Funding objective and purpose

1.1 Objective of funding Funding objectives

The INQA Coaching program aims to support small and medium-sized enterprises (SMEs) in designing an employee-oriented and future-oriented HR policy and promoting innovative capacity with the involvement of their employees. It is intended to give SMEs nationwide access to consulting and support services in areas of personnel policy and work organization. The aim is to establish a corporate culture that contributes to motivating, innovation- and performance-enhancing, diversity-oriented and age-appropriate working conditions as well as to securing a skilled workforce.

The program aims to enable company management and employees to engage in joint learning and development processes for the innovative design of digital change in accordance with uniform methodological guidelines and thus to jointly develop tailor-made solutions for the operational reality as well as sustainable concepts for implementation. The aim is for companies to try out and learn an employee-oriented, agile working method and to broaden their view of the holistic, sustainable approach of an employee-oriented HR policy that consistently involves employees. The aim is to enable SMEs to respond appropriately and independently to the diverse operational challenges posed by demographic, digital and ecological change and the associated changes in the world of work. In this way, INQA coaching also supports the cross-divisional principles.

Purpose of the grant

The program promotes participatory consulting processes that focus on people as the starting point for sustainable operational change processes. Company management and executives as well as employees must therefore be explicitly involved in the consulting processes. This promotes greater acceptance among the workforce and thus ensures that the measures have a lasting effect.

It is based on a holistic, tripartite approach (supported by the state and social partners) developed as part of the New Quality of Work Initiative (INQA), which is not aimed at individual measures, but instead initiates sustainable change processes in personnel and organizational development in key areas of action that are important for the future viability of SMEs, using a reference system and agile methods. In view of demographic change and the digital and ecological transformation, this not only improves the employability of employees, but also strengthens the competitiveness and innovative capacity of the participating SMEs.

The INQA Coaching program is embedded in the activities of the New Quality of Work Initiative. It supports the goals of the National Continuing Education Strategy and is linked to the “Continuing Education Networks” funding initiative of the Federal Ministry of Labor and Social Affairs (BMAS) as well as the ESF Plus programs “Future Centers” and “Shaping Change in Work in a Social Partnership – Continuing Education and Promoting Equality” (Social Partner Directive).

1.2 Legal basis

Funding for the program from the European Social Fund Plus (ESF Plus) is provided on the basis of Regulation (EU) 2021/1057 of the European Parliament and of the Council of 24 June 2021 (ESF Plus Regulation) and Regulation (EU) 2021/1060 of the European Parliament and of the Council of 24 June 2021 (General Structural Funds Regulation). Any delegated acts or implementing provisions that have been or will be adopted in connection with Structural Fund support complete the legal basis.

The legal basis is the federal program for the ESF Plus in the funding period 2021 to 2027 (CCI: 2021DE05SFPR001). The funding under this guideline is assigned to the specific objective of “promoting the adaptation of workers, SMEs and entrepreneurs to change, promoting active and healthy ageing and a healthy and appropriate working environment that bears health risks” in accordance with Article 4(1) of Regulation (EU) 2021/1057.

The Federal Government will award grants in accordance with these guidelines, Sections 23, 44 of the Federal Budget Code (BHO) and the associated administrative regulations as well as the Special Ancillary Provisions for Grants for Project Funding under the Federal Program for ESF Plus in the 2021 to 2027 Funding Period (BNBest-P-ESF-Bund) and the Special Ancillary Provisions for Grants for Project Funding to Local Authorities and Associations of Local Authorities under the Federal Program for ESF Plus in the 2021 to 2027 Funding Period (BNBest-Gk-ESF-Bund), which will be the subject of the grant award notices.

The granting authority decides on the funding of the projects on the basis of the documents submitted within the scope of its dutiful discretion and the available budget funds. There is no legal entitlement to funding.

