GOVERNMENT OF MONTENEGRO
MINISTRY OF SCIENCE
– HERIC –
HIGHER EDUCATION AND RESEARCH FOR INNOVATION
AND COMPETITIVENESS PROJECT
GUIDELINES FOR APPLICANTS
FOR PREPARING AN APPLICATION FOR A
PILOT CENTRE OF EXCELLENCE
Prepared by:
Project Manager for Research and Grants Officer, Project Management Team
Ministry of Science
Ministry of Science of Montenegro
TABLE OF CONTENTS
ACRONYMS................................................................................................................................................................................................. 3
1.0
Purposes of these Guidelines ........................................................................................................................................... 4
2.0
Higher Education and Research for Innovation and Competitiveness (HERIC) Project........................ 4
2.1
Background .............................................................................................................................................................................. 4
2.2
Overview of HERIC project ................................................................................................................................................ 4
2.3
Objectives and anticipated results of the CoE Program ....................................................................................... 5
3.0
Overview of the CoE pilot scheme including eligibility and assessment criteria...................................... 5
3.1
Purpose ...................................................................................................................................................................................... 5
3.2
Objectives:................................................................................................................................................................................. 5
3.3
Eligibility of participants .................................................................................................................................................... 6
3.4
Gender equality ...................................................................................................................................................................... 6
3.5
Maximum size of Grant and implementation period ............................................................................................. 6
3.6
Mandatory project evaluation and scoring criteria ................................................................................................ 6
3.7
Role and responsibilities .................................................................................................................................................... 7
4.0
Target participants and activities .................................................................................................................................. 7
5.0
Responsibilities of the main parties .............................................................................................................................. 8
5.1
Grant beneficiary (Host) ..................................................................................................................................................... 8
5.2
Grants Officer and the Technical Service Unit (TSU) ............................................................................................. 9
5.3
Environmental Expert ......................................................................................................................................................... 9
6.0
Social and Environmental Safeguards ....................................................................................................................... 10
7.0
Pilot CoE Application, Grant Process and Implementation ............................................................................. 11
7.1
Call for Applications ........................................................................................................................................................ 111
7.2
Preparation of Proposals............................................................................................................................................... 111
7.3
Eligible costs ....................................................................................................................................................................... 111
7.4
Non eligible costs .............................................................................................................................................................. 122
7.5
Development of project proposals ............................................................................................................................ 122
7.6
Review and Evaluation of Applications and award of grant ......................................................................... 144
7.6.1
Administrative and environmental completeness and compliance ......................................................... 144
7.6.2
International Scientific Peer Review .................................................................................................................. 144
7.6.3
Final Evaluation Committee (FEC) ...................................................................................................................... 155
7.6.4
Review by the Council for Science CfS ............................................................................................................... 155
7.6.5
Negotiation of the grant contract ........................................................................................................................ 166
7.6.6
Award of the grant ..................................................................................................................................................... 166
7.6.7
Implementation of the CoE contract .................................................................................................................. 177
8.0
Basic procedure and timing for the evaluation and final approval of proposal ................................... 177
9.0
Procurement issues ......................................................................................................................................................... 188
10.0
Grant Implementation ...................................................................................................................................................... 21
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11.0
Administration and Finance .......................................................................................................................................... 22
11.1.
Administration ..................................................................................................................................................................... 22
11.2.
Finance .................................................................................................................................................................................. 222
12.0
Reporting and monitoring ............................................................................................................................................ 233
13.0
Fraud and Corruption ..................................................................................................................................................... 244
Full list of Annexes ............................................................................................................................................................................... 26
Annex 1: Key Dates for CoE Grant ........................................................................................................................................... 26
Annex 2: Call for Proposals......................................................................................................................................................... 27
See separate WORD and Excel documents for: ....................................................................................................................... 31
Annex 3a: Application form.docx ............................................................................................................................................. 31
Annex 3bi: CoE Management CV template.docx................................................................................................................ 31
Annex 3bii: CoE Researchers CV template.docx ................................................................................................................ 31
Annex 3c: CoE Budget Plan.xlsx................................................................................................................................................ 31
Annex 3d: CoE Impact Indicators.xlsx ................................................................................................................................... 31
Annex 4: Example guarantee form ........................................................................................................................................ 322
The following internal documents do not form part of the Guidelines portfolio: ................................................... 33
Annex 5: Format for initial screening of completeness and administrative compliance of proposal ....... 33
Annex 6a Code of conduct for independent experts appointed as reviewers/evaluators ............................. 33
Annex 6b: Draft Contract for evaluators .............................................................................................................................. 33
Annex 7a: Proposal Evaluation form to be used by Scientific Peer Reviewers ........................................................ 33
Annex 7b: Proposal ranking form to be used by Project Implementation Experts ................................................ 33
Annex 8: Format for verification of pre-selected CoE proposal ...................................................................................... 33
The following documents will be made available to the pre-selected CoE applicant immediately after the
decision on pre-selection and at the beginning of the negotiation phase: ................................................................. 33
Annex 9: Procurement Plan Draft Format................................................................................................................................. 33
Annex 11: Payment schedule and reporting requirements .............................................................................................. 33
The following documents will be made available to the selected CoE applicant after the negotiations are
completed: ............................................................................................................................................................................................... 33
Annex 10: Centre of Excellence Grant Contract ...................................................................................................................... 33
Annex 12: Bi-annual Progress Report Format (narrative) ................................................................................................ 33
Annex 13: Bi-annual Progress Report Format (financial) ................................................................................................. 33
Annex 14: Form for CoE Grant Project monitoring ............................................................................................................... 33
Annex 15: Format for requesting modifications in project implementation ............................................................ 33
Annex 16: Environmental Management Framework ........................................................................................................... 33
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ACRONYMS
CoE
Centre of Excellence
CfS
Council for Science
EA
Environmental Assessment
EIA
Environmental Impact Assessment
EMF
Environmental Management Framework
EMP
Environmental Management Plan
FEC
Final Evaluation Committee
GoM
Government of Montenegro
GOM
Grant Operations Manual
HERIC
Higher Education And Research for Innovation and Competitiveness Project
IBRD
International Bank for Reconstruction and Development
IPIE
International Project Implementation Experts
ISPR
International Scientific Peer Reviewer
IT
Information Technology
MoE
Ministry of Education of Montenegro
MoF
Ministry of Finance of Montenegro
MoS
Ministry of Science of Montenegro
PDO
Project Development Objective
PMT
Project Management Team
R&D
Research and Development
TSU
Technical Services Unit
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1.0
Purposes of these Guidelines
The purpose of the Guidelines for applicants for preparing an application for a Pilot
Centre of excellence (CoE) is as follows:
i. To provide information to Montenegrin researchers about the purpose of piloting the
CoE, objectives of the pilot CoE Program and eligibility criteria for application;
ii. To provide details on the overall process of awarding the status of pilot CoE and
implementation of the CoE Grant, including legal, managerial, administrative and
financial obligations of all parties involved;
iii. To provide details to prospective CoE grant applicants on application procedures in
order to be proficient in using the forms when preparing the application/proposal;
iv. To provide guidelines for: (i) call for applications/proposals, (ii) reviewing/evaluation
and selection of applications/proposals, (iii) contracting for pilot CoE grant, (iv) CoE
grant implementation, (v) finance, management and administration and (vi) reporting
for the CoE.
2.0
Higher Education and Research for Innovation and Competitiveness (HERIC)
Project
2.1 Background
An important mechanism for increasing the competitiveness of the Montenegrin
economy encompasses improvements in the quality and efficiency of higher education
and strengthening the links between research, innovation and business.
Strengthening the human capital and research infrastructure capacities is a prerequisite for effective participation in the EU framework programs and for integration
into the European Research Area. The HERIC Project is an important instrument for
promoting large-scale improvements in Montenegro’s higher education and research
sectors and it will contribute to creation of strong links between businesses and
universities.
2.2 Overview of HERIC project
The Government of Montenegro implements, through the Ministry of Science and
Ministry of Education the Higher Education and Research for Innovation and
Competitiveness Project with the support of the World Bank loan.
The HERIC Project supports initiatives to ensure that innovation becomes a pillar of
development of the dynamic and relevant higher education environment and that the
universities and public and private enterprises benefit from playing a more active role
in R&D efforts and technology transfer opportunities. The Project Development
Objective (PDO) is to strengthen the quality and relevance1 of higher education and
research in Montenegro through reforming the higher education finance and quality
assurance systems and by strengthening R&D capabilities.
A grant for establishing a CoE, will be allocated through the HERIC project and thus
contribute to accomplishment of one of the most important strategic goals in the science
in Montenegro. Namely, the HERIC Project Component 3 – "Establishing a Competitive
Research Environment" – will support, inter alia, establishment of the first CoE in
For this project, relevance is understood to be the utility of the outputs of higher education for its
stakeholders and to the local, regional, and international contexts in which the stakeholders operate.
1
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Montenegro as a pilot for future centres. It is a core component of the Amendments to
the Strategy for Scientific Research Activities of Montenegro (2012-2016), and it is
articulated in the Law on Scientific Research Activities (“Official Gazette of Montenegro”,
no 80/10).
2.3 Objectives and anticipated results of the CoE Program
A Centre of Excellence is defined as a scientific research institution or group of
researchers which has, by the originality, significance or actuality of achieved results in
the scientific research activity in the period of five years, realised the highest level of
and internationally recognised outputs in its area of science2. It should be established in
a scientific field that has strong potential for strengthening the economy of Montenegro
e.g. by contributing to the competitiveness of existing companies or by helping to
provide the basis for the creation of new companies in Montenegro (spinouts and startups). CoE needs to have established strong connection between knowledge, research
and innovation, i.e. strong connection between research and industry, and to have
focused research programs which include interdisciplinary topics and stimulate the
creation of a new generation of talents in science and technology. To improve
sustainability, the CoE needs to have clear plans to attract external financing through EU
and other international funds.
The CoE Program aims to join the scientific and professional potential in Montenegro so
as to contribute to the development of a knowledge based society that strives to be
competitive in the EU market.
The establishment of the pilot CoE, will help to upgrade Montenegro’s science and
technology institutional system and infrastructure in areas where the scientific and
economic potentials are esteemed highest. Montenegro will focus on the following
priority areas: Energy, ICT, Medicine and Health, Sustainable Development and Tourism
and Agriculture and Food.
The CoE will be expected to enhance the quality and relevance of R&D outputs and
increase cooperation with the private sector and foreign research institutions.
The CoE Grant Program supports and encourages a development that results in
competitiveness on an international level. This should include support for scientific
excellence and the development of improved education and training for researchers in
order to make Montenegro a desirable place for top scientists and researchers from
abroad (including those from Diaspora).
3.0
Overview of the CoE pilot scheme including eligibility and assessment
criteria
3.1 Purpose
The purpose of CoE grant is to support the piloting Centre of Excellence. The pilot CoE
will amplify scientific and economic resources through a large and impactful research
and development project.
3.2 Objectives
The pilot CoE must meet the following objectives:
2
Article 21 of the Law on Scientific Research Activity, 2010
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i) Foster an interdisciplinary approach to the research. This must be ensured by
involving at least two national Registered Scientific Research Institutions (RSRI). There
is no limit to the maximum number of SRIs who may collaborate to implement a CoE.
However, the title of Pilot CoE will only be awarded to the Lead (“Host”) partner. The
Host will be the largest supplier of scientific staff to the Centre, and is expected to
provide appropriate premises and other infrastructure.
ii) Nurture collaboration with international research institutions. This must be achieved
by including at least one internationally recognised research institution.
iii) Ensure cooperation with the industry sector in Montenegro or abroad. This must be
achieved by including at least one domestic or international commercial partner.
iv) Demonstrate a strong potential to generate commercial innovation through the
commercialization of knowledge and intellectual property.
3.3 Eligibility of participants
The Centre must be established and Hosted in a Registered Montenegrin Scientific
Research Institution (RSRI). The pilot CoE is a new instrument for development of the
scientific research system which may be established as a new legal entity.
International research partners must be recognised by a comparable registration
process in their own country.
Commercial partners can be domestic or international commercial entities.
3.4 Gender equality
The Government of Montenegro is committed to gender equality. Applications are
particularly encouraged from partnership seeking to appoint woman to senior
management and research positions within the CoE.
3.5 Maximum size of Grant and implementation period
The maximum size of the grant may not exceed €3,704,000. There is no requirement to
apply for the maximum award. Projects requesting lower levels of financial support will
be equally considered.
The pilot CoE will be selected through a competitive Call. This commences in the second
quarter of 2013. Implementation must be completed within a 3 year period.
3.6 Mandatory project evaluation and scoring criteria
The process begins with screening of proposals' administrative and environmental
completeness and compliance. All proposals that are deemed eligible are sent for
further review. Projects will undergo two-stage evaluation by international experts.
Stage one evaluation will be performed on the basis of the criteria and marking scheme
below.
Mandatory evaluation scheme
Maximum
scoring
1. Originality and innovativeness of the proposed research project and
its alignment with the aims and objectives of the COE program
30
2. Quality of the proposed Partnership, Management structure,
Implementation and Budget Plan
35
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3. Competency of the Management team and Scientific excellence of the
research team
20
4. Impact and valorisation of the project results
15
All project proposals scoring 70 or more points will be considered for the second-stage
evaluation.
A second stage evaluation will focus on the feasibility of implementation and the
balance and appropriateness of fund allocation.
3.7 Role and responsibilities
The Host is responsible for enforcing a Partnership Agreement. A Board of Directors of
the CoE will represent the partnership participants according to the provisions of the
Partnership Agreement. The Board should comprise senior representatives of all named
project partners e.g. RSRI deans, organisation directors or senior managers.
The Board of Directors will report regularly to the Steering Committee (SC) of the
HERIC project.
The Centre must have strong and defined top-level management with a high degree of
scientific and administrative autonomy and a satisfactory administrative support
system from the Host.
The Scientific Director must have the total coefficients3 greater than 25 for the last ten
years depending on the expertise of his or her scientific field (special focus will be on
the achievements in last five years).
A Key researcher must have the sum of the coefficients3 above 15 in the past ten years
depending on the expertise of his or her scientific field (special focus will be on the
achievements in last five years).
The Ministry of Science will provide support for all necessary activities in the process of
preparation of proposals and supervise and monitor the implementation of the Pilot
CoE project. Various sections of the Guidelines for applicants below elaborate upon the
information presented in this synopsis.
4.0
Target participants and activities
i. The Centre must be established and hosted in a Registered Montenegrin Scientific
Research Institution (RSRI).
ii. The Host will be the largest supplier of scientific staff, appropriate premises and other
infrastructure needed for the successful implementation of the project.
iii. The Host must be able to demonstrate a successful track record in the previous
implementation of scientific research projects. Applications from RSRIs which do not
Professional capacities will be assessed and determined according to the provisions of "The rulebook on
the conditions for the approval and the methods for the usage of funds from the budget of Montenegro for
the programs of general interest - national and international science and research projects, and the
conditions to be met by the project manager, as well as the researchers engaged in the research team".
All scientific results of project team members should be calculated and specified in project proposal using
the values stated in article 16 of the Rulebook.
3
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fulfil the obligations from previous projects financed by the MoS in last five years, will
be declined.
iv. The Host will operate as the formal Grant applicant for CoE status and funding, and act
as the Grant Beneficiary and project owner.
v. The Host must apply in partnership with at least one other RSRI who will be an active
research partner in the project and whose proposed activities enable an
interdisciplinary dimension to the research.
vi. The applicant must include an international scientific research partner registered in a
similar way under their own national law schemes. The activities of such a partner
should be defined in the project proposal and may include knowledge transfer in the
form of optimum use of new equipment, setting up new activities related to education
and training and exchange of researchers.
vii. The partnership must also include national or international commercial partners to
support the achievement of the stated aims and objectives of the project. The activities
of such partners should be defined by the project proposal and related to the following
research results: a new product or technology in production, programming system,
variety, line, race, strain, a significant improvement of the existing products and
technologies, a prototype, new methods, new genetic needs, microorganisms, access to
the market; expertise and training in identification and protection of intellectual
property; and commercialisation of research outputs.
viii. There is no limit to the maximum number of partners who may be included in a
partnership.
ix. The applicant must provide a written guarantee for all partner contributions to the CoE
that are envisaged for realisation (e.g. infrastructure, equipment, human resources or
financial funds from potential donators), clearly demonstrating the contribution this
involvement brings in terms of realising the aims and objectives of the CoE program. An
example guarantee form can be found in Annex 4. This information must be included in
the section 2 of the project proposal.
x. An application which proposes either to further develop and/or expand an existing
project or to start-up and implement a completely new project will be accepted for
evaluation, that must clearly meet the defined objectives of the Pilot CoE Program.
5.0
Responsibilities of the main parties
5.1 Grant beneficiary (Host)
The Lead Partner (Host) will be defined as the Grant beneficiary and is responsible for
dealing with all activities in connection with the grant following procedures established
in the Guidelines for applicants satisfactory to the MoS and the World Bank. The Grant
beneficiary must be able to demonstrate adequate fiduciary capacity to comply with
these procedures, as part of the selection process and is subject to the World Bank’s
regular project supervisions. The responsibility of Grant beneficiary includes, among
others, the following aspects:
 Elaboration of a proposal for obtaining the grant;
 Justifying the needs for achieving the purpose of the grant;
 When pre-selected for receiving a grant, negotiating the grant contract, including a
procurement plan, with the MoS;
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Conducting site-specific Environmental Assessment (EA) and preparing
Environmental Management Plan (EMP);
Developing partnership agreements between the grant beneficiary and other project
participants;
Coordinating the work of all the partners according to the overall project plan and
taking adequate steps to address any delays or deviations from the original plan;
Reporting regularly to the Steering Committee;
Nominating the members of commissions for evaluation of offers and selection of
suppliers of required goods, works and services (Each commission will consist of
three or five members, out of which one member must be delegated on behalf of the
MoS while other members will be representatives of the Host);
Making payments to suppliers, contractors and consultants and obtaining receipts
for such payments;
Performing sound contract management;
Transferring funds to ensure that implementation of all partners’ activities are
realised without delay;
Maintaining project records;
Ensuring a sound financial management;
Carrying out the CoE project in accordance with specific Environmental Assessment
and Environmental Management Plan;
Facilitating monitoring and evaluation by the MoS and the World Bank;
Resolving any issues affecting project implementation, including procurement; and
Preparing the necessary periodical and final reports.
5.2 Grants Officer and the Technical Service Unit (TSU)
The Grants Officer (in cooperation with the responsible person in the Ministry of
Science) performs initial administrative control of grant proposals, and is responsible
for monitoring of physical and financial implementation of the project activities, as well
as reviewing of narrative progress reports prepared by the Grant Beneficiary. The
Grants Officer, supported by the responsible person from the MoS, is responsible for
performing both the ex-ante and ex-post controls of the CoE grant, to confirm that
project investments are adhering to the eligibility criteria. The Grants Officer in
cooperation with responsible person in the Ministry of Science will also provide
necessary support to the Grant Beneficiary.
The TSU within the Ministry of Finance (MoF) will be responsible for fiduciary issues
with regard to CoE grant implementation: (i) manage formal processes of procurement
according to the World Bank guidelines (including publishing notices of tenders, issuing
bidding documents, receiving bids, providing secretariat for evaluation committees and
ensuring that their work is conducted in accordance with the World Bank procurement
guidelines); (ii) transfer funds based on withdrawal applications submitted by the Grant
Beneficiary; and (iii) accept financial reports prepared by the Grant Beneficiary
concerning the use of grant funds. The division of responsibilities for the grants is such
that the financial management team in the TSU will process the transfers of funds based
on the withdrawal applications prepared by the Grant Beneficiary and submitted in
periods no longer than 3 months.
5.3 Environmental Expert
The Environmental Expert (PMT staff) is responsible for the preliminary screening of
the proposed CoE applications, for supporting the EA/EMP preparation and for
reviewing, advising and overseeing compliance of CoE project activities with the
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Environmental Management Framework (EMF), specific Environmental Assessment
(EA) and Environmental Management Plan (EMP). Progress monitoring on EMP
implementation will be performed at least twice per year (details given in Annex 16)
and will be undertaken in close cooperation with the responsible individuals at the
Ministry of Science.
6.0
Social and Environmental Safeguards
The HERIC Project is not associated with any social safeguard risk and so, no World
Bank social safeguards are triggered. Additionally, it is classified as a World Bank
Environmental Category “B” Project, which requires a partial Environmental
Assessment (EA), but not a full-scale EIA.
An EA evaluates a project’s potential environmental risks and impacts in its area of
influence. Furthermore, it examines project alternatives and identifies ways of
improving project selection, siting, planning, design, and implementation by preventing,
minimizing, mitigating, or compensating for adverse environmental impacts and
enhancing positive impacts. Finally, an EA recommends the process of mitigating and
managing adverse environmental impacts throughout project implementation. The
World Bank favours preventive measures over mitigation or compensatory measures,
whenever feasible.
The potential environmental impact of the CoE Grant project will be assessed through a
screening procedure based on:
 The World Bank Environmental Assessment safeguard policy (OP/BP/GP 4.01 on
EA);
 The World Bank Pollution Prevention and Abatement Handbook (PPAH) and the
relevant laws and bylaws of the GoM, in particular the Waste Management Law
(Official Gazette of Montenegro, No. 64/11), and the Law on Integrated Prevention
and Pollution Control - IPPC (Official Gazette of the RM No 80/05).
The possible key environmental safeguard issues within CoE project activities are
primarily related to:
 laboratory biosafety;
 pest management;
 laboratory or medical waste management; and
 potential environmental issues arising in connection with the possible rehabilitation
of laboratory space (existing building) or other facilities, which would be done
through minor civil works.
An EMF is given in Annex 16 of the Guidelines for applicants, prepared to provide
guidance to ensure compliance with World Bank and GoM environmental requirements.
The lead Grant applicant must fill out an environmental screening checklist, which will
point to environmental risks that the CoE project activities might provoke. The preselected Pilot CoE applicant will conduct site-specific EA to evaluate potential
environmental impact of the project and develop a specific EMP. The EMP will identify
and require implementation of mitigation measures recommended for the assessed
adverse environmental impacts. In the case that the selected Pilot CoE involves minor
civil works for renovation, a Checklist and EMP for Construction/Reconstruction (Civil
Engineering) Works will be prepared. This will be directly usable and applicable in
procurement documentation as an integral part of contract documents for civil works.
Where GoM environmental legislation should provide insufficient safeguards, the CoE
will comply with World Bank safeguard policies and procedures and with best
international practice for laboratory safety, waste disposal and operating procedures. In
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addition to helping to develop Montenegro’s research and scientific capacity, this
project will help to introduce world class safety and environmental procedures and
ensure that the facilities supported by the project serve as a model for other facilities.
7.0
Pilot CoE Application, Grant Process and Implementation
The application and grant process consists of six (6) main activities (each described
more fully below): (1) call for applications, (2) preparation of proposals, (3) review and
evaluation of applications, (4) negotiation, (5) award of the grant, and (6)
implementation of the CoE grant contract.
7.1 Call for Applications
(See Annex 1 for key dates in the application cycle)
i. The Ministry of Science of Montenegro will prepare a Call for
applications/proposals, including key dates, special technical/conceptual
information and key administrative procedures.
ii. The Call will be available: (i) for download from the website of the Ministry of
Science (www.mna.gov.me/rubrike/konkursi) and of the HERIC Project
(www.heric.me), (ii) in one nationwide daily newspaper (advertised at least
twice). The call for proposals is featured in Annex 2.
iii. MoS and HERIC PMT will organize a presentation meeting to research
community.
iv. A minimum of 90 days will be provided from the date of publication of the Call
for proposals until the deadline for submission of applications.
7.2 Preparation of Proposals
i. Institutions/research teams considering the development of a proposal and
submission of an application may obtain a copy of the Guidelines for applicants
and all other necessary information including the main forms to be completed.
The Guidelines for applicants will be available for download from the website of
the Ministry of Science of Montenegro (www.mna.gov.me) and on HERIC website
(www.heric.me).
ii. Development of proposals will be the responsibility of interested
institutions/research teams. During the proposal development period, clarifying
information may be requested, in writing, by submission to the Grants Officer of
the HERIC PMT through an e-mail. The Grants Office will consult with the
appropriate focal point within the Ministry of Science and respond in writing
through an e-mail.
7.3 Eligible costs
The grant will finance the following costs:
a. Purchase and maintenance of new laboratory and pilot plant equipment and
facilities (the precise list of equipment will be determined in consultation
with the FEC and MoS following the review of the equipment requisitions in
the winning CoE application);
b. Purchase of modern information and communication technologies;
c. Subscriptions to up-to-date electronic databases of scientific journals;
d. Salaries for researchers, PhD students, post-doctoral students and
administrative staff at the CoE to conduct relevant research;
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e. Costs for visiting professors/researchers from abroad;
f. Costs for involved researchers who will be part time employed to conduct
relevant research (they will be involved as much as they have available time
taking into consideration their current engagements and job position and
involvement in other projects both national and international).
Such rules should be applied ex-post (once contract awards are made).
g. Technical assistance and training to the management and staff of the new CoE
to strengthen strategic areas (particularly project management, monitoring
and evaluation, understanding and securing intellectual property rights,
technology transfer activities and entrepreneurship promotion);
h. Development of partnerships with private sector and international research
centres (e.g. organization of conferences and workshops in Montenegro or
travel grants for Montenegrin scientists to attend similar events abroad);
i. Minor civil works for renovation of the building(s) that will house the CoE;
j. Indirect/incidental costs (e.g. car rental, office supplies, miscellaneous
utilities, maintenance and spare parts, consumables, local transport and
communication).
The allocation of funds must be well balanced.
The following budget structure is strongly recommended:


up to 30% of the overall budget for the salaries/honoraria for researchers
conducting research and administrative staff employed in the CoE and
up to 10% of the overall budget for indirect/incidental costs.
A different budget structure will be considered if strong justification is made by the
applicant through its project proposal. In this situation the budget will be strongly
probed during the negotiation phase and both the opinion of the ISPRs and the FEC
must be taken in consideration to find the budget proposal justifiable. Following clear
support and recommendation from the evaluators and justification from the applicant,
the first ranked candidate can get approval for deviation from the recommended
structure.
The CoE will not be granted for specific activities that are dominant in terms of resource
allocation e.g. investment in new equipment or salaries. Ensuring a balanced and
appropriate allocation of funds will be the focus of the second stage evaluation.
7.4 Non eligible costs
The grant will not be awarded for standalone activities, from the list above (e.g. solely
for purchase of the equipment, and similar). Grant funds may not be requested for
activities that include, but are not limited to:
a. Mayor civil works – any new construction or large rehabilitation activities.
b. Procurement of passenger/commercial vehicles.
c. Purchase/lease of property.
7.5 Development of project proposals
i. The organization applying to host a Pilot CoE must develop a project proposal
that clearly demonstrate how they will secure the commitment of all necessary
partners and associated activities to ensure that the criteria for a CoE can be
attained and demonstrated through associated verifiable indicators. In
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particular, project proposals must show how the proposed CoE will meet the
following objectives of the program:
1. Realise the highest level of impact and internationally recognised outputs in its
area of science;
2. Strengthen the competitiveness of existing companies and establish a basis for
the creation of new companies in Montenegro; and
3. Improve its sustainability through attracting external financing from EU and
other international funds.
Verifiable Indicators to measure progress of these objectives must be proposed using
the format of Annex 3d. Applicants are free to develop their own indicators or to select
some or all of those proposed in Annex 3d. However, indicator development should be
holistic e.g. cover all four aspects of the project (research impact; internationalization;
competitiveness; sustainability) and should address:
 outputs (immediate effect of an input e.g. number of applicants attending a training
course);
 results (the extent to which the inputs achieved the intended objectives or results
e.g. the level of research skills acquired by attending a training course);
 impact (long term effect of an action e.g. the effect on research excellence of postdoctoral training programs).
The final set of indicators and targets will be established during negotiation phase.
The grant may be used for the following types and categories of projects:




Projects may be drawn from the following scientific fields: Energy, ICT, Medicine and
Health, Sustainable Development and Tourism and Agriculture and Food.
Applications/proposals will be accepted either from institutions forming research
teams that are proposing to start-up and implement a new project, or proposing to
further develop and/or expand an existing project, that clearly meet the defined
objectives of the Pilot CoE Program.
Proposals that are a continuation of an existing project must justify the added value
and benefit of continuing the existing project under the new funding stream.
Proposals that are a modified version of a proposal submitted to other calls, either
national or international, must indicate the title and target of the first application,
explain the modifications and describe how the original reviewers’ comments have
been addressed.
ii. Along with the Application Form (given in Annex 3a) each applicant must also fill
out and submit the Environmental Screening Checklist (see Annex 16,
Attachment I). In the development of application/proposal, CoE Grant funds may
not be requested or planned to be used for activities for which a full
Environmental Impact Assessment (EIA) is required, as per the Law on
Environmental Impact Assessment, or other activities listed in section
“Exclusions” in Annex 16.
iii. No less than 90 (ninety) calendar days (period of time between release of call
and due date for submission of application/proposal) will be available for
preparation of applications/proposals.
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7.6 Review and Evaluation of Applications and award of grant
Applications/proposals will undergo a four-stage review and evaluation process
including: a) completeness and administrative/environmental compliance review, b)
individual scientific evaluation, c) viability of implementation and comparative impact
and d) final review and award determination. This process is outlined below and
detailed in the sections that follow.
7.6.1 Administrative and environmental completeness and compliance
i. The PMT Grants Officer, together with a representative of the MoS, will perform initial
screening of proposals' administrative and environmental completeness and
compliance. If applicants fail to submit the requested information (Annex 5) it will mean
the CoE proposal will no longer be considered for funding. The applicants may be
requested to clarify/modify certain information and add what is missing in submitted
documentation in order to avoid their possible disqualification in this initial phase due
to some negligible administrative issues.
ii. A complete and administratively compliant application will conform to the following:
 Application/proposal is submitted on time;
 Requested grant amount is within defined limits;
 Application/proposal is complete (includes all requested information,
documents, chapters, sections, annexes, forms and signatures);
 Proposed CoE project falls into defined priority areas;
 Applicants meet eligibility criteria;
 Funds are not requested for non-eligible items (see chapters 7.4 and 7.5ii);
 Correct number of copies is submitted in the required language and manner.
iii. In parallel with the administrative checks the HERIC PMT Environmental Expert will
conduct the preliminary screening of the applications/proposals and review the
Environmental Screening Checklist to ensure compliance with the “Exclusions” Section
in Annex 16, as well as to provide the information on possible necessity of submitting
additional documentation according to Montenegrin legislation. If the Expert is of the
opinion that certain documentation/permits will or might be obligatory for a concrete
CoE project proposal and that it normally takes quite a lot of time to be
obtained/regulated, then he/she may request the applicant to submit relevant
documentation or to initiate a process of obtaining it in parallel with the further process
of evaluation of proposals (i.e. before pre-selection), thus preventing possible delays in
submitting environmental documentation further on. Otherwise, if the Expert is of the
opinion that there is no (significant) risk of such kind of problems, i.e. of receiving a
negative answer from the competent national authority regarding necessary permits,
then the additional documentation/permits could be requested later on, after the
applicant will has been pre-selected (see chapter 7.6.5).
Each grant application that meets eligibility, administrative and environmental
compliance criteria will be individually remotely evaluated by at least two independent
and unbiased International Scientific Peer Reviewers (ISPRs).
7.6.2 International Scientific Peer Review
The International Scientific Peer Reviewers (ISPR’s) are responsible for carrying out the
scientific and financial evaluation of a single application. They should have skills and
expertise from the specific scientific field in line with proposal. Each ISPR must have the
highest standards of integrity, which preclude any questionable affiliation with
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Ministry of Science of Montenegro
applicants, including as an employee, consultant, relative, or political or business
affiliate. Each candidate should disclose in advance any perceived, potential, or actual
conflict of interest that can affect their objectivity.
ISPRs will be asked to remotely evaluate one proposal closely related to their field of
expertise and to submit a written review using the template of Annex 7a. Each ISPR will
prepare a report that both awards the application a merit based mark and also include a
narrative section highlighting the strengths and weaknesses of the application and
indicating any issues that might be clarified with an applicant at interview.
Each eligible proposal will be evaluated remotely by at least two (2) ISPRs according the
rules stated in the Guidelines for applicants. Criteria for evaluating project proposals
are:
1. Originality and innovativeness of the proposed research project and its
alignment with the aims and objectives of the COE program;
2. Quality of the proposed Partnership, Management structure, Implementation and
Budget Plan;
3. Competency of the Management team and Scientific excellence of the research
team; and
4. Impact and valorisation of the project results.
7.6.3 Final Evaluation Committee (FEC)
The individual proposal reports, prepared remotely by the ISPRs will be examined and
discussed by a Final Evaluation Committee (FEC) composed of International Project
Implementation Experts (IPIEs) plus observers from MoS and HERIC.
The IPIEs are responsible for carrying out the final evaluation based on the individual
summary reports of ISPR’s. They will agree a final ranking of the proposals taking into
consideration aspects such as local economic conditions. Each IPIE must have the
highest standards of integrity, which preclude any questionable affiliation with
applicants, including as an employee, consultant, relative, or political or business
affiliate. They should have skills and expertise in implementing or monitoring similar
grant schemes with a primary objective to improve scientific excellence,
competitiveness or innovation. The IPIEs will possess expertise in innovation, market
trends and experience in project implementation in similar conditions to Montenegro.
The FEC may request interviews with applicants to discuss the reports prepared by the
ISPRs. The FEC will be composed of at least three (3) unbiased International Experts.
They will meet in Montenegro in the presence of at least one representative of MoS and
the HERIC Grants Officer. Both MoS and HERIC will act as moderators.
The consensus meeting, as well as agreeing the final ranking, will serve to develop
further negotiation guidelines to be used by the MoS in negotiating the Grant Contract
terms with the pre-selected applicant. The FEC will agree a final ranking of all the
proposals and make recommendations to the Council for Science for the selection of the
pilot CoE.
7.6.4 Review by the Council for Science (CfS)
The Council for Science will review the written reports and rankings submitted by the
FEC. CfS will then prepare the final recommendation for the MoS which application to
select for funding and awarding the status of the Pilot CoE based on the FECs’
recommendations. The CfS can only exceptionally modify the list submitted by the FEC.
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Ministry of Science of Montenegro
In such case, the CfS needs to provide sound and firm justification and rationale in the
recommendation.
The Ministry of Science takes the final decision on awarding the status of the CoE.
All lead applicants to the CoE grant scheme will be informed accordingly about the
outcomes of the selection process and they have a right to appeal.
7.6.5 Negotiation of the grant contract
An on-the-spot verification of the pre-selected applicant may be performed by
representatives of MoS, Grants Officer and Environmental Expert in order to see if the
situation on the spot complies with the information presented in the application and the
documentation submitted. Information on the items to be verified (Annex 8) will be
suggested by the ISPRs and FEC, but should be based also on the opinion of the MoS. The
first-ranked applicant will conduct site-specific EA to evaluate potential environmental
impact of the pre-selected CoE project and prepare the EA report with EMP. Following
the control(s), the pre-selected applicant will be invited to enter into contract
negotiations with the MoS. The purpose of these negotiations is to solve any ambiguities
that emerged during evaluation and to obtain all possibly required revisions of the
proposal. Negotiations may cover any scientific, technical, legal or financial aspects of
the proposal, taking into account the comments from the ISPRs, FEC and the CfS. The
scientific aspects would cover, in particular, revisions to the project plan and
adjustments to it. The legal aspects would cover, in particular, review of any special
contractual clauses or conditions required for the project. The financial aspects would
cover negotiations of the amount and payment schedule of the CoE Grant contribution
and revisions of financial plan. Environmental issues would also be discussed during
those negotiations – the two parties should agree on the scope of the EA/EMP
(mitigation
measures,
monitoring,
etc.)
additional
environmental
documentation/permits to be submitted as required by Montenegrin laws, and deadline
for submission of the EA report with EMP and other requested documents. In the case
that the selected project involves minor civil works for renovation, a Checklist and EMP
for Construction/Reconstruction (Civil Engineering) Works will also be prepared during
the phase of those negotiations and incorporated into the EA/EMP. The TSU
representatives will take part in negotiation phase within their area of responsibility for
CoE grant.
If the negotiations/revisions of the involved proposal are successfully concluded, a
formal Decision will be made by the Ministry of Science approving the related CoE Grant
funding. In the event of withdrawal of the pre-selected applicant or unsuccessful
negotiations between the applicant and the MoS, the second-ranked applicant will be
contacted to begin negotiations.
7.6.6 Award of the grant
A contract will be established, via discussions and negotiations, for the
application/proposal selected for award of CoE Grant and should be signed not later
than three (3) weeks after the final/official award of the CoE Grant by the MoS. Parties
to the contract will be the MoS and the Grant Recipient (“Host”). The contract will
establish the rights and obligations of the “Host” and in particular the arrangements for
the technical and financial implementation, eligibility of expenditure, as well as any
rules regarding intellectual property rights that may be required.
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7.6.7 Implementation of the CoE contract
The technical and administrative implementation of the project will be the
responsibility of the Host. The overall grant administration will be defined in a
Partnership Agreement
Subsequent to signing the Grant contract the Host must sign single partnership
agreements with the team leader and all team members of each partner that will
participate in the implementation of project (other institutions and firms), thus
regulating their interrelations, and hence the project will begin. Signed partnership
agreements have to be submitted to the MoS and it is a precondition for releasing the
first payment tranche.
The agreements between the Host and each partner shall determine, in accordance with
the contract, the conditions for implementing the research activities and the respective
rights and obligations of the researcher and the Host, such as:
 Legal status and organizational characteristics of the parties forming CoE and
interdependence on the institutions;
 Level of involvement of Host and partners in managing the activities to be
undertaken by each partner and their timetable;
 Remuneration/payment arrangements;
 Contributions committed by the partners for successful realization of project
(contribution may be in infrastructure, equipment, human recourses or financial
funds from potential donators).
 Controlling mechanisms: financial, social, leadership and composition of the
managing structures;
 Intellectual Property Rights, in particular access to pre-existing know-how,
ownership of new IP created during the project, protection of new IP, the use of
knowledge, publicity and confidentiality.
The preparation of the agreements should begin as soon as possible after the receipt of
the invitation to enter into negotiations.
8.0
Basic procedure and timing for the evaluation and final approval of
proposal
i.
Receiving of proposals (TSU);
ii.
Eligibility check – reviewing formal compliance with call prepositions (HERIC
PMT Grants Officer in cooperation with MoS, duration: 2 weeks);
In parallel, preliminary environmental screening of proposals and reviewing
the Environmental Screening Checklist (PMT Environmental Expert);
iii.
Individual evaluation of proposals (ISPRs, duration: 4 weeks);
iv.
Reviewing evaluation reports and pre-selecting the proposal for financing
(FEC, duration: 2 weeks);
v.
Reviewing evaluation reports from FEC (CfS, duration 2 weeks);
vi.
Additional negotiations about selected proposal (MoS and HERIC PMT,
duration: 8 weeks);
In parallel, conducting site-specific Environmental Assessment and
development of the Environmental Management Plan (pre-selected applicant);
vii. Final approval of application (MoS, duration: 1 week).
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The entire period for the completion of the evaluation process from the closing of the
call to the approval of proposal must not exceed ten months.
The overall evaluation process in summarised in the scheme below.
Environmental screening
Compliant
Non-compliant
Rejected
Administrative/Eligibility check
Eligible
Ineligible
Rejected
Evaluation and rating of proposals by
international scientific peer reviewers
Review and ranking by FEC (including
recommendation for selection)
Review of FEC’s report and ranking by
the CfS (including final
recommendation for selection)
Final/official decision by the MoS on
the project proposal to be pre-selected
for funding
Negotiations
(including on-the-spot control)
Final decision and approval for award
of grant
9.0
Procurement issues
The pre-selected applicant shall prepare a Procurement Plan (annex 9), which includes
the items to be procured during the implementation of CoE project, and submit it for
approval to the MoS and TSU. If justifiable, Procurement Plan may be amended
throughout the duration of the project, with approval of the MoS and TSU.
The TSU will be responsible for procurement (financed in whole or in part from grant
funds) of goods (e.g. pilot plant equipment and facilities), works (minor renovations)
and non-consulting services (e.g. organization of conferences, seminars, workshops,
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Ministry of Science of Montenegro
etc.), as well as for selection of consultants following the procedures explained in this
Guidelines for applicants, which is in accordance with:
 The World Bank’s "Guidelines: Procurement of Goods, Works, and Non-Consulting
Services Under IBRD Loans and IDA Credits & Grants by World Bank Borrowers"
dated January 2011;
 The World Bank’s "Guidelines: Selection and Employment of Consultants Under
IBRD Loans and IDA Credits & Grants by World Bank Borrowers" dated January
2011;
The role of the TSU in procurement process is mentioned in chapter 5.2 of these
Guidelines for applicants.
For any procurement details possibly not covered by these Guidelines for applicants,
the provisions of the above mentioned World Bank's Guidelines will be valid.
Written records and agreements of all selection and procurement processes will be kept
in the TSU office. Contractors, subcontractors and suppliers shall permit the World
Bank, at its request, to inspect their accounts and records relating to the procurement
and performance of the contract and to have said accounts and records audited by
auditors appointed by the World Bank.
The procurement methods to be used by the TSU are determined at the stage of
Procurement Plan development. Which method would be used for procurement of
particular goods, works and services depends on several factors, such as: cost
estimation, type and quantity, complexity and scope, availability in local region etc.
Thus, for procurement of goods, works and non-consulting services, the possible
methods are:
 International Competitive Bidding (ICB);
 National Competitive Bidding (NCB);
 Shopping;
 Direct Contracting.
Methods of procurement of consultants’ services are:
 Quality and Cost-Based Selection (QCBS);
 Quality-based Selection (QBS);
 Selection under a Fixed Budget (FBS);
 Least-Cost Selection (LCS);
 Selection Based on Consultants’ Qualification (CQ);
 Single Source Selection of Consulting Firms (SSS);
 Selection of Individual Consultants (IC);
 Sole Source Procedures for the Selection of Individual Consultants.
Thresholds for Procurement of Goods, Works and Non-Consulting Services
Procurement Method
ICB (Goods)
ICB (Works) packages
NCB (Works) packages
Non-Consulting services packages
Shoping Goods/Works
Direct contracting – all contracts subject to justification
Threshold
(in US$ equivalent)
> 100,000
> 500,000
< 500,000
< 500,000
<100,000
-
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Thresholds for Selection of Consultants
Selection Method
QCBS
LCS
CQ
Individual Consultants
Single Source (firms and individuals) – all contracts subject
to justification
ToRs for Consulting Contracts
Threshold
(in US$ equivalent)
> 100,000
Any amount
< 100,000
< 100,000
--All methods/values
Procurement of goods, works and non-consulting services during implementation of the
CoE Grant project will be done through Shopping method for purchases worth less than
USD100,000 equivalent.
NCB method for works will be used for purchases more than USD100,000 and less than
USD500,000.
ICB method for works will be used for purchases more than USD500,000.
ICB method for goods will be used for purchases more than USD100,000.
International bidders, if interested, should be allowed to participate in nationally
advertised competitions for purchases of works worth less than USD500,000
equivalent.
Shopping is a procurement method where advertising is not required. Requests for
quotation are sent directly to local and foreign (where applicable) suppliers,
contractors, or service providers. The method is based on obtaining and comparing at
least three price quotations, to assure competitive prices.
Direct contracting (single source) method could be used in justifiable circumstances and
with prior approval from the World Bank.
Procurement of works (minor renovations) has to follow, among other, environmental
guidelines for minor civil works given in Annex 16.
The method for selection of consultants is defined by the complexity of the job required
