Financial allocation - European External Action Service

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Transcript Financial allocation - European External Action Service

DELEGATION
OF THE EUROPEAN UNION
TO BELARUS
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EuropeAid/136195/DD/ACT/BY
Civil Society Organisations and Local Authorities
Enhancing Strategic Engagement with Civil Society
and Local Authorities in Belarus
DISCLAIMER
This presentation is intended as useful information for
applicants.
The information included in this presentation cannot
and do not replace or overrule the information
contained in the respective Guidelines for grant
applicants that are published for the Call for
proposals. They also do not substitute the
provisions in a Practical Guide.
In case of discrepancy, the Guidelines for grant
applicants are the only legally binding document
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FINANCIAL ALLOCATION
(Section 1.3 of Guidelines)
Overall indicative amount available: EUR 3,000,000
• Lot 1: Enhancing CSOs' contributions to governance and
development processes: EUR 2,500,000
• Lot 2: Enhancing LAs' contribution to governance and
development processes: EUR 500,000
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SIZE OF GRANTS
(Section 1.3 of Guidelines)
Lot 1
Amount:
• minimum: EUR 450,000
• maximum: EUR 1,000,000
Percentage:
• minimum: 50% of the total eligible costs of the action
• maximum:
– 90% of the total eligible costs of the action if the applicant is
established in Belarus or in "ENI East" country or in Russian
Federation
– 75% of the total eligible costs of the action in case the applicant
is established in a Member State of the European Union or in a
country of the European Economic Area
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SIZE OF GRANTS
(Section 1.3 of Guidelines)
Lot 2
Amount:
• minimum: EUR 450,000
• maximum: EUR 500,000
Percentage:
• minimum: 50% of the total eligible costs of the action
• maximum:
– 90% of the total eligible costs of the action if the applicant is
established in Belarus or in "ENI East" country or in Russian
Federation
– 75% of the total eligible costs of the action in case the applicant
is established in a Member State of the European Union or in a
country of the European Economic Area
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ELIGIBILITY CRITERIA: ACTORS
(Section 2.1 of Guidelines)
• Applicant (CfP) – Coordinator (contract) –
main Beneficiary
• Co-Applicant(s) – Co-Beneficiary(ies)
• Affiliated Entity (ies) (if any)
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ELIGIBILITY CRITERIA (Lot 1)
(Section 2.1.1 of Guidelines)
• be a legal person or an entity without legal personality (see also
footnote 11 of the Guidelines) and
• be non-profit-making and
• be Civil Society Organisation or an Association of CSOs and
• be established in Belarus or in a Member State of the European
Union or in a country of the European Economic Area or in
"ENI East" country or in Russian Federation and
• be directly responsible for the preparation and management of
the action with the co-applicant(s) and affiliated entity(ies), not
acting as an intermediary.
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ELIGIBILITY CRITERIA (Lot 2)
(Section 2.1.1 of Guidelines)
• be a legal person and
• be Local Authority or National Association of Local
Authorities (ALA) and
• be established in Belarus or in a Member State of the
European Union or in a country of the European
Economic Area or in "ENI East" country or in Russian
Federation and
• be directly responsible for the preparation and
management of the action with the coapplicant(s) and
affiliated entity(ies), not acting as an intermediary.
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ELIGIBILITY CRITERIA (Lots 1 and 2)
• the potential applicant may not participate in
calls for proposals or be awarded grants if it is in
any of the situations listed in Section 2.3.3 of the
Practical Guide (e.g. bankrupt)
• For the applicant not established in Belarus, the
involvement in the action of at least one coapplicant established in Belarus is obligatory
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ELIGIBILITY CRITERIA (Co-applicants)
Note: maximum recommended number of coapplicants to be involved in the action is three.
Co-applicant(s) must satisfy the eligibility criteria
as applicable to the applicant himself.
In addition:
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ELIGIBILITY CRITERIA (Co-applicants)
• For Lot 1, LAs and their associations
established in Belarus or in a Member State of
the European Union or in a country of the
European Economic Area or in "ENI East"
country or in Russian Federation can also apply
as co-applicants. For such co-applicants, the
eligibility criteria established for applicants under
Lot 2 apply.
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ELIGIBILITY CRITERIA (Co-applicants)
• For Lot 2, CSOs and their associations established in
Belarus or in a Member State of the European Union or
in a country of the European Economic Area or in "ENI
East" country or in Russian Federation can also apply
as co-applicants. For such co-applicants, the eligibility
criteria established for applicants under Lot 1 apply.
Moreover, in case the applicant is not established in
Belarus, at least one LA/ALA established in Belarus
shall apply as co-applicant. Such co-applicant must
satisfy the same eligibility criteria as applicant.