The grant for coaching in the program is de minimis aid. The grant is awarded in accordance with the provisions of Commission Regulation (EU) No. 1407/2013 of December 18, 2013 on the application of Articles 107 and 108 of the Treaty on the Functioning of the European Union to de minimis aid (OJ L 352, 24.12.2013, p. 1) and Regulation (EU) 2020/972 of July 2, 2020 amending Regulation (EU) No. 1407/2013 as regards its extension (OJ L 215, 7.7.2020, p. 3), as amended.

2 Object of the funding

2.1 INQA advice centers (IBS)

The central points of contact for the program are the IBS. The IBS have the following main tasks to fulfill:

2.1.1 INQA advice and administrative support for SMEs

– Implementation of a neutral and uniform nationwide consultation for the holistic analysis of the need for change in personnel policy or work organization in connection with transformations in the company caused by digital structural change. To examine the need for action, the IBS has a reference system at its disposal that outlines possible subject areas. The IBS must check whether the company is willing and able in terms of work organization to implement a participation-oriented process in accordance with the methodological requirements described in section 2.2.

– Check the basic eligibility for funding. If necessary, refer to other regional or national advisory and support services.

– Issue of a consultation check if required.

– Reference by SMEs to the coaching pool on the program website for the selection of coaches. IBSs may not recommend or refer coaches, nor may they commission other persons or institutions to refer coaches or tolerate their activities.

– Support and assistance for SMEs in all administrative procedures (including application, invoicing).

2.1.2 Quality assurance and sustainability

– Support with the quality assurance of the coaching (including reviewing the respective where-used lists as part of the billing process).

– Conducting a results meeting with the SMEs, usually three to six months after coaching.

– Networking of participating SMEs and establishment of regional company networks for joint reflection on the change process, exchange of good practice and mutual learning. Cooperation with the superordinate center (ÜZ, see number 2.3) for the purpose of exchanging content, e.g. on good practices.

– Reference to offers from the New Quality of Work Initiative and other BMAS funding offers (in particular future centers, further training networks).

– Reference to further regional and, where applicable, nationwide advisory and support services for SMEs for the implementation of the measures.

2.1.3 Program support

– Supporting the ÜZ and the BMAS in setting up and maintaining the coaching pool (information, training, organization of an annual regional exchange of experience among the coaches).

– Collaboration in the documentation and evaluation of the program results (monitoring, evaluation). Identification of good corporate examples within the framework of the program.

– Research and preparation of regional and, where applicable, state-wide advisory and support services for SMEs as well as cooperation with relevant stakeholders (state coordination offices for continuing education, chambers, health insurance companies, Federal Employment Agency, INQA and others).

2.1.4 Promoting the program in the region

– Public relations and press work.

– Networking with relevant stakeholders and the New Quality of Work Initiative.

2.2 Coaching for SMEs

Coaching of a maximum of twelve consulting days is funded for the support of a company learning and development process. For this purpose, the SME can make use of a consultancy check within the meaning of these guidelines together with the employees.

Only consulting services that

– be carried out by coaches authorized for the INQA-Coaching program. Subcontracting or subcontracting of coaches is not permitted,

– in accordance with the methodological requirements with the involvement of the employees,

– are related to a need for change in personnel policy or work organization in connection with comprehensible digital transformations within the company.

As a rule, the coaching takes place directly on site at the company and with the participation of the company’s interest representatives (if available) and the employees. If technically and organizationally possible, the INQA (or parts of it) can also take place in digital form. The prerequisite for this is that no employees are fundamentally excluded from the consultation process, e.g. because they do not have the necessary technical workplace equipment.

Coaching takes place exclusively on the basis of a specific agile method. The concept also includes a role concept that provides for a steering committee, a lab team and a person responsible for the lab team. The steering committee is made up of representatives of the management and employees, sets the central topics and evaluates the progress of the initiated change process. The lab team is made up of employees from the relevant organizational units and develops the design solutions. The person responsible for the lab team is the central point of contact for the coach and the steering committee and drives the process forward in the lab team.