and not by the value of the contract. However, all contracts over US$100,000 equivalent
shall be selected on the basis of QCBS, while CQ based selection will be used for less
expensive contracts for certain assignments under the project. Consultants may be
hired under single/sole source contracts with the prior approval of the World Bank.
Consulting services might be agreed under a Time-Based or Lump-Sum form of contract.
For the selection of an individual consultant/advisor, a minimum of three Curriculum
Vitae (CVs) of experts in the field in which the advice is needed should be obtained and
evaluated for the selection of the best candidate, except in cases where “single sourcing”
is justified.
Grant Recipient may address the Grants Officer of the HERIC PMT who would provide
adequate support and all necessary documents/forms.
Necessary information about procurement rules, procedures, methods and forms will
be provided to the pre-selected applicant during the negotiation phase.
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10.0 Grant Implementation
Grant implementation consists of several core processes, including: (i) planning, (ii)
operations, (iii) administration and finance, and (iv) reporting.
Overall grant implementation is the responsibility of the Host. The MoS and the Host
will endeavour to use their best efforts to address and solve problems that may arise
during implementation of the project.
The contract will contain an agreed overall implementation plan for the full duration of
the project together with its associated indicative financial plan. Governance and
management plans will be essential to include in the budgets presented for evaluation.
Contract will define how researchers, common shared resources such as equipment and
large infrastructural facilities will be funded under the award. Supplementary awards
for usage, such as equipment charges and other access, will be clarified to avoid double
costing on awards.
A pre-financing (an advance payment) will be made at the start of the project. With the
agreement of the HERIC Grants Officer and Ministry of Science, the overall
implementation plan may be modified with written approval by the MoS and the
detailed plan will roll forward each year, as part of the reporting schedule. The form to
be used when asking for a modification in the project activity is given in Annex 15.
However, the overall objectives and principal deliverables, as set out in the contract,
will not be expected to change during the lifetime of the project.
The Host may address the MoS and Grants Officer in order to obtain necessary
explanation of procedures and documents/forms to be used.
During implementation, the Host will carry out technical aspects of the project and
complete administration, finance and reporting tasks as described below, as well as
environmental mitigation measures and monitoring program in accordance with the
EA/EMP. The responsible person in the MoS and Grants Officer of the HERIC PMT will
perform management and supervision of grant, which includes participation in
monitoring of grant implementation and review of narrative progress reports prepared
by the Host. The CoE Project proposal will have clearly defined specific monitoring
arrangements including verifiable performance indicators and milestones against which
progress and outcomes of the proposed activities can be assessed. These indicators and
milestones will be agreed during negotiations between the MoS and the Host prior to
signing the contract. A template for monitoring is given in Annex 14.
At the completion of the project, a final report (accompanied by a financial statement
and a financial report for the final period) will assess the success of the project against
its agreed objectives. This final report will focus on outputs, results, outcomes (impact)
and attainment of the agreed verifiable indicators that reflect the objectives of the CoE.
Upon receipt of final financial and narrative progress reports from the Host, the MoS
shall initiate procedures to close-out the grant. Close-out procedures include approving
all required reports, disbursing any outstanding grant payments, and ensuring that any
unexpended grant funds are refunded to the MoS. All CoE Grant requirements remain in
full force and effect until the Host receives a close-out letter from the MoS, indicating
that all obligations have been satisfied. Such a close-out letter will normally be
completed in 2 months unless there are unforeseen circumstances which might cause a
delay.
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11.0 Administration and Finance
11.1. Administration
i. Following the award of grant, the Host will implement the grant with due diligence
and efficiency and in accordance with the terms and conditions of the contract.
ii. All participants in the CoE Project process (contractors, subcontractors and suppliers)
shall permit the MoS and the World Bank, at its request, to inspect all their accounts,
records and other documents relating to the CoE Project activities and to have said
documentation audited. Financial records and any substantiated documents such as
bills, invoices, receipts etc, and any other record pertinent to the grant project, shall be
retained by the Host for a period of at least two years after the close of the project (if
not foreseen by national fiscal regulation to be retained for a longer period).
iii. If the Host is required by local legislation to have an annual statutory audit, the Host
should send to the TSU and the MoS a certified copy of the above mentioned annual
audited financial statements, together with a certified copy of the audit opinion
thereon, within one month of the completion of the audit. The cost of hiring such
auditors by the Host may not be financed by the CoE Grant funds.
iv. The MoS retains the right to postpone or discontinue the grant activities if the
implementation performance of the Host does not fulfil the contract provisions.
v. Delay or failure in the implementation of a contract for an approved grant due to
mistakes, errors or negligence on the part of the Host will be taken into account in the
assessment of awarding future CoE status to the same Host.
11.2. Finance
i. The CoE grant funds will flow directly to the Host, which shall have a separate bank
account (in further text the Grant Account), opened solely for flows of funds under
the grant.
ii. All CoE Grant funds to be used to implement the grant awarded to the Host will be
kept in the Grant Account established for the purpose of the project. The records and
statements of the bank account will be available for review and inspection of the
internal financial management review specialists of the HERIC PMT, TSU and the
external audits.
iii. The use of CoE Grant funds will be in accordance with sound financial/accounting
principles and records will be maintained by the Host for the use of all CoE Grant
funds. Records shall include accurate, current and complete disclosure of the grant
project income and expenditures and shall include documentation to substantiate all
costs incurred by the grant project. Such maintenance of records will assist in
periodic financial supervision as well as auditing, being available for review and
inspection of the internal financial management review specialists of the HERIC
PMT, TSU and the external audits. Financial audits of grant implementation will be
conducted in accordance with International Standards on Auditing (ISA) as issued by
the International Federation of Accountants (IFAC).
iv. The fund transfers to Grant Account will be based on the Advance disbursement
method i.e. payment to the Grant Recipient for the expected cost of project
expenditures, in the amount of initial allocation. The Grant Recipient subsequently
provides documentation (Statement of expenditures along with copies of invoices,
receipts, contract or any other record required by the TSU) showing that such
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expenditures have been incurred and paid for from the advance. Final financial
terms and conditions (amount of advance i.e. initial allocation, timing of payments,
funds refund) will be negotiated and defined at the time of contract negotiations and
subsequently stated/scheduled in the Grant Contract to be signed with the Host in
relation to the approved grant. Within thirty working days of grant award, the TSU
will transfer up to 15% of the amount of initial allocation to the Grant Account of the
Host, provided that all partnership agreements (between the Host and its partners)
are signed and submitted to the MoS for control and written approval submitted to
the TSU. The remainder of the initial allocation will follow based on successful
approve of the procurement plan. When the Grant Recipient wishes to withdraw
grant proceeds they provide the TSU with the written request (application),
Statement of expenditures and copies of invoices, receipts, contracts etc. The
payment of the requested amount subject to all the requested submitted will be
made within 45 working days; to avoid delays in payment the Grant Recipient should
adhere to all the requirements and make certain application is complete and
accurate and the supporting documentation is in accordance with the approved
Procurement Plan. In case when the Host would have to make payments for foreseen
upcoming expenses for goods/works/services that exceed the amount of €400,000,
the TSU could make such payments directly from the account of the MoS where the
total CoE grant funds are deposited instead of allocating in advance a related grant
tranche to the Host. Direct payment by the TSU could also be performed when
tranche transferred to the Host would result in accumulation on its Grant Account of
the amount of money significantly exceeding the initial allocation.
v. The final format of payment requests and the form of the Statement of Expenditure
will be agreed with the MoS.
vi. The TSU must receive reports on the use of all grant proceeds advanced to the Grant
Account or a refund of the undocumented balance. Normally, all documentation shall
be provided no later than the disbursement deadline date (30 working days after the
Project closure) and refund of unspent funds executed in next 15 days.
vii. The overall amount of the grant cannot exceed the amount requested at the time of
project proposal.
viii. The Host may reallocate funds between financial items, provided that proper
notation is made in the financial and accounting records and subject to no more than
20% of the funds being reallocated. Prior written approval by the MoS is needed –
adequate argumentation for such reallocation shall be provided to the MoS.
ix. No grant funds shall be allocated for payments made for expenditures prior to the
date of signature of the CoE Grant Contract.
x. Funds may be expended on activities not included in the project/program
application/proposal, subject to prior written approval of the HERIC PMT and MoS,
i.e. extended No Objection to the updated Procurement Plan.
12.0 Reporting and monitoring
i. All reports should be prepared by the Host, in collaboration with the project
partners, and should cover all project activities of the respective reporting period,
including those executed by the Host and those executed by other partner
organizations/institutions working together for the implementation of the CoE Grant
project. All reports should be clearly and logically formulated.
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Ministry of Science of Montenegro
ii. Narrative progress reports will be developed on a semi-annual basis by the Grant
Recipient. An electronic copy and three (3) hard copies will be submitted to the
HERIC PMT. The purpose is to report on progress in accordance with the plan for the
project, to provide comprehensive information on realisation and achievement of
project milestones for the related period and to identify and explain problems. A
format for the narrative progress report is given in Annex 12.
iii. Semi-annual reports will be presented to the Steering Committee and may be shared
with IPIEs prior to mid-term monitoring Missions.
iv. Financial reports will also be developed on a semi-annual basis by the Grant
Recipient and an electronic copy and three (3) hard copies will be submitted to the
HERIC PMT. The purpose of the reports is to show progress in disbursement of CoE
Grant funds, as well as compliance with the WB finance and disbursement
procedures and as a basis for the external audit. A format for the financial report is
given in Annex 13.
v. A mid-term monitoring mission by the IPIEs is envisioned with an on-site visit to
determine and advise on any corrective action that is deemed necessary.
vi. An evaluation mission at end of the project by the IPIEs will also be permitted to
evaluate the success of the project and to obtain feedback useful for further similar
programs.
vii. The format of physical and financial reports may be modified at the request of Host,
during negotiations with the MoS. The modified format would be valid only after the
final approval by the World Bank.
viii. Reports shall be submitted not later than 30 days after the end of the period covered
by such report. In the case of delay of reports’ submission, the Host should present
written notification to the MoS and explain the reasons.
ix. The environmental monitoring and supervision reporting will be prepared by the
Environmental Expert (PMT staff) twice per year, and will be submitted to the World
Bank and the MoS for review and endorsement. The purpose is to report on
compliance of the CoE Project activities with the EMF and specific EA/EMP.
13.0 Fraud and Corruption
The World Bank’s policy requires that all participants in the project activities (bidders,
suppliers, contractors and their agents (whether declared or not), sub-contractors, subconsultants, service providers or suppliers, and any personnel thereof) observe the
highest standard of ethics during the procurement and execution of World Bankfinanced contracts. In pursuance of this policy, the World Bank defines, for the purposes
of this provision, the terms set forth below as follows:
 “corrupt practice” is the offering, giving, receiving, or soliciting, directly or
indirectly, of anything of value to influence improperly the actions of another party;
 “fraudulent practice” is any act or omission, including a misrepresentation, that
knowingly or recklessly misleads, or attempts to mislead, a party to obtain a
financial or other benefit or to avoid an obligation;
 “collusive practice” is an arrangement between two or more parties designed to
achieve an improper purpose, including to influence improperly the actions of
another party;
 “coercive practice” is impairing or harming, or threatening to impair or harm,
directly or indirectly, any party or the property of the party to influence improperly
the actions of a party;
 “obstructive practice” is:
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- deliberately destroying, falsifying, altering, or concealing of evidence material
to the investigation or making false statements to investigators in order to
materially impede a World Bank investigation into allegations of a corrupt,
fraudulent, coercive or collusive practice; and/or threatening, harassing or
intimidating any party to prevent it from disclosing its knowledge of matters
relevant to the investigation or from pursuing the investigation; or
- act intended to materially impede the exercise of the World Bank’s inspection
and audit rights.
The World Bank will reject a proposal for award if it determines that the bidder
recommended for award, or any of its personnel, or its agents, or its sub-consultants,
sub-contractors, service providers, suppliers and/or their employees, has, directly or
indirectly, engaged in corrupt, fraudulent, collusive, coercive, or obstructive practices in
competing for the contract in question. In that case, the World Bank will sanction an
organisation or individual, at any time, in accordance with the prevailing World Bank’s
sanctions procedures, including by publicly declaring such organisation or individual
ineligible, either indefinitely or for a stated period of time: (i) to be awarded a Bankfinanced contract; and (ii) to be a nominated sub-contractor, consultant, supplier, or
service provider of an otherwise eligible organisation being awarded a World Bankfinanced contract.
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Full list of Annexes
Annex 1: Key Dates for CoE Grant
Call for applications/proposals.......................................
May 30, 2013
Due date for applications/proposals............................
September 20, 2013
Administrative/eligibility check completed………...
October 4, 2013
Evaluation of applications/proposals conducted....
November 4, 2013
Review of evaluation reports and ranking
completed..................................................................................
December 2, 2013
Ranking list announced publically.................................
December 2013
Negotiation process completed.......................................
February 2014
Final approval.........................................................................
February 2014
Award of CoE Grant at the MoS.......................................
February 2014
Contracts come into effect………………………………….
March 2014
Implementation period.......................................................
March 2014 – March 2017
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Annex 2: Call for Proposals
CALL FOR PROPOSALS
I Background
Ministry of Science of Montenegro (MoS) in partnership with the Ministry of Education
and the World Bank implement the Higher Education and Research for Innovation and
Competitiveness Project (HERIC) to harness the potential of Montenegro’s human
capital through relevant investments in higher education and research, as well as in the
context of sustainable and expansive economic development. The project goal is to
provide the large-scale leverages needed to transform higher education and research
into mainstream economic drivers for Montenegro. These efforts will support
Montenegro to better connections with EU in the areas of science and research and
enterprise and industrial policy.
Advancing towards this goal, Ministry of Science will focus on following:
 Accelerating and stimulating linkages between higher education institutions,
R&D centres, and private businesses at national and international levels,
 Promoting accessibility of scientists;
 Modernizing laboratory equipment for the needs of high quality scientific and
applied R&D;
 Stimulating technology commercialization and patenting activities.
In the framework of the HERIC project, through the Project Component 3 ("Establishing
a Competitive Research Environment"), MoS will support researchers working in
Registered Scientific Research Institutions (RSRI) to pilot a Centre of Excellence (CoE)
project.
Montenegro expects to increase its competitiveness with regard to technological
innovation and intensify spending on research and development (R&D), and stimulate
new knowledge.
II Scope of Call for Proposal
The Ministry of Science invites licensed scientific research institutions to apply for a
CoE grant by submitting a proposal for establishing a pilot CoE. Applications/proposals
will be accepted from institutions forming research teams including at least one
additional RSRI partner, international partner and partner from industry that are
proposing to further develop and/or expand an existing project or start-up and
implement a new project that must clearly meet the defined objectives of the Pilot CoE
Program. The proposed CoE needs to unite the scientific, professional, managerial and
infrastructural potential in Montenegro so as to contribute to development of the
knowledge based society capable of cultivating innovation and provoke economic
growth. In particular applicants are encouraged to apply with a large and impactful
research and development project that clearly meets the following three main goals of a
CoE:

Realise the highest level of internationally recognised outputs in its area of science;
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

Strengthen the competitiveness of existing companies and establish a basis for the
creation of new companies in Montenegro; and
Improve its suitability through attracting external financing from EU and other
international funds.
III Application Process
1. Who can apply – Eligibility criteria:
Proposals can only be submitted by a national registered scientific research institution.
The main applicant (the “Host”) must apply with at least one or more partner national
RSRI organizations, an international partner and a partner from the industry (domestic
or international commercial entity). Applications that do not have this cooperation will
be deemed ineligible.
It should be clearly stated which RSRI entity represents the Host and takes legal
responsibility for administering and implementing the project.
Applications from institutions and project leaders that have not fulfilled contractual
obligations from projects under scientific programs financed by Montenegrin budget in
previous five years will not be accepted in this Call.
2. Duration and Funding:
Status of the Pilot CoE will be awarded for the three years period, beginning from March
2014 up until March 2017 at the latest. The requested project budget should not exceed
€3,704,000.
3. Application process:
This Call for Proposals invites eligible groups of research entities to submit project
proposals in the areas identified as the most prosperous for the Montenegrin economy.
These are: Energy, ICT, Medicine and Health, Sustainable Development and Tourism and
Agriculture and Food.
The Centre must have strong and defined top-level management with a high degree of
scientific and administrative autonomy and a satisfactory administrative support
system from the Host.
Only one proposal will be selected for the CoE.
Project proposals must be submitted on the CoE Grant Application Form. At the same
time, applicants must fill out and submit an environmental screening checklist. All
eligible proposals will be evaluated in a two stage process, by international reviewers
on the basis of specified criteria. The entity whose proposal is pre-selected will be
invited to negotiate and to provide additional modifications to its proposal as needed.
Additional information will be identified during the review and evaluation procedure.
Technical assistance will be provided to modify the proposal.
4. Eligibility of individuals4:
The proposed Scientific Director must have the total coefficients greater than 25 for the
last ten years depending on the expertise of his or her scientific field (special focus will
be on the achievements in last five years).
To be assessed according to the Article 16 of "The rulebook on the conditions for the approval and the
methods for the usage of funds from the budget of Montenegro for the programs of general interest national and international science and research projects, and the conditions to be met by the project
manager, as well as the researchers engaged in the research team".
4
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A CoE Key researcher must have the sum of the coefficients above 15 in the past ten
years depending on the expertise of his or her scientific field (special focus will be on
the achievements in last five years).
5. Criteria for evaluating project proposals:
Criteria for evaluating project proposals are:
a) Originality and innovativeness of the project proposal and its alignment with the
objectives of the CoE program;
b) Quality of proposed Partnership, Managment Structure, Implementation and
Budget Plan;
c) Competency of the Management team and Scientific excellence of the research
team ; and
d) Impact and valorisation of the project results.
Gender equality:
The Government of Montenegro is committed to gender equality. Applications are
particularly encouraged from partnership seeking to appoint woman to senior
management and research positions within the CoE.
Submission of proposals:
Proposals shall be submitted in the English language. In addition, the Project Abstract
should be separately submitted in Montenegrin language – maximum three pages.
Submission Deadline: 20th of September 2013.
All necessary details (requirements, procedures, application forms etc) can be found on
the website of the MoS (http://www.mna.gov.me) and website of HERIC
(www.heric.me) and are given in the Guidelines for Applicants, which can be
downloaded from those two websites.
Project proposals should be submitted both in printed version (3 copies) by post and in
electronic form (pdf and word format) on CD to:
Ministarstvo finansija Crne Gore (Ministry of Finance of Montenegro)
Technical Services Unit
Jovana Tomasevica bb
81000 Podgorica
Crna Gora (Montenegro)
For the attention of: Mr. Zoran Mijovic
(e-mail: zoran.mijovic@mif.gov.me)
Subject Line: Name of the Applicant Organisation – CoE Grant 2014/17
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For further details please contact:
Vladan Perazic
HERIC Project Grants Officer
Rimski trg 19; 81000 Podgorica; Montenegro
Tel: +382 20 23 45 77
Fax: +382 20 22 15 77
vladan.perazic@mna.gov.me
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See separate WORD and Excel documents for:
Annex 3a: Application form.docx
Annex 3bi: CoE Management CV template.docx
Annex 3bii: CoE Researchers CV template.docx
Annex 3c: CoE Budget Plan.xlsx
Annex 3d: CoE Impact Indicators.xlsx
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Annex 4: Example guarantee form
HERIC Project
Pilot Centre of Excellence
CONFIRMATION LETTER
This form must be filled-in and signed by the authorised representative of each legal
entity participating in the project.
Legal entity:
Full Name:
Street:
PO Box:
Country:
……..
……..
……..
……..
Postal Code: ………
City: ……..
Authorised representative:
First Name:
Last Name:
Function:
……..
……..
……..
Declaration:
By submitting this application, as the authorised representative to commit the
mentioned legal entity, I certify that:




Contibution (infrastructure, equipment, human resouses, other indirect costs) to
support the Centre will be: ...................................
All necessary internal authorisations have been obtained in order to permit the legal
entity I represent to submit this application.
All the information given in relation with this application are complete, accurate and
correct.
The legal entity I represent is committed to participate in and cooperate within the
project, as described in this application.
Signature and Seal
Date: ……
Place: ……
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The following internal documents do not form part of the Guidelines portfolio.
They are listed for completeness and clarity only:
Annex 5: Format for initial screening of completeness and administrative compliance of
proposal
Annex 6a Code of conduct for independent experts appointed as reviewers/evaluators
Annex 6b: Draft Contract for evaluators
Annex 7a: Proposal Evaluation form to be used by Scientific Peer Reviewers
Annex 7b: Proposal ranking form to be used by Project Implementation Experts
Annex 8: Format for verification of pre-selected CoE proposal
The following documents will be made available to the pre-selected CoE applicant
immediately after the decision on pre-selection and at the beginning of the
negotiation phase:
Annex 9: Procurement Plan Draft Format
Annex 11: Payment schedule and reporting requirements
The following documents will be made available to the selected CoE applicant
after the negotiations are completed:
Annex 10: Centre of Excellence Grant Contract
Annex 12: Bi-annual Progress Report Format (narrative)
Annex 13: Bi-annual Progress Report Format (financial)
Annex 14: Form for CoE Grant Project monitoring
Annex 15: Format for requesting modifications in project implementation
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Annex 16: Environmental Management Framework (EMF)
Environmental Management Framework (EMF) for the Pilot CoE Grant
The HERIC Project is classified as a World Bank Environmental Category “B” Project,
which requires a partial environmental analysis, but not a full-scale Environmental
Assessment. Potential environmental impacts of Category B projects are likely to be site
specific and reversible through the application of appropriate mitigation and
monitoring measures. Environmental Management Framework (EMF) for selecting and
establishment the Pilot CoE is prepared to provide guidance to ensure compliance with
World Bank and Montenegrin environmental requirements.
1. Main impact of the project
The key environmental safeguard issues associated with the Pilot CoE establishment
are:




laboratory biosafety;
pest management;
laboratory or medical waste management; and
potential environmental issues arising in connection with the possible
rehabilitation of laboratory or other facilities (minor civil works).
In addressing these environmental safeguard issues, all screening, monitoring and
remedial measures will have to comply both with Montenegrin legislation and World
Bank safeguard policies and procedures.
The Pilot Centre of Excellence is not expected to have any major environmental impact
and is not expected to trigger World Bank Safeguard Policies related to Natural Habitats,
Pest Management, Involuntary Resettlement, Indigenous People, Forests, Safety of
Dams, Cultural Property, Projects in Disputed Areas or Projects on International
Waterways (including aquifers). However, these issues are included in the project
environmental screening checklist, so that any potential impacts can be identified and
appropriate mitigation measures adopted. Since it is possible that funded research may
involve agricultural productivity improvements (including pest management), the EMF
provides guidance on the FAO Code of Conduct for Pesticides (Attachment VI).
Where Montenegrin legislation should provide insufficient safeguards, the CoE will
comply with World Bank safeguard policies and procedures and with best international
practice for laboratory safety, waste disposal and operating procedures. Existing
Montenegrin laboratories may not currently comply with best international
environmental and safety practices. Therefore, in addition to helping to develop
Montenegro’s research and scientific capacity, this project will help to introduce world
class safety and environmental procedures and ensure that those facilities supported by
the project serve as a model for other facilities. (See Attachment V, International Best
Practice in Safety of Research Laboratories).
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2. Environmental Safeguards Procedure
Environmental Safeguards Procedure are made up of six steps listed below:






Screening and Exclusions
Environmental Assessment and EMP Preparation
Disclosure and Public Consultation
Review and Approval
Conditionality
Monitoring and Reporting
Screening
The purpose of environmental screening is to determine the environment risk
associated with the proposed CoE, classify applications by environmental categories,
reject applications which are unacceptable and conduct Environmental Assessment for
selected CoE.
Environmental Screening Checklist filled in by the applicant will be required for every
CoE grant application/proposal and will be a part of a grant application (Attachment I).
Under the World Bank system, activities will be categorized in accordance with the
following three screening categories.