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ELIGIBILITY CRITERIA (Co-applicants)
For the applicant who is not established in Belarus
LOT 1
LOT 2
At least one co-applicant established in Belarus
Co-applicants may be CSOs
and their associations and/or
LAs and their associations
Co-applicants may be CSOs
and their associations and/or
LAs and their associations,
but at least one LA/ALA
established in Belarus
must apply as co-applicant
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APPLICANT
(Part B section 3 of the grant application form)
HAS A MANDATE :
- to submit an application,
- to sign the contract,
- to represent during the execution of
the contract (the only interlocutor),
As Coordinator, will assume financial
responsibility (Art. 1.6 of Annex G2 - General Conditions)
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CO-APPLICANT(S)
(Section 2.1.1 of Guidelines)
A Mandate must be signed! (Part B section 4 of the grant
application form)
• Joint responsibility for designing and
implementing the action;
• Beneficiary(ies) of the contract, but represented
by the Coordinator;
• Duty to assist the Coordinator;
• Costs are eligible in the same way as incurred
by the Applicant (Coordinator).
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AFFILIATED ENTITY(IES)
(Section 2.1.2 of Guidelines)
A Statement must be signed! (Part B section 5 of the grant
application form)
• ONLY entities having a structural (legal or
capital) link with the applicants:
– Control (parent, daughter, granddaughter, sister
companies, first-tier or second-tier subsidiaries etc.),
– Membership (legally defined as network, federation,
association).
They are:
 Third party(ies) to the contract,
 Participate in designing and implementing the action,
 Costs may be accepted as eligible.
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AFFILIATED ENTITY(IES) - ELIGIBILITY
Affiliated entities must satisfy the same eligibility criteria as the applicant
and the co-applicants. In addition,
• For Lot 1, LAs and their associations established in Belarus or in a
Member State of the European Union or in a country of the European
Economic Area or in "ENI East" country or in Russian Federation can
apply as affiliated entities. For such affiliated entities, the eligibility
criteria established for applicants under Lot 2 apply.
• For Lot 2, CSOs and their associations established in Belarus or in a
Member State of the European Union or in a country of the European
Economic Area or in "ENI East" country or in Russian Federation can
apply as affiliated entities. For such affiliated entities, the eligibility
criteria established for applicants under Lot 1 apply.
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OTHER ENTITIES
(Section 2.1.3 of Guidelines)
• Associates: play a real role in the action, do
not receive funding from the grant, with the
exception of per diem or travel costs;
• Contractors: are awarded contracts by
Beneficiaries and their Affiliated Entities,
subject to the procurement rules set out in
Annex IV. Associates or affiliated entities
cannot be also contractors in the project.
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Duration
(Section 2.1.4 of Guidelines)
Initial planned duration must be:
• Minimum 24 months
• Maximum 48 months
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PADOR
http://ec.europa.eu/europeaid/work/onlineservices/pador/index_en.htm
• Organisations register themselves, upload their
supporting documents and update regularly
their data;
• This data concerns the organisation itself, it is
not linked to a particular proposal;
• Used for partner search by other organisations;
• The data is used for checking the eligibility of
the organisations, for evaluating the operational
and financial capacity.
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PADOR
• Prior registration in PADOR:
– Concept Note stage:
• obligatory registration for Applicant
• optional (though strongly recommended) registration
for Co-Applicant(s) and Affiliated Entity(ies)
– Full Application stage:
• obligatory registration for all pre-selected Applicants,
Co-Applicant(s) and Affiliated Entity(ies).
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QUESTIONS/ANSWERS
(Section 2.2.4 of Guidelines)
• When and where to send questions:
21 January 2015 at the latest
E-mail: BELARUS-C&[email protected]
Fax: + 375 17 289 12 81
Please indicate clearly the reference of the Call for Proposals:
EuropeAid/136195/DD/ACT/BY!
• When to receive replies from EU:
30 January 2015 at the latest on the EuropeAid website:
https://webgate.ec.europa.eu/europeaid/onlineservices/index.cfm?do=publi.welcome
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CONCEPT NOTE SUBMISSION
(Section 2.2.2 of Guidelines)
1. Concept Note and
2. Checklist for the Concept Note and
3. Signed Declaration by the Applicant for
the Concept Note (Part A)
Keep strictly to the format!
To be sent in 1 original and 2 copies! No CD!
Incomplete Concept Notes may be rejected!
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CONCEPT NOTE SUBMISSION
(Section 2.2.3 of Guidelines)
Submission deadline is 11 February 2015
For hand-deliveries, 16:30 Minsk time
Where?
For the attention of the Head of Finance, Contracts and Audit Section
Delegation of the European Union to Belarus
34A/2 Engels Street, 8th floor
Minsk 220030, Belarus
How?