The process is divided into an initial phase, an innovation phase and a learning phase. In the initial phase, the topics and objectives are defined, the lab team is determined and a kick-off workshop is held. In the innovation phase, the work program is implemented in defined work phases within the company and, if necessary, gradually developed further. A moderated planning and evaluation session with the coach takes place at the beginning and end of each of the defined work phases. In the learning phase, the results are evaluated together. They should serve as a basis for an independent continuation of the innovation process in the company. The detailed methodological guidelines are published on the website www.inqa.de. Only coaches who are authorized for the INQA-Coaching program are eligible to implement the program.

Coaching for SMEs is granted as de minimis aid. De minimis aid may not exceed EUR 200,000 (or EUR 100,000 in the road transport sector) within a period of three fiscal years. The conditions specified in this regulation must be met for the grant to be awarded.

2.3 Superordinate center INQA-Coaching

A central ÜZ INQA-Coaching is intended to support the networking of the individual actors in the program with each other and with other programs and actors as well as to ensure and promote the quality of both the INQA consulting by the IBS and the coaching. The ÜZ also ensures that current information and offers from the New Quality of Work Initiative are available and usable for the IBS and the coaches and ensures the transfer of findings from the funded projects back to INQA in order to incorporate them into the further development of INQA offers.

The ÜZ has the following main tasks to fulfill:

– Technical and content-related support for the IBS, in particular informing the INQA consultants in the IBS and the coaches about current topics, offers and events of the New Quality of Work Initiative, preparing these offers in a form that makes them usable for the consultants in their daily work;

– Training of INQA advisors in the IBS and support with questions about the consultation and the results discussion;

– Promotion of (digital) networking among the IBS, conception and implementation of an annual network meeting of the IBS;

– Authorization of coaches and maintenance of the coaching pool;

– Supporting the IBS in carrying out exchanges of experience for the coaches and at networking events for participating SMEs (e.g. by providing model workshop concepts and learning content as well as examples of good practice);

– Organization of an annual nationwide online network meeting for the coaches;

– Collecting, filtering and providing examples of good practice for further use by the BMAS and others;

– Supporting the BMAS in its public relations work (e.g. input for the INQA website);

– Systematic monitoring of all program activities including evaluation of relevant documents and data (SME feedback forms etc.) as well as preparation of findings, challenges and recurring questions and topics from the program for the BMAS with the aim of (further) developing tailor-made offers in the context of INQA;

– Networking with stakeholders of the New Quality of Work Initiative (in particular the Network Office, Federal Institute for Occupational Safety and Health) as well as with other programs and initiatives (in particular the Future Centers and continuing education networks);

– Supporting the BMAS in the further development of the content and administration of the program (and, if necessary, in the establishment of further program branches).

3 Beneficiary

3.1 Beneficiaries of the IBS

Legal entities under private and public law and partnerships with legal capacity that can prove their access to SMEs, consulting experience, methodological competence, network connections and their professional and administrative suitability in accordance with point 7.1 (e.g. chambers, employers’ associations, trade unions, educational institutions) are eligible to apply.

The aim is to enable nationwide, nationwide access for SMEs to the INQA Coaching program. A separate application must be submitted for each ESF Plus target area (see point 5.1).

For this purpose, onward transfer of the grant to sub-project partners may be applied for in accordance with point 12 of Section 44 BHO and approved by the approval authority in the grant notification. If the grant is on-lent, the requirements under grant law must be met by each sub-project sponsor and the grant recipient must demonstrate its suitability to administer and on-lend the funding. A clear organizational and personnel distinction between INQA consulting as IBS and coaching must be ensured.

3.2 Beneficiaries of the coaching for SMEs

Legally independent companies, members of the liberal professions and non-profit companies are eligible to apply for participation and process-oriented advice if they

– have their registered office and place of work in Germany,

– have been on the market for at least two years at the time the check is issued,

– had at least one full-time employee subject to social security contributions (annual work unit, AWU) in the last financial year before the start of the consultation,

– have fewer than 250 employees (in AWU) and either an annual turnover of no more than 50 million euros or an annual balance sheet total of no more than 43 million euros.