Category I (Low Risk): grant activities whose environmental impacts are
expected to be negligible, for which no environmental evaluation will be
required, corresponding to a World Bank Category C. Category I activities have no
further environmental assessment requirements.

Category II (Intermediate Risk): grant activities with impacts that can be readily
identified and standard preventative and/or remedial measures can be
prescribed without a full EIA as per the Law on Environmental Impact
Assessment. Mitigating measures are standard, readily identified, and would be
carried out by the beneficiary as a condition of the sub-project. This category
corresponds to World Bank Category B and requires a partial Environmental
Assessment(EA) and Environmental Management Plan (EMP).

Category III (Not Eligible for Financing): activities which may have potential and
highly significant or irreversible environmental impacts, for which a full
Environmental Impact Assessment is required, corresponding to World Bank
Category A. In addition, activities which involve resettlement or land acquisition,
any type of new construction or rehabilitation activities, as well as those that
include activities on the World Bank Group-International Finance Corporation
(IFC) Exclusion List (given in Attachment II) are not eligible for financing.
The applicant will be responsible for ensuring that all of the adequate documentation
has been submitted if/when needed and filed, including: (a) all of the Montenegrin EA
documentation; (b) official approvals for the documentation from responsible
authorities for protection of environment, and (c) copies of the environmental permit.
The applicants will be responsible to meet all of the legally prescribed requirements and
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to submit proof of doing so – through the documentation listed above. The incomplete
applications will not be considered for financing.
The HERIC Environmental Expert is responsible for the preliminary screening of the
proposed CoE applications, or for checking the screening questionnaire already filled in
by the applicants to ensure compliance with the criteria listed below (Exclusions). The
Ministry of Science of Montenegro (MoS) does not bear any liability for information that
may be untruthfully and intentionally provided by the applicants.
Exclusions
The project will not finance:






Any activities which would have an irreversible and substantial environmental
impact, or correspond to a World Bank Category A project. This means that the
Project will not finance activities for which a Full Environmental Impact
Assessment is required as per the Montenegrin Law on Environmental Impact
Assessment.
Any activities which involve land acquisition or any form of resettlement;
Projects involving the: involuntary taking of land resulting in relocation or loss of
shelter; loss of assets or access to assets; loss of income sources or means of
livelihood;
Projects involving the involuntary restriction of access to legally designated
parks and protected areas;
Any of the activities listed in the World Bank Group – IFC Exclusion List given in
Attachment II;
Construction and large rehabilitation activities, including any wholesale
construction of new facilities or comprehensive renovations of existing
structures that require extensive external construction works, except for very
small refurbishment or renovation activities.
Environmental Assessment and EMP Preparation
The selected Pilot CoE applicant is responsible for conducting site-specific
Environmental Assessment (EA) to evaluate potential environmental impact of the
project. The output of the EA process will be the EA report with specific Environmental
Management Plan (EMP) consisting of the set of mitigation, monitoring and institutional
measures to be taken to eliminate adverse environmental and social impacts, offset
them, or reduce them to acceptable level. The selected Pilot CoE can hire an
independent consultant to prepare the EA report with the EMP. The HERIC
Environmental Expert will support the CoE applicant in proper EA/EMP preparation, or
assist the independent consultant by preparing the Terms of Reference (ToR) for
EA/EMP and requirements for the consulting team, if needed. Sample EMP for Centre of
Excellence is given in Attachment III.
If a Request for an Environmental Permit was prepared by the applicant to meet
Montenegrin Environmental Assessment requirements, this documentation should be
used to prepare the EA/EMP to insure, as a minimum, consistency in terms of: (a)
identifying the same priority environmental issues, mitigating measures and
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implementing responsibility, (b) monitoring program, (c) institutional arrangements for
environmental management.
Environmental guidelines for minor civil works
In the case that the selected Pilot CoE involves minor civil works for renovation,
Checklist and EMP for Minor Civil Works will be required (Attachment IV) and
incorporated into the EA/EMP. It provides “pragmatic good practice” and it is designed
to be use friendly and compatible with WB safeguard requirements. The checklist-type
format attempts to cover typical mitigation approaches to common civil works
contracts with localized impacts. The Checklist and EMP will be directly usable and
applicable in bidding documents as an integral part of contract documents for civil
works. The Checklist and EMP has three sections:
 Part 1 constitutes a descriptive part (“site passport”) that describes the project
specifics in terms of site location, the institutional and legislative aspects, the
need for a capacity building program and description of the public consultation
process.
 Part 2 includes the environmental and social screening in a simple Yes/No
format followed by mitigation measures for any given activity.
 Part 3 is a monitoring plan for activities during project preparation,
implementation and supervision. It retains the same format required for
standard WB EMPs.
Part 2 and Part 3 will be included in the bidding documents of the contractors.
The CoE grant applicant is responsible to prepare and adopt the Checklist and EMP for
Minor Civil Works with support of the HERIC Environmental Expert.
Disclosure and Public Consultation
The CoE grant recipient is responsible for disclosing the EA report with the EMP (both
the draft EA/EMP used for consultations and the final EA/EMP revised following
comments received during consultations) in a public place (library, municipal or
government building etc.) near the project site and on the enterprise website, and place
a notification in the local media (e.g. newspaper) as to where the EA/EMP may be
viewed, with a suitable feedback mechanism in place for comments or queries (both online and hard copy).
The final version of the EA/EMP will contain an Annex on the public consultations, to
include:

Manner in which notification of the consultation was announced: media(s) used,
date(s), description or copy of the announcement
 Date(s) consultation(s) was (were) held
 Location(s) consultation(s) was (were) held
 Who was specifically invited (Name, Organization or Occupation, Telephone/Fax/email number/address (home and/or office))
 List of Attendees (Name, organization or occupation, contact details)
 Meeting Agenda
 Summary Meeting Minutes (Comments, Questions and Response by Presenters)
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
List of decisions reached, and any actions agreed upon with schedules, deadlines and
responsibilities.
Within the HERIC Project the grant funds will be provided for innovation purposes.
Innovation and technological development are very sensitive issues with regards to
disclosure of details related to the processes and activities involved. As such, the CoE
grant recipient reserves the right to abbreviate the EA/EMP in a manner where
information disclosed will not disclose any of the confidential information related to the
innovation process itself but will sufficiently explain how the financed activities will
mitigate any of the associated environmental impacts.
Review and Approval
The HERIC Environmental Expert is responsible for supporting the EA/EMP
preparation and for review and approval of the final EA report with EMP. The Ministry
of Science of Montenegro (MoS) does not bear any liability for information that may be
untruthfully and intentionally provided by the applicant.
Conditionality
The MoS will include CoE grant recipient commitment to implement the requirements
set forth in the EA/EMP into the grant contract. The CoE grant recipient will be required
to show best effort to ensure that the funded activity is carried out with attention to
good environmental management. The CoE grant recipient will be held responsible for
all mitigation measures and monitoring program that have been listed in the EMP.
Monitoring and Reporting
As part of normal monitoring activities the MoS and the PMT Environmental Expert will
perform desk and field-based monitoring functions to assure compliance by the CoE
grant recipient with overall and environmental obligations specified in the grant
contract. The performance reports will contain details on supervision of potential
environmental impacts and report on implementation of EMP. Through this report, the
MoS and PMT Environmental Expert will verify whether or not environmental
requirements as detailed in the grant contract have been met. If requirements have not
been met, the MoS will provide recommendations for further action to insure
compliance. Depending on the severity of a compliance failure, the MoS may terminate
the project financing.
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ATTACHMENT I
SCREENING CHECKLIST
(TO BE COMPLETED BY ALL CoE CANDIDATES)
Name of Project (Reference number):
City/Municipality:
Name of applicant:
Contact:
ENVIRONMENTAL AND SOCIAL CHECKLIST QUESTIONNAIRE
(must be filled out and filed for every application)
CRITERIA
YES
Does the proposed activity require a FULL Environmental Impact Assessment as
per the Montenegrin Law on Environmental Impact Assessment (list of projects
for which full EIA is mandatory)? If yes, this activity cannot be financed.
Does the existing enterprise have valid operating permit, licenses, approvals
etc.? If not, please explain. Permits to screen for include: construction permit,
operational/use permit, urbanistic permit, water management permit…
NO
If not, will the grant financing be used to correct this condition?
Does the existing enterprise have a valid environmental permit (or is in the
procedure of obtaining an environmental permit as per the Montenegrin laws)
and does the proposed activity fall under those for which this permit was
issued?
Does the existing enterprise have a valid water management permit that calls
for special investments or measures for the enterprise’s wastewater releases (or
is in the procedure of obtaining this permit as per the Montenegrin laws)?
Does the existing enterprise need to follow specific Montenegrin environmental
regulations regarding air emissions, water use or wastewater discharge and
solid waste management?
Are there any significant outstanding environmental fees, fines or penalties or
any other environmental liabilities (e.g. pending legal proceedings involving
environmental issues etc.)
If so, will the grant financing be used to correct this condition and please explain?
Have there been any complaints raised by local affected people or groups or
NGOs regarding conditions at the facility?
If so, will the grant financing be used to remedy these complaints?
Proposed Activity
Will the activity generate water effluents (wastewater) that may require special
treatment, control or the water management permit?
Will the activity air emissions which would require special controls in order to
ensure compliance with the Montenegrin standards?
Will the activity generate noise levels that would require control measures to
ensure compliance with the Montenegrin standards?
Will the noise levels impact particularly sensitive receptors (natural habitats,
hospitals, schools, local population centres)?
Will the activity consume, use or store, produce hazardous materials (including
pesticides) that:
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





require special permits or licenses
require licensed or trained personnel
are outlawed or banned in EU or Western countries
are difficult, expensive, or hard to manage
are inconsistent with PPAH recommendations
may cause soil and water pollution or health hazards if adequate control
measures are not in place
Will the activity generate solid waste that may be considered hazardous,
difficult to manage, or may be beyond the scope of regular household waste?
(This may include, but not be limited too, animal carcasses, toxic materials,
pesticides, medical waste, cleaning materials, flammables etc.)
Will the activity be located within or close to natural areas, officially protected
areas or areas under consideration by the Government for official protection
status? And will the activity potentially impact areas of known significance to
local, regional or national cultural heritage?
Will the activity involve import of living organisms, e.g. saplings, insects,
animals, etc. or works that can impact sensitive environmental receptors?
Has the local population or any NGOs expressed concern about the proposed
activity’s environmental aspects or expressed opposition?
Is there any other aspect of the activity that would – through normal operations
or under special conditions – cause a risk or have an impact on the environment,
the population or could be considered as a nuisance?
The applicant, in signing this form states that the grant activity will not involve land
acquisition, any form of construction, or will promote any activities on the IFC exclusion
list. In addition, the applicant is aware of the EIA requirements as per Montenegrin Law
and certifies that there are no Full Environmental Impact Assessment reports required.
Form filled out by (Applicant):
Date:
Name:
Title:
Sign:
Form checked by (Independent
Evironemental Expert):
Date:
Name:
Title:
Sign:
Stamp:
______________________________________________________________________
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ATTACHMENT II
IFC Exclusion List














Production or trade in any product or activity deemed illegal under host
country laws or regulations or international conventions and
agreements, or subject to international bans, such as pharmaceuticals,
pesticides/herbicides, ozone depleting substances, polychlorinated
biphenyls (PCBs), wildlife or products regulated under CITES
Production or trade in weapons or munitions
Production or trade in alcoholic beverages (excluding beer and wine)
Production or trade in tobacco
Gambling, casinos, and equivalent enterprises
Production or trade in radioactive materials (this does not apply to the
purchase of medical equipment, quality control (measurement)
equipment and any equipment where the World Bank considers the
radioactive source to be trivial and/or adequately shielded).
Production or trade in unbounded asbestos fibers. This does not apply to
purchase and use of bonded asbestos cement sheeting where the asbestos
content is less than 20%.
Drift net fishing in the marine environment using nets in excess of 2.5 km
in length
Production or activities involving harmful or exploitive forms of forced
labor/harmful child labor
Commercial logging operations for use in primary tropical moist forest
Production or trade in wood or other forestry products other than from
sustainably managed forests
Production, trade, storage, or transport of significant volumes of
hazardous chemicals, or commercial scale usage of hazardous chemicals
(includes gasoline, kerosene, and other petroleum products)
Production or activities that impinge on the lands owned, or claimed
under adjudication, by indigenous people, without full documented
consent of such people
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ATTACHMENT III
Sample Environmental Management Plan for Centre of Excellence
Possible
Environmental
Issues
1. Air Emissions

Lab staff will be provided with 
information and training on methods
to minimize air emissions.

Procurement of equipment which is
ODS free (refrigerator, A/C, fire 
extinguisher, etc.) and proper
servicing
of
ODS
containing
equipment.

