope of the services required in the Specification of Tasks.

The number of person days required to carry out the services.

The timeframe for the execution of the services, the reporting date, by which the draft
report must be submitted to the FMO, and a finishing date, by which the final report must
be submitted to the FMO.

The maximum budget for carrying out the services.
2. Organisation of services carried out under a Detailed Contract

All reports and other communication with the Contractor shall be in English
a. Preparation phase

Once a Detailed Contract is signed between the FMO and the Contractor, the FMO
Contact Person shall send a package of relevant documents to the Responsible Consultant
as soon as possible. The document package for the desk review shall include all relevant
documents, which are deemed necessary for successful completion of the Detailed
Contract. The FMO shall point out any particular areas of concern and highlight any
specific areas on which the Contractor shall focus. All documentation received by the
Contractor must be handled confidentially.

Initial communications, confirmation of materials and timing. Upon receipt of the
documentation, the Contractor shall confirm receipt of these documents to the FMO
Contact Person. After reviewing the documentation, the Responsible Consultant shall
contact the FMO Contact Person related to the carrying out of the services, and provide a
timeline.

FMO availability and communications. The FMO Contact Person will be available to the
Contractor for any questions relating to the services.

Site visits and meetings shall be scheduled at least two weeks in advance (if possible)
with the Programme Operator and any relevant local or international partners and
stakeholders, such as donor project partners.

For the establishment of meetings and telephone interviews. The FMO shall assist the
Contractor as necessary.

Logistics. The Contractor is in charge of the organisation of the visit, including travel and
accommodation, interpretation if needed and any other miscellaneous items.
b. Implementation phase

Site visits, data collection and interviews. Where necessary, the Contractor shall conduct
a site visit or (telephone) interviews with the Programme Operator and any relevant
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implementing partners, such as project promoters or donor project partners, or end
beneficiaries. Further data collection may take place through focus group discussions,
surveys, participatory methods, observation, or other relevant methods.

Areas of concern. The Contractor shall signal major problems or concerns discovered to
the FMO without delay.

Reporting and focus of the report. The report shall address all questions and areas that
have been defined in the Detailed Contract. Monitoring and appraisal reports shall be
provided using the template provided by FMO. Rapid assessment reports shall be
provided according to a format agreed in or following the specification of tasks. A high
standard of written English and capacity for clear and concise expression of complex
ideas is required.
c. Reporting phase

Submission of the draft report. The Contractor shall submit a draft report by the date set
forth in the Detailed Contract to the FMO email address specified in the Detailed
Contract. This draft report must be quality controlled. More specific requirements related
to the report might be defined by the FMO in the Specification of Tasks.
d. Review and finalisation of the report

Review of the draft report. The FMO shall provide any questions or comments to the
Contractor within the date set forth in the Detailed Contract. The Contractor is required to
review and revise the draft report in order to adequately respond to the FMO’s questions
and comments. The Contractor shall submit a final report to the FMO by the date agreed
in the Detailed Contract.
3. Invoice and reimbursement claim
The Contractor shall submit the invoice after approval of the final report by the FMO.
Unless agreed in writing after the Detailed Contract has been entered into, the invoice shall not
exceed the maximum budget agreed to in the Detailed Contract for the services.
If relevant, copies of receipts for any and all travel related to the services shall be submitted as
part of the invoice and must be in accordance with EFTA regulations on travel related expenses
and daily subsistence allowances, which will be provided as Annexes to the Detailed Contract.
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