The SME may not exceed the requirements for the number of employees (in FTE) and annual turnover or balance sheet total together with a partner company or affiliated company. When calculating the number of employees (in AWU), trainees and part-time employees (mini-jobbers) are not taken into account; part-time employees are to be added on a pro rata basis. The reference value for “full-time” is the respective standard working hours in the company, but the threshold of 35 hours per week may not be undercut. SMEs with only marginal part-time employees are not eligible for funding.

The following are not eligible to apply, regardless of the need for advice:

– Companies and employees of companies whose business purpose is primary agricultural production or fishing and aquaculture in accordance with Article 1 of Regulation (EU) No. 1407/2013;

– Companies in which legal entities under public law or their own operations hold an interest (from 25 %);

– Companies in respect of whose assets insolvency proceedings have been applied for or opened or against which enforcement proceedings have been initiated or are being pursued. The same applies to applicants and, if the applicant is a legal entity, to the owner or one of the owners

of the legal entity if they have submitted or are obliged to submit a statement of assets in accordance with Section 802 of the German Code of Civil Procedure and for companies that are in the process of monitoring an insolvency plan;

– Companies that are in a legal dispute with the coach;

– Companies that are funded via the “Future-proof companies and administrations in the digital transformation” guideline;

– Companies that have already participated in the INQA Coaching program;

– Companies and members of the liberal professions who work as management or business consultants in the fields of personnel policy or work organization.

3.3 Beneficiaries of the OC

Legal entities under private or public law and partnerships with legal capacity are eligible to apply if they can provide evidence of their professional and administrative suitability and their network connections in accordance with section 7.3. A sponsor can apply both as an IBS and as an OC. In this case, a clear organizational and personnel distinction between INQA-Beratung and the ÜZ must be ensured.

4 Special funding requirements

4.1 Professional suitability

The applicant must ensure that the staff assigned to carry out the project have sufficient qualifications and knowledge. The place of work of the personnel deployed in the project must be located in the target region specified in the application.

4.2 Additionality

Funding cannot be provided for projects that are part of the applicant’s mandatory tasks or for which statutory funding regulations already exist. Grants may only be approved for projects that have not yet been started. Retroactive funding is excluded.

4.3 Prohibition of cumulation and double funding

There is a prohibition of cumulation with funding from other public programs and projects (federal, state, local, EU) for the same funding purpose.

4.4 Securing the overall financing

The overall financing of the project must be secured. A prerequisite for project funding is proof of the applicant’s own contribution to the project.

5 Type, scope and amount of the grant

Due to the tripartite division of the program’s funding object, the type, scope and amount of funding are divided into IBS, (coaching of) SMEs and ÜZ.

5.1 Type, scope and amount of the grant for IBS

The grant is awarded by way of project funding as partial financing in the form of a non-repayable subsidy. The basis of assessment is the total eligible expenditure.

The maximum grant amount for IBS funding under these guidelines is 80 % (ESF Plus and federal funds). The intervention rates applicable to the ESF Plus target areas are applied. The funding rates are as follows:

– up to 40% for the target area More developed regions (this includes the old federal states with the state of Berlin and the Leipzig region, excluding the regions of Lüneburg and Trier)

– up to 60% for the target area of transition regions (this includes the new federal states with the regions of Lüneburg and Trier, excluding the state of Berlin and the Leipzig region)

The breakdown of funding sources (ESF Plus funds and national public funds and/or private national funds) must be set out by the applicant in the financing plan.

The own contribution should regularly be at least 20 % of the total eligible expenditure and can be contributed from own funds and third-party funds. Own funds and third-party funds can be recognized as cash funds. The own contribution can be provided by other public funds (e.g. municipal or state funds) and non-public funds from third parties, provided these funds do not come from the ESF Plus or other EU funds.