In a sealed envelope by registered mail, private courier service or by hand-delivery
× Do not send by fax
× Do not send by e-mail
× Do not send to the other addresses
Please indicate reference number and the title
of the call for proposals
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FULL APPLICATION SUBMISSION
(Section 2.2.5 of Guidelines)
IMPORTANT!
• The elements assessed on the basis of the concept note cannot be
modified by the applicant in the full application form.
Elements include: target groups, final beneficiaries, target regions,
locations, specific objectives, key stakeholder groups.
• The EU contribution may not vary from the initial estimate by more
than 20%, while the Applicant is free to adapt the percentage of cofinancing required within the minimum and maximum amount and
percentages of co-financing, as laid down in section 1.3 of the
Guidelines.
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FULL APPLICATION SUBMISSION
(Section 2.2.6 of Guidelines)
1. Full Application Form (Part B Annex A)
The Checklist and the Declaration by the Applicant
must be stapled separately
2. Budget (Annex B)
3. Logical Framework (Annex C)
Keep strictly to the format!
To be sent in 1 original and 2 copies! No CD!
Incomplete Full Applications may be rejected!
No supplementary annexes!
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FULL APPLICATION SUBMISSION
(Section 2.2.6 of Guidelines)
Where?
For the attention of the Head of Finance, Contracts and Audit Section
Delegation of the European Union to Belarus
34A/2 Engels Street, 8th floor
Minsk 220030, Belarus
How?
In a sealed envelope by registered mail, private courier service or by
hand-delivery
× Do not send by fax
× Do not send by e-mail
× Do not send to the other addresses
Please indicate reference number and the title
of the call for proposals
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BUDGET FOR THE ACTION
Important!
(Annex B)
• Strictly follow the template, take note of the explanations in
footnotes;
• Prepare in EUR, not in BYR;
• Fill in the budget for 'All Years' and also for 'Year 1';
• Budget must cover all activities planned - in line with the
proposed Action;
• Budget must be realistic and cost-effective;
• Only eligible costs shall be included in the Budget;
• Provide a narrative clarification of each budget item necessity of the costs and how they relate to the action (e.g.
through references to the activities in the Description of the
Action);
• Provide a justification of the calculation of the estimated
costs. Note that the estimation should be based on real costs.
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ELIGIBILITY OF COSTS
(Section 2.1.5 of Guidelines and Art. 14 of Annex G II - General Conditions).
Please read carefully before you start preparing a budget
Annex K
and
The implementation of grant contracts —
A Users' Guide
available at
http://ec.europa.eu/europeaid/companion/docume
nt.do?nodeNumber=19 /
in particular:
• Point 19.3.1. Article 14 - Eligible costs
• Point 19.3.3. Article 16 - Accounts and technical and financial
checks
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ELIGIBILITY OF COSTS
• Eligible costs are actual costs incurred during
the implementation of the Action;
• ONLY eligible costs are covered by a grant;
• The budget is both a cost estimate and a ceiling
for eligible costs;
• The costs must be reasonable, justified and
comply with the requirements of sound financial
management, in particular regarding economy
and efficiency.
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ELIGIBLE DIRECT COSTS
• Costs of staff assigned to the Action, corresponding to
actual gross salaries;
• Travel and subsistence costs for staff and other
persons taking part in the Action;
• Purchase of equipment and supplies specifically for
the purposes of the Action;
• Costs of consumables;
• Costs of contracts awarded by the Beneficiary(ies);
• Costs deriving from the Grant Contract (e.g.
dissemination of information, evaluation specific to the
Action, audits, translation, reproduction);
• Duties, taxes and charges paid and non-recoverable
(Annex J).
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SIMPLIFIED COST OPTIONS
Total amount of simplified costs for any of the applicants
cannot exceed EUR 60,000
• unit costs: covering all or certain specific categories of
eligible costs which are clearly identified in advance by
reference to an amount per unit (e.g. working month, small
local transport);
• lump sums: covering in global terms all or certain specific
categories of eligible costs which are clearly identified in
advance (e.g. events, videos);
• flat-rate financing: covering specific categories of eligible
costs which are clearly identified in advance by applying a
percentage fixed ex ante (e.g. local office costs).
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BUDGET: 1 Human resources
• Staff costs are eligible provided that the staff are essential to the
implementation of the Action and are explicitly mentioned in the
project proposal;
• As a general rule, costs of HQ staff should be covered by indirect
costs. Only if:
– They relate to the achievement of the Action's operational
results and have accordingly been identified as an operational
activity in the description of the Action.
– They cover the actual presence of HQ staff in the field (e.g.
specific monitoring missions, needs assessment, etc.).