List of hazardous air pollutant sources
and emissions and category will be
provided to the laboratory.


2. Waste Water
Discharges
3. Hazardous
Waste
Monitoring Strategy and
Contingency Measures
Mitigation Measures
A list of actual and potential
emissions in the lab (fumes foods,
stacks vents, etc.) will be prepared.
Biannual exposure
assessment of air
pollutants will be
developed.
Periodic verification of
control systems will be
undertaken
Records of emissions will
be kept and reviewed
periodically by Bank
supervision team and any
other relevant authorities.
It will be responsibility of
EMS In charge for annual
certification.

Regular inspection and
maintenance of ventilation
system.

A comprehensive listing of sources
and location of wastewater discharge
will be prepared and maintained.

Periodic maintenance will
be undertaken of the sewer
system.

Appropriate operating procedure will
be undertaken for minimization of
wastewater (such as neutralizing
predisposal treatment, etc.)

Periodic testing of lab
procedures will be carried
out to ensure compliance
with regulatory measures.

On-site septic tank systems or
appropriate waste water treatment
system depending on the waste water
characteristics will be encouraged for
implementation. After proper
treatment waste water will be
discharged in to existing municipal
sewer line.

Regular training will be
provided to ensure waste
minimization.

Lab personnel will be trained in
minimization and management of
wastewater discharges.

Different types of hazardous waste
stream such as unused chemicals,
spent solvents, etc. will be identified
for appropriate collection,

Biannual assessment will
be undertaken for
hazardous waste.
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– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –
Ministry of Science of Montenegro
transportation and disposal system.
4. Radioactive
Waste
5. Handling of
Hazardous
Chemicals

4 times/year periodic
medical surveillance will
be conducted for all
employees.

Records of waste
generation and disposal
will be kept and reviewed
on regular basis by the
laboratory.

Special segregation and disposal
method will be adopted for used lead
acid batteries and alkaline batteries

Training and awareness program will
be imparted to laboratory staff for
safe handling of hazardous waste.

Waste minimization procedure will be
developed and followed.

Radioactive waste will be identified,
segregated and managed in
accordance with current regulations
and the facility radioactive materials
and waste management plan.

Regular assessment and
monitoring in accordance
with the facility
radioactive materials and
waste management plan.

Staff training on the radioactive
materials and waste management plan
carried out at least 2 times/year

Plan updated annually, or
when new relevant
technologies or practices
are introduced.

Once per year periodic
medical surveillance will
be conducted for all
employees.

Records of waste
generation and disposal
will be kept and reviewed
on regular basis by the
laboratory.

Required precautionary measures
(such as hand gloves, masks and
apron) as per manufacturer
requirements/recommendations for
handling different types of chemicals
to minimize potential chemical
exposure when working with
hazardous chemicals.

Periodic personal exposure
assessment will be
undertaken for chemicals.
Simultaneously, periodic
medical surveillance
program will be
undertaken for all
employees.

Appropriate labels for all hazardous
chemicals, e.g. flammable and
combustible material, oxidizing
material, poisonous material, for clear
identification of risks and
precautionary measures to be taken.

Periodic visual inspection
of all labels, symbols and
signs will be designed,
followed and recorded by
the laboratory.



Selection use and maintenance matrix
for personal protective equipment will
be developed for preventing direct
contact with corrosives, carcinogens

and irritants.
During reconstruction of proper
ventilation/exhaust system will be
designed to avoid exposure to vapors
Compliance with
regulatory measure will be
undertaken by the
Laboratory in charge.
Periodic maintenance and
validation schedule will be
prepared for checking
effectiveness of the
engineering control
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43
– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –
Ministry of Science of Montenegro
and fumes of hazardous chemical.

6. Storage of
Hazardous
Chemicals

Suitable spill containment procedure
will be developed for different types
of hazardous chemicals.

Training on First Aid measures will
be organized to all employees.

Training on handling of hazardous
chemicals will be provided to the
laboratory staff. ‘Train the trainers’
program will be undertaken.

Procedure for segregation of
chemicals will be developed and
followed according to chemical
classes and compatibility criteria.

Minimum inventory storage
procedure of every hazardous
chemical will be prepared.

7. Disposal of
Hazardous
Chemicals
8. Fire and
Explosion
Appropriate radiation protection
devices will be procured and used to
work with radioactive chemicals.
Proper storage criteria for flammable,
combustible and volatile chemicals
will be identified. Filled and empty
chemical containers will be
segregated accordingly.

During reconstruction proper
ventilation/exhaust system will be
designed to avoid exposure to vapors
and fumes of hazardous chemical.

Training program will be organized
on proper storage and health effect for
all employees.

Hazardous chemical/waste will be
segregated at source and treated
appropriately and stored in separate
container.

Appropriate waste management
system will be defined.

Lab personnel will be trained in
proper waste management
procedures.

Proper selection and installation of
fire fighting equipment in effective
locations will need to be
implemented. Required new
technology (smoke sensors,
thermocouple, and fire alarms, as
devices mitigation
measures.

Records of all
incidents/events related to
handling of hazardous
chemicals will be kept and
reviewed periodically by
the lab.

Periodic inspection criteria
and regular visual
inspection schedule to be
developed and
implemented.

Periodic review will be
carried out to procure safer
alternatives for highly
toxic, carcinogenic,
reactive or mutagenic
material. If available.

Periodic checks will be
done of the ventilation
system by the lab.

Periodic monitoring of
waste treatment and
disposable procedures will
be done by the local
environmental protection
authorities (TBC).

Periodic inspection of fire
prevention equipment will
be established.

Emergency response plan
will be upgraded
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– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –
Ministry of Science of Montenegro
required) will be installed.
9. Sustainable
Practices

Water conservation measures will be
taken to reduce water consumption.

Minimum energy utilization measures
will be implemented.

Laboratory employees will be
education and motivated in energy
and water management practices.
periodically.

An energy and water
inspection will be carried
out to identify current
equipment use and
associated cost by the
laboratory in cooperation
with the local authorities.
______________________________________________________________________
45
– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –
Ministry of Science of Montenegro
ATTACHMENT IV
Sample Checklist and EMP for Minor Civil Works
PART 1: INSTITUTIONAL & ADMINISTRATIVE
Country
Project title
Scope of project and
activity
Institutional
WB
Project Management
arrangements
(Project
(Name and contacts)
Team
Leader)
Implementation
arrangements
(Name and contacts)
Safeguard
Supervision
Local Counterpart
Supervision
Local Counterpart and/or Recipient
Local
Inspectorate
Supervision
Contactor
SITE DESCRIPTION
Name of site
Describe site location
Attachment 1: Site Map [ ]Y [ ] N
Who owns the land?
Geographic
description
LEGISLATION
Identify national &
local legislation &
permits that apply to
project activity
PUBLIC CONSULTATION
Identify when /where
the public
consultation process
took place
INSTITUTIONAL CAPACITY BUILDING
Will there be any
[ ] N or [ ]Y if Yes, Attachment 2 includes the capacity building program
capacity building?
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– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –
Ministry of Science of Montenegro
PART 2: ENVIRONMENTAL /SOCIAL SCREENING
Will the site activity Activity
Status
Additional references
include/involve any
A. Building rehabilitation
[ ] Yes [ ] No
See Section B below
of the following:
B. New construction
[ ] Yes [ ] No
See Section B below
C. Individual wastewater treatment system
[ ] Yes [ ] No
See Section C below
D. Historic building(s) and districts
[ ] Yes [ ] No
See Section D below
E. Acquisition of land5
[ ] Yes [ ] No
See Section E below
F. Hazardous or toxic materials6
[ ] Yes [ ] No
See Section F below
G. Impacts on forests and/or protected areas
[ ] Yes [ ] No
See Section G below
H. Handling/management of medical waste
[ ] Yes [ ] No
See Section H below
I. Traffic and Pedestrian Safety
[ ] Yes [ ] No
See Section I below
ACTIVITY
PARAMETER
MITIGATION MEASURES CHECKLIST
A. General
Notification and Worker Safety
(a) The local construction and environment inspectorates and communities have been notified of upcoming activities
Conditions
(b) The public has been notified of the works through appropriate notification in the media and/or at publicly
accessible sites (including the site of the works)
(c) All legally required permits have been acquired for construction and/or rehabilitation
(d) All work will be carried out in a safe and disciplined manner designed to minimize impacts on neighboring
residents and environment.
(e) Workers’ PPE will comply with international good practice (always hardhats, as needed masks and safety
glasses, harnesses and safety boots)
(f) Appropriate signposting of the sites will inform workers of key rules and regulations to follow.
B. General
Air Quality
(a) During interior demolition use debris-chutes above the first floor
Rehabilitation and
(b) Keep demolition debris in controlled area and spray with water mist to reduce debris dust
/or Construction
(c) Suppress dust during pneumatic drilling/wall destruction by ongoing water spraying and/or installing dust screen
Activities
enclosures at site
(d) Keep surrounding environment (side walks, roads) free of debris to minimize dust
(e) There will be no open burning of construction/waste material at the site
(f) There will be no excessive idling of construction vehicles at sites
Noise
(a) Construction noise will be limited to restricted times agreed to in the permit
(b) During operations the engine covers of generators, air compressors and other powered mechanical equipment
should be closed, and equipment placed as far away from residential areas as possible
Water Quality
(a) The site will establish appropriate erosion and sediment control measures such as e.g. hay bales and/or silt
fences to prevent sediment from moving off site and causing excessive turbidity in nearby streams and rivers.
Waste management
(a) Waste collection and disposal pathways and sites will be identified for all major waste types expected from
demolition and construction activities.
(b) Mineral construction and demolition wastes will be separated from general refuse, organic, liquid and chemical
wastes by on-site sorting and stored in appropriate containers.
5
Land acquisitions includes displacement of people, change of livelihood encroachment on private property this is to land that is purchased/transferred and affects people who are
living and/or squatters and/or operate a business (kiosks) on land that is being acquired.
6
Toxic / hazardous material includes and is not limited to asbestos, toxic paints, removal of lead paint, etc.
____________________________________________________________________________________________________________________
– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –
47
Ministry of Science of Montenegro
ACTIVITY
C. Individual
wastewater
treatment system
D. Historic
building(s)
PARAMETER
Water Quality
Cultural Heritage
E. Acquisition of
land
Land Acquisition Plan/Framework
F. Toxic Materials
Asbestos management
Toxic/hazardous waste
management
G. Affects forests
and/or protected
areas
ACTIVITY
H. Disposal of
Protection
PARAMETER
Infrastructure for medical waste
(c) Construction waste will be collected and disposed properly by licensed collectors
(d) The records of waste disposal will be maintained as proof for proper management as designed.
(e) Whenever feasible the contractor will reuse and recycle appropriate and viable materials (except asbestos)
MITIGATION MEASURES CHECKLIST
(a) The approach to handling sanitary wastes and wastewater from building sites (installation or reconstruction)
must be approved by the local authorities
(b) Before being discharged into receiving waters, effluents from individual wastewater systems must be treated in
order to meet the minimal quality criteria set out by national guidelines on effluent quality and wastewater
treatment
(c) Monitoring of new wastewater systems (before/after) will be carried out
(a) If the building is a designated historic structure, very close to such a structure, or located in a designated historic
district, notify and obtain approval/permits from local authorities and address all construction activities in line
with local and national legislation
(b) Ensure that provisions are put in place so that artifacts or other possible “chance finds” encountered in
excavation or construction are noted, officials contacted, and works activities delayed or modified to account for
such finds.
(a) If expropriation of land was not expected and is required, or if loss of access to income of legal or illegal users
of land was not expected but may occur, that the bank task Team Leader is consulted.
(b) The approved Land Acquisition Plan/Framework (if required by the project) will be implemented
(a) If asbestos is located on the project site, mark clearly as hazardous material
(b) When possible the asbestos will be appropriately contained and sealed to minimize exposure
(c) The asbestos prior to removal (if removal is necessary) will be treated with a wetting agent to minimize asbestos
dust
(d) Asbestos will be handled and disposed by skilled & experienced professionals
(e) If asbestos material is be stored temporarily, the wastes should be securely enclosed inside closed containments
and marked appropriately
(f) The removed asbestos will not be reused
(a) Temporarily storage on site of all hazardous or toxic substances will be in safe containers labeled with details of
composition, properties and handling information
(b) The containers of hazardous substances should be placed in an leak-proof container to prevent spillage and
leaching
(c) The wastes are transported by specially licensed carriers and disposed in a licensed facility.
(d) Paints with toxic ingredients or solvents or lead-based paints will not be used
(a) All recognized natural habitats and protected areas in the immediate vicinity of the activity will not be damaged
or exploited, all staff will be strictly prohibited from hunting, foraging, logging or other damaging activities.
(b) For large trees in the vicinity of the activity, mark and cordon off with a fence large tress and protect root
system and avoid any damage to the trees
(c) Adjacent wetlands and streams will be protected, from construction site run-off, with appropriate erosion and
sediment control feature to include by not limited to hay bales, silt fences
(d) There will be no unlicensed borrow pits, quarries or waste dumps in adjacent areas, especially not in protected
areas.
MITIGATION MEASURES CHECKLIST
(a) In compliance with national regulations the contractor will insure that newly constructed and/or rehabilitated
____________________________________________________________________________________________________________________
– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –
48
Ministry of Science of Montenegro
medical waste
I Traffic and
Pedestrian Safety
management
Direct or indirect hazards to public
traffic and pedestrians by
construction activities
health care facilities include sufficient infrastructure for medical waste handling and disposal; this includes and
not limited to:

Special facilities for segregated healthcare waste (including soiled instruments “sharps”, and human tissue
or fluids) from other waste disposal; and

Appropriate storage facilities for medical waste are in place; and

If the activity includes facility-based treatment, appropriate disposal options are in place and operational
(b) In compliance with national regulations the contractor will insure that the construction site is properly secured
and construction related traffic regulated. This includes but is not limited to

Signposting, warning signs, barriers and traffic diversions: site will be clearly visible and the public warned
of all potential hazards

Traffic management system and staff training, especially for site access and near-site heavy traffic.
Provision of safe passages and crossings for pedestrians where construction traffic interferes.