The following are exclusively eligible:

– Direct personnel expenses (excluding honorary staff). A full-time position up to a maximum of TVöD 13 is eligible for funding.

– All other direct and indirect expenses in connection with the performance of the tasks of an IBS (material expenses, consumables, travel expenses, public relations, etc.) are reimbursed in accordance with Article 56(1) of Regulation (EU) 2021/1060 as a residual lump sum of 30 % of the direct personnel costs.

5.2 Type, scope and amount of the grant for coaching for SMEs

The grant is awarded as part of project funding in the form of a non-repayable subsidy as partial financing.

Coaching as part of the program comprises a maximum of twelve consulting days of eight hours each. These can be split over several days. The coaching must be completed within seven months of the issue of the consultancy voucher.

The maximum rate for a consultant day is EUR 1,200 net. This covers all consultancy services. Other ancillary costs, such as travel expenses, consumables, etc., are not eligible for funding.

The subsidy is granted as follows: per consulting day: 80 % (ESF Plus and federal funds) of the above-mentioned maximum permissible daily rate. The intervention rates applicable to the ESF Plus target areas are applied. The funding rates are as follows:

– up to 40 % for the target area More developed regions (this includes the old federal states with the state of Berlin and the Leipzig region, excluding the regions of Lüneburg and Trier)

– up to 60 % for the target area transition regions (this includes the new federal states with the regions of Lüneburg and Trier, excluding the state of Berlin and the Leipzig region)

The allocation of funding sources (ESF Plus funds and national public funds and/or private national funds) must be set out by the grant recipient in the application. SMEs are supported by the IBS when submitting applications (see point 3.1).

20 % of the eligible fee must be provided by the company as own funds in the form of cash.

The prerequisite for taking advantage of coaching is a consultancy cheque issued by the IBS as part of an INQA consultation, which contains the scope of the consultation and a recommendation on the main areas of action. The issue of the consultancy cheque generally authorizes the early start of the project. The early start of the project is a legally non-binding declaration of intent and is at the risk of the applicant.

Funding for consultancy services is based on the reimbursement principle. This means that the companies make advance payments and must initially pay the full cost of the coaching from their own funds. The consultancy costs are only reimbursed after the coaching has been completed and the formal requirements and the results of the coaching to be proven have been fully checked by the approval authority (see point 7.2).

5.3 Type, scope and amount of the OC’s contribution

The grant is awarded as part of project funding in the form of a non-repayable subsidy as partial funding. The basis of assessment is the total eligible expenditure.

The maximum grant amount for the promotion of the ÜZ in accordance with these guidelines is 90 % (ESF Plus and federal funds). The intervention rates applicable to the ESF Plus target areas are applied. The funding rates are as follows:

– up to 40% for the target area More developed regions (this includes the old federal states with the state of Berlin and the Leipzig region, excluding the regions of Lüneburg and Trier)

– up to 60% for the target area of transition regions (this includes the new federal states with the regions of Lüneburg and Trier, excluding the state of Berlin and the Leipzig region)

The breakdown of funding sources (ESF Plus funds and national public funds and/or private national funds) must be set out by the applicant in the financing plan.

The applicant must provide at least 10% of the total eligible expenditure as their own contribution. In principle, the applicant’s own contribution can also be provided by other public funds (e.g. municipal or state funds) and non-public funds from third parties, provided these funds do not come from the ESF Plus or other EU funds.

The following are exclusively eligible:

– Direct personnel expenses for internal project staff. The following positions are eligible for funding:

– one position (FTE) for project management (up to E 15)

– Two posts (FTE) for academic staff (up to E 13)

– Two posts (FTE) for administration (up to E 11)

– one position (FTE) for office administration (up to E 9a)

– For the accreditation of the coaches, two additional positions (FTE) for administration (up to E11) are also eligible for funding for a period of one year.

– Direct personnel expenses for external project personnel (honorary staff). If the direct personnel expenses relate to expenditure on the basis of fee contracts, these are only to be included in full as the basis for calculating the flat rate if the honorary employee uses the grant recipient’s infrastructure (e.g. premises, office materials, etc.) and the invoiced fee amounts are not used to reimburse travel, overnight accommodation and catering costs. Otherwise, the flat rate is not applicable to the fee contract.

apply. Fees paid to board members, management and full-time employees of the project executing agency or the association of executing agencies are not eligible for funding.

– Direct material expenses. Only travel expenses and costs for public relations and events (including external rentals) are eligible for funding. In this cost block, only travel expenses relating to travel by OC staff are reimbursed; travel expenses for IBS staff are not covered.

– All other eligible expenditure is covered as a flat rate of 15% of direct eligible personnel expenditure in accordance with Article 54(c) of Regulation (EU) 2021/1060. Indirect project expenditure is covered by the flat-rate scheme and is not recognized as own contribution.

The guideline value of eligible expenditure for the OC is up to EUR 3 million over the entire funding period.

6 Other grant provisions

6.1 Cross-divisional principles (formerly cross-cutting objectives) and environmental sustainability

In accordance with Article 9 of Regulation (EU) 2021/1060 in conjunction with Article 6 of Regulation (EU) 2021/1057, the cross-cutting principles of gender equality and anti-discrimination shall be integrated and/or ensured as a specific approach at all stages of programming and implementation, with the addition of the objective of environmental sustainability. Appropriate measures shall be taken to promote equality between women and men in particular. No one may be discriminated against on the basis of gender, skin color or ethnic origin, religion or ideology, disability, age or sexual orientation. Barriers to participation should be removed and accessibility and inclusion promoted. In this context, Article 15 in conjunction with Annex III of Regulation (EU) 2021/1060 also requires compliance with and respect for the United Nations Convention on the Rights of Persons with Disabilities in accordance with Council Decision 2010/48/EC. In accordance with Article 8(1) of Regulation (EU) 2021/1057 and Article 9(1) of Regulation (EU) 2021/1060, the Charter of Fundamental Rights of the EU and the associated objective of safeguarding the fundamental rights of EU citizens must not be violated in the planning and implementation of the program.

6.2 Participation/data storage

The grant recipients and any bodies involved are obliged to cooperate in the financial control by the bodies referred to in section 7.7 and to provide the necessary information. By submitting the application, applicants agree to the collection and storage of the data required for project monitoring, project assessment/evaluation, project financial management and review/audit and to the forwarding of this data to the authorized bodies. Documents required for audit purposes that have not already been submitted electronically must be transmitted in electronic form at the request of the auditing body. The fulfillment of reporting obligations and the collection and maintenance of data are a prerequisite for accessing and disbursing funding from the European Commission.

6.3 Monitoring and evaluation of the program

The funding recipients are generally obliged to collect the common output and result indicators for ESF Plus interventions in accordance with Annex I of Regulation (EU) 2021/1057 as well as other program-relevant data and to submit them to the funding provider at specified times. To this end, IBS collects this data from the companies and stakeholders involved in a project and supports the companies in the process of securing results.

In addition, the funding recipients are obliged to cooperate with the bodies responsible for monitoring and evaluating the program. In particular, they must regularly enter the necessary project data for financial and material management into the IT system set up for this purpose. The data collected forms the basis for the ESF managing authority’s reporting obligations to the European Commission.

6.4 Transparency of funding

The beneficiaries agree that, in accordance with Article 49(3) of the General Structural Funds Regulation (EU) 2021/1060, information is publicly available (e.g. on the website of the ESF Managing Authority www.esf.de), such as, for example

– for legal entities: Name of the beneficiary

– for natural persons: First and last name of the beneficiary

– Name of the project

– Purpose and expected and actual achievements of the project

– Date of the start of the project

– Expected or actual date of completion of the project

– Total costs of the project

– Specific objective concerned

– Union co-financing rate

– for operations without a fixed location or operations with several locations: the location of the beneficiary where it is the legal entity or the region at NUTS 2 level if the beneficiary is a natural person