Adjustment of working hours to local traffic patterns, e.g. avoiding major transport activities during rush
hours or times of livestock movement

Active traffic management by trained and visible staff at the site, if required for safe and convenient
passage for the public.

Ensuring safe and continuous access to office facilities, shops and residences during renovation activities,
if the buildings stay open for the public.
____________________________________________________________________________________________________________________
– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –
49
Ministry of Science of Montenegro
PART 3 ENVIRONMENTAL MANAGEMENT PLAN
Phase
What
(Is the parameter to be
monitored?)
Where
(Is the parameter to be
monitored?)
How
(Is the parameter to be
monitored?)
When
(Define the frequency /
or continuous?)
Why
(Is the parameter being
monitored?)
Cost
(if not included in
project budget)
Who
(Is responsible for
monitoring?)
During activity
preparation
During activity
implementation
During activity
supervision
____________________________________________________________________________________________________________________
– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –
50
Ministry of Science of Montenegro
ATTACHMENT V
International Best Practice in Safety of Research Laboratories
Procurement / Transport

Minimize acquisition / quantity of hazardous materials, minimize storage time
needed

Identify mechanism of waste disposal before acquisition

For chemicals, have Material Safety Data Sheets (MSDSs) accessible/confine
deliveries to areas that are equipped to handle them (and train relevant
personnel)

Ensure container is intact and appropriately labeled (US regulations detail how
hazardous materials have to be identified, packaged, marked, labeled,
documented and placarded)

Transport in appropriate (secondary) containers

Use triple packaging system for infectious and potentially infectious
substances

Adhere to international air transport regulations
Storage / Management
 Inventory should have name as printed on the container
 For chemicals: include molecular formula for further identification and to provide a
simple means of searching chemicals; include CAS (Chemical Abstract Service)
registry number for unambiguous identification of chemicals despite the use of
different naming conventions
 Source
 Size of container
 Hazard classification, as a guide to safe storage, handling, and disposal
 Date of acquisition, to ensure that unstable chemicals are not stored beyond their
useful life, and Storage location
Procedures

Dispose of materials anticipated to not be needed within a reasonable time
frame

Use approved containers; make sure storage containers remain intact and
sealed

Dispose of chemicals prior to expiration date, monitor reactive chemicals

Replace deteriorating labels before information is obscured or lost

Follow regulations for safe storage in stockroom or lab

Avoid storing chemicals on bench tops or lab hoods

Store volatile chemicals in ventilated cabinet (near hood)

If ventilation is not required, store in closable cabinet or on shelf with lip to
prevent sliding
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– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –
Ministry of Science of Montenegro

Do not expose stored chemicals to heat or direct sunlight

Observe all precautions regarding the storage of incompatible chemicals

Provide vented cabinets beneath hoods for storing hazardous materials

Use chemical storage refrigerators for storing chemicals

Have fire protection system (sprinklers)

Follow storage limits for flammable and combustible liquids

Restrict access to storage facility
Protocols / Facilities for Use in Research
 Wear and use appropriate personal protection materials to minimize exposure
 Wash hands
 Reduce the possibility of creating splashes or aerosols
 Contain in biological safety cabinets operations that generate aerosols
 Use good housekeeping
 Use mechanical pipetting devices
 Promptly decontaminate work surfaces
 Never eat, ring, smoke, handle contact lenses, apply cosmetics, or take medicine in
the lab
 Take special care when using sharps
 Keep lab doors closed when experiments are in progress
 Use secondary leak-proof containers to move or transfer cultures
 Decontaminate infectious waste before disposal
 Post appropriate warning signs
 Mark emergency equipment, maintain it, inspect it; list telephone numbers to call in
case of accident
 Control access
For Radioisotopes

Use only in designated areas

Allow the presence of essential staff only

Use personal protective equipment

Monitor personal radiation exposures

Use spill trays lined with disposable absorbent materials

Limit radionuclide quantities

Shield radiation sources

Mark radiation containers with the radiation symbol, including
radionuclide identity, activity, and assay date

Use radiation meters to monitor working areas, protective clothing,
and hands after completion of work

Use appropriately shielded transport containers

Remove radioactive waste frequently from the working area
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– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –
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
Maintain accurate records of use and disposal of radioactive materials

Screen dosimetry records for materials exceeding the dose limits

Establish and regularly exercise emergency response plans

In emergencies, assist injured persons first

Clean contaminated areas thoroughly

Write and keep incident reports
For Animal laboratories

Require good microbiological techniques

Establish policies and protocols for all operations and for
access to vivarium

Establish appropriate medical surveillance program and
supervision for staff

Prepare and adopt safety or operations manual

Post warning signs

Decontaminate work surfaces after use

Use appropriate biological safety cabinets or isolator cages;
handle and decontaminate animal bedding and waste materials
appropriately

Transport material for autoclaving or incineration safely, in
closed containers

Treat, report, and record injuries
Training of Personnel
Employer develops Chemical Hygiene Plan containing (models available from U.S.
government and from some professional societies)

Employee information and training about the hazards of chemicals in the work
area:
o
How to detect their presence or release
o
Work practices and how to use protective equipment
o
Emergency response procedures

Circumstances under which a lab operation requires prior approval from the
institution

Standard operating procedures for work with hazardous chemicals

Criteria for use of control measures

Measures to ensure proper operation of fume hoods and other protective
equipment

Provisions for additional employee protection for work with select carcinogens
and toxins

Provisions for medical consultations and examinations for employees

Labs should establish their own safety groups at the department level (include
students and support staff)

Labs should provide training in safety and waste management for all lab
workers, including students in laboratory classes
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– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –
Ministry of Science of Montenegro

Labs should incorporate institutionally supported lab and equipment
inspection programs into their overall health and safety programs

Review exit/evacuation routes

Know how to report fire, injury, chemical spill, or summon emergency
response

Know first aid

Know location and use of emergency equipment such as safety showers and
eyewashes

Know location and use of fire extinguishers and spill control equipment (have
appropriate kits readily available)

Lab personnel should establish ongoing relationships and clear lines of
communication with emergency response teams

Include information on safe methods for highly hazardous procedures
commonly encountered by lab personnel that involve:
o
o
o
o
o
Inhalation risks
Ingestion risks
Risks of percutaneous exposures
Bites and scratches when handling animals
Handling of blood and other potentially hazardous pathological
materials
o Decontamination and disposal of infectious material
Segregation / Triage of Waste
Multihazardous waste – goal is reduction of waste to a waste that presents a single
hazard.

Consider frequency and amount of waste generated; assess risk

Identify/characterize waste:
o
o
o
o
o
o
o
o
o
o
o
Physical description
Water reactivity
Water solubility
pH and possibly neutralization information
ignitability/flammability
presence of oxidizer
presence of sulfides/cyanides
presence of halogens
presence of radioactive materials
presence of biohazardous materials
presence of toxic constituents
 Minimize waste’s hazards
 Determine options for management of hazards
 If appropriate, take steps to neutralize waste or render it nonhazardous
 When possible, select a single management option
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– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –
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 Establish procedures for dealing with unstable waste, or waste
that requires special storage or handling
 Store safely:
o Designated room or facility modified to contain the waste (with
ventilation and effluent trapping)
o
o
o
o
Protect workers
Minimize risk of fire or spill
Minimize radiation levels outside of area
Consider compatibility of materials being accumulated (e.g., aqueous
and non-aqueous waste should be separated)

Give particular attention to the handling or cleaning of radioactive laboratory
ware, and to the proper disposal of sharps.
o Non-contaminated (non-infectious) waste can be reused or recycled or
disposed of as general waste
o Contaminated (infectious) sharps – collect in puncture-proof
containers fitted with covers and treated as infectious; autoclave if
appropriate
o Contaminated material for decontamination by autoclaving and
thereafter washing and reuse or recycling
o Contaminated material for direct incineration
Disposal
No activity should begin unless a plan for the disposal of hazardous waste has been
formulated
 Use appropriate disposal method for each category of waste
 Use appropriate containers
 Label and securely close waste containers
 Separate wastes as appropriate
For low level radioactive waste, options include

Storage time for decay and indefinite on site storage,

Burial at a low-level radioactive waste site,

Incineration, or

Sanitary sewer disposal
For biological waste, options include

Disinfection

Autoclaving

For liquids, disposal in sanitary sewer; putrescible waste disposed of by
incineration; needles and sharps require destruction, typically by incineration or
grinding
Collection and storage of waste
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– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –
Ministry of Science of Montenegro

At satellite area near lab:
o should be clearly identified, ventilated if necessary
o determine whether to recycle, reuse, or dispose
o hold here for less than one year; when containment volume limits
reached, move to central accumulation area – package appropriately

At central accumulation area:
o separate according to compatibility, commingle solvents when
appropriate
o label clearly, store in appropriate containers
o limit storage time to 90 days
o (ensure that employees are trained to handle waste materials as well as
contingency planning for emergencies)
o When transporting, make provisions for spill control in case of
accident; have internal tracking system to follow movement of waste
o Ensure that all necessary records have been generated (Quantities and
identification of waste generated and shipped; Documentation and
analyses of unknown materials; Manifests for waste shipping as well as
verification of waste disposal; Any other information required to
ensure compliance and safety from long-term liability)

Disposal options:
o Incineration – is method of choice for most wastes, but is most
expensive
o Normal trash – only where appropriate, must be clearly identified and
appropriately labeled
o Sanitary sewer – not commonly used; solutions must be aqueous and
biodegradable, or low toxicity inorganics – make sure sewer doesn’t
drain into water supply inappropriate for waste disposal, and make
sure waste is highly diluted
o Release to the atmosphere – not acceptable; fume hoods must have
trapping devices to prevent discharge to atmosphere

If hazardous and non-hazardous wastes are mixed, entire waste volume must be
treated as hazardous

Preparation for transport to a treatment, storage, and disposal facility (TSDF)

Waste generator must obtain assurance (in terms of documentation, permits,
records) that provider is reliable
For infectious material

Decontaminate, autoclave, or incinerate in lab

Package appropriately (for incineration or for transfer to another facility for
incineration)

Protect against hazards to others to those who might come in contact with
discarded items
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– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –
Ministry of Science of Montenegro
ATTACHMENT VI
FAO Code of Conduct and Technical Guidelines
If the CoE involves agricultural pest management, the organization would need to be
guided by the FAO Code of Conduct.
The FAO has taken the lead among international organizations in promoting the safe use
of agricultural pesticides and has adopted an International Code of Conduct on
Distribution and Use of Pesticides (2002). First adopted in 1985, the Code establishes
voluntary standards of conduct for all public and private entities engaged in, or
associated with, the distribution and use of pesticides and serves as the globally
accepted standard for pesticide management. The Code, in conjunction with its
supplementary technical guidelines, has been instrumental in assisting countries to put
in place or strengthen pesticide management systems. Revised in 2002, the Code
embodies a modern approach, based on sound management of pesticides focusing on
risk reduction, protection of human and environmental health, and support for
sustainable agricultural development by using pesticides in an effective manner and
applying IPM strategies. Among the technical guidelines to the Code of Conduct of
possible relevance to HERIC are the following:



Guidelines on Good Practice for Ground Application of Pesticides (2001),
which offer practical guidance (i.e. on decision-making, safety considerations,
application procedures, etc.) to those involved in using pesticides for food and
fibre production and recognizes that because pesticides may put people, other
life forms and the environment at risk, the decision to use a pesticide should only
be taken when all other alternative control measures have been fully considered.
Guidelines on Good Practice for Aerial Application of Pesticides (2001),
which offer similar practical guidance (i.e. on decision-making, safety
considerations, application procedures, etc.) to those involved in applying
pesticides by air and again insist that a pesticide should only be used when other
alternative control measures have been fully considered and its use is part of an
integrated control program.
Guidelines on Organization and Operation of Training Schemes and
Certification Procedures for Operators of Pesticide Application Equipment
(2001), which provide a general framework outlining the need for training and
assessment and confirmation of operator competence in order to improve the
safety and efficiency of pesticides in farm use, recognizing that it is essential that
those who apply pesticides be familiar, not only with the equipment they use, but
also with the general principles of crop protection, IPM and the pesticides they
apply.
The Code of Conduct, with its emphasis on risk reduction, promotes the use of less
toxic pesticides; recommends the avoidance of pesticides whose handling and use
require the use of personal protective equipment; and advises prohibition of the
importation, sale and purchase of highly toxic and hazardous products, such as those
included in the 2004 classification by the World Health Organization (WHO) of
extremely hazardous (Ia) and highly hazardous (Ib) pesticides;
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– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –
Ministry of Science of Montenegro
(see http://www.inchem.org/documents/pds/pdsother/class/pdf);
The MoS will ensure that the project complies with the FAO Code of Conduct,
particularly with respect to prohibiting the purchase or use of any extremely or highly
hazardous pesticides identified by WHO.
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– Guidelines for applicants for preparing an application for a Pilot Centre of Excellence –