– Zip code of the project or other appropriate location indicators

– Type of assistance for the operation in accordance with Article 73(2)(g) of Regulation (EU) 2021/1060

The grant recipients also agree that, in order to ensure the legality and regularity of expenditure and to prevent and detect fraud, they will record the data listed in Annex XVII of Regulation (EU) 2021/1060 to be collected in accordance with Article 69(2) and Article 72(1)(e) of the General Structural Funds Regulation (EU) 2021/1060 in the IT system set up for this purpose. This data includes partially sensitive or personal data on the person or company and, if available, on all beneficial owners and all contractors and their beneficial owners and contracts. In order to comply with the applicable data protection regulations, the requirements of the administrative authority to fulfill the information obligation under Article 14 of the General Data Protection Regulation must be implemented.

6.5 Communication

With their application, applicants undertake to comply with the requirements for information and publicity measures of the beneficiaries with regard to visibility and transparency in accordance with Article 46(a), Article 47 and Article 50 in conjunction with Annex IX of Regulation (EU) 2021/1060 and to indicate that the program/project is supported by the ESF Plus.

6.6 IT system

The entire ESF Plus grant procedure is handled electronically via the Z-EU-S funding portal project management system(https://foerderportal-zeus.de).

Processes requiring written form must be “signed” electronically. This is done for each submission required in written form using the electronic forms and proof of identity provided in Z-EU-S using the free elD service from Z-EU-S or – alternatively – by applying a qualified electronic signature (QES) to the PDF export document of the submitted process using a corresponding QES signature solution (for details, please refer to the online help from Z-EU-S). In exceptional cases, an application can be made to the approval authority to submit the signature by post.

The authorities always sign using QES and the signed notifications are made available in Z-EU-S. If the technology fails or is unavailable, a decision can also be sent in paper form in exceptional cases.

Information on how to register for the Z-EU-S funding portal and a help service are available on the Z-EU-S funding portal homepage www.foerderportal-zeus.de.

7 Procedure

The BMAS manages the implementation of this directive and provides technical and content-related support. An implementing body is responsible for the approval procedure. As the implementing body (approval authority), the approval procedure is managed by the

German Pension Insurance

Knappschaft Bahn-See – DRV KBS

Specialist office for federal funding – ESF department

Miners’ Square 1

03046 Cottbus

carried out.

A steering group is also formed, consisting of representatives of the BMAS, the Federal Ministry of Economics and Climate Protection, the federal states and the social partners, the Federal Employment Agency and, if necessary, external experts. The steering group meets once a year to discuss the implementation status of the program. The steering group adopts its own rules of procedure. Members of the steering group cannot vote on applications from their respective member organizations. Persons involved in project selection cannot act as project participants.

Due to the tripartite division of the program’s funding object, procedures are divided into IBS, (coaching of) SMEs and ÜZ.

7.1 Application procedure for the IBS

A two-stage application procedure is planned. In the first step, interested applicants are called upon to submit an expression of interest for the sponsorship of an IBS in the INQA Coaching program. In the event of a positive assessment, eligible applicants will be invited to submit a detailed funding application in a second step.

The selection for a sponsorship is carried out via an open, transparent and non-discriminatory procedure, with the help of which the suitability and aptitude with the tasks/objectives mentioned in number 2.1 are determined.

Following publication of the funding guideline, a call for expressions of interest will be published on www.inqa.de. Interested institutions submit their expression of interest via the Z-EU-S funding portal(https://foerderportal-zeus.de) within the period specified in the call.

The submitted expressions of interest for the establishment of an IBS are evaluated on the basis of the following selection criteria:

In order to create a nationwide funding landscape for SMEs that is as transparent as possible, preference will be given to providers with links to relevant state initiatives and programs. As part of the assessment of the expressions of interest, the BMAS can obtain a recommendation on this point from the responsible state ministries. The steering group makes a funding recommendation based on the results of the assessments. On the basis of this recommendation, the BMAS decides which applicants will be invited to submit an application to the granting authority. Applicants who are not selected will not be admitted to submit an application and will be notified accordingly.

Once the decision has been issued, the sponsors are expected to commence their work as IBS in spring 2023. The funding period is limited until December 31, 2027.

When making its selection, the BMAS also takes into account the area coverage within the respective federal state. If there is no longer nationwide coverage of IBS during the term of the program, the BMAS reserves the right to invite individual providers from the applicant pool of the original call for applications to submit an application. If this does not result in a nationwide offer, sponsors who have already been active as IBS within the framework of sub-projects can apply to the approval authority for sponsorship of an IBS.

7.2 Application procedure for coaching for SMEs

The application must be received by the DRV KBS (see point 7) within one month of the end of the coaching, provided that the seven months for the coaching have been exhausted. If companies have completed the coaching earlier, the application and proof of use can also be submitted earlier, which also extends the processing period for the application. The provisions on the funding conditions in sections 2.2, 3.2 and 5.2 must be observed. As part of the INQA advisory service, the IBS provides SMEs with information and documents on the application and billing process and supports SMEs in all administrative procedures.

Interested and qualified coaches can apply to join the coaching pool at www.inqa.de. Information and documents on the process are also expected to be published there at the beginning of 2023. SMEs will then select a coach from the pool. This means that all coaches have the same chance of receiving a coaching assignment.

7.3 Application procedure for the OC

The application procedure is analogous to the process described in section 7.1 for the IBS.

The expressions of interest for the establishment of the ÜZ are evaluated on the basis of the following selection criteria:

Once the decision has been issued, the executing agency is expected to commence its work as an OC on February 1, 2023.

7.4 Authorization procedure

The funding principles for the approval of grants from the ESF Plus in the 2021 to 2027 funding period (available at www.esf.de) must be observed.

7.5 Request and payment procedure

Payments are made in accordance with the Special Ancillary Provisions for ESF Plus Grants (BNBest-P-ESF-Bund and BNBest-GK-ESF-Bund) using the reimbursement procedure and federal funds using the request procedure.

7.6 Proof of use

Expenditure accounted for on the basis of lump sums in accordance with section 6.2.3 BNBest-P-ESF-Bund and section 6.4.1 BNBest-Gk-ESF-Bund must be listed as a total in the list of receipts. The grant recipient confirms that expenses were actually incurred for the purpose for which the lump sum was granted and that the economical and efficient use of funds was observed.

If the confirmation of use is not provided, the granting authority may revoke the grant notification in whole or in part in accordance with Section 49 (3) of the Administrative Procedure Act (VwVfG), also with effect for the past, and reclaim the grant, even if it has already been used.

7.7 Regulations to be observed

Sections 48 to 49a VwVfG, sections 23, 44 BHO and the general administrative regulations issued in this regard apply to the approval, payment and accounting of the grant as well as to the verification and review of its use and any necessary revocation of the grant notification and the reclaiming of the grant awarded, unless deviations from the general administrative regulations have been permitted in these funding guidelines.

The Bundesrechnungshof is authorized to audit in accordance with Section 91 BHO. The European Commission, the European Court of Auditors, the European Anti-Fraud Office, the European Public Prosecutor’s Office, the ESF Managing Authority and the Federal ESF Audit Authority as well as their intermediary bodies are also authorized to audit in accordance with section 7.4 BNBest-P-ESF-Bund, BNBest-Gk-ESF-Bund.

8 Period of validity

This funding guideline comes into force on the day of publication in the Federal Gazette and is valid until December 31, 2027.

The de minimis regulation is limited in time, plus an adjustment period of six months, until June 30, 2024. If the de minimis regulation is not extended and replaced by a new de minimis regulation, or if relevant changes are made to the content of the current de minimis regulation, an amended funding guideline corresponding to the then applicable requirements will come into force by December 31, 2027.

Berlin, August 4, 2022

Federal Ministry of Labor and Social Affairs