• Salaries and costs must not exceed those normally borne by the
Beneficiary(ies) unless it is justified by showing that it is essential to
carry out the action (only for new staff or new functions);
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BUDGET: 1 Human resources
• If staff are not working full time on the Action, the percentage
should be indicated alongside the description of the item and
reflected in the number of units (not the unit value);
• Experts/Consultants recruited with a service contract are to be
considered as "contractors". Procurement rules set out in Annex IV
apply. They should be included in budget Item 5 (Other costs);
Exception possible, only when:
– all conditions describing a de facto situation of subordination,
as in a traditional labour contract (regardless of the legal form)
are respected and
– the national applicable legislation allows for a de facto
employee to be hired under a service contract
• Per diems are considered as eligible costs provided they do not
exceed those normally borne by the Beneficiary(ies) according to its
rules and regulations, nor the rates published by the European
Commission at the time of a mission.
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BUDGET: 2 Travel
• Travel costs for staff and other persons taking part in the
Action;
• Indicate the place of departure and the destination. If
information is not available, enter a global amount;
• Clarify modalities for local transport (i.e. car, bus, train).
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BUDGET: 3 Equipment and supplies
• Only if deemed necessary specifically for the purposes of the Action;
• Unless otherwise clearly specified in the Description of the Action all
equipment, vehicles and supplies must be transferred to the final
beneficiaries of the Action, at the latest when submitting the final
report. If there are no final beneficiaries to whom this may be
transferred, then to:
–
–
–
–
–
local authorities
local Beneficiary(ies)
local affiliated entiy(ies)
another action funded by the European Union
or, exceptionally, retain ownership of these items
• Copies of the proofs of transfers of equipment and vehicles, for
which the purchase cost was more than EUR 5,000 per item, must
be attached to the final report. Such proofs must be kept for control in
all other cases.
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BUDGET: 4 Local office
• No need to set-up a specific office for a project, unless duly justified;
• Costs for using Beneficiary(s) office(s) are normally considered to be
included in the Indirect costs (Heading 8, please note the change);
• However, in cases where administrative and running costs can be
accurately identified and accounted for in the budget as direct
eligible costs and backed up with documents that prove that those
costs are related to the proposed action only, the Applicant may
choose to budget such costs as eligible direct costs instead of
including them under the Indirect costs.
Note that provisions/estimates/pro-rata approaches do not
represent real costs and can therefore not be accepted as
direct costs actually incurred
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BUDGET: 5 Other costs, services
Procurement of services must follow the rules set in Annex IV to the contract
(contract award procedures).
Here should be budgeted only costs which are fully subcontracted
•
•
•
•
•
•
•
•
Publications;
Studies, research;
Expenditure verification/Audit;
Evaluation costs;
Translation, interpretation;
Financial services (e.g. bank transfer costs);
Costs of conferences/seminars; this should not include travelling and
subsistence allowances for participants (these must be budgeted under
relevant budget headings);
Visibility actions (Communication and visibility activities should be properly
planned and budgeted at each stage of the project implementation).
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BUDGET: 6 Other
• Please give details on these "other" costs
• If the costs budgeted under budget
heading (BH) 6 are related to the other
BHs in the budget, then these costs
should be presented under the relevant
BHs
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BUDGET: 8 Indirect Costs
• May not be identified as specific costs directly linked to
the Action and therefore →
• may not be booked directly to the Action, however →
• they are Incurred by the Beneficiary(ies) in connection
with the eligible direct costs.
• Indirect costs are eligible provided that they do not
include costs assigned to another heading of the Budget;
• Maximum 7% of total direct eligible costs;
• The applicant may be asked to justify the requested
percentage before contracting.
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BUDGET: 10 Contingency Reserve
• A reserve for contingencies and/or
possible fluctuations in exchange rates;
• Maximum 5% of direct eligible costs;
• For necessary adjustments due to
unforeseeable changes on the ground;
• Requires duly justified request;
• Prior written authorisation has to be
obtained.
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CONTRIBUTIONS IN KIND
• Provision of goods or services to the Beneficiary(ies) or
Affiliated entities free of charge by a third party;
• May not be treated as co-financing;
• Do not represent actual expenditure;
• Not eligible costs;
• If the Description of the Action as proposed includes
contributions in kind, the contributions have to be made.
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NON-ELIGIBLE COSTS
• Debts and debt service charges (interest);
• Provisions for losses or potential future liabilities;
• Costs declared by the Beneficiary(ies) and financed by
another action or work programme receiving a Union
(including through EDF) grant;
• Purchases of land or buildings, except where necessary
for the direct implementation of the action, in which case
ownership must be transferred to the final beneficiaries
and/or local Beneficiary(ies), at the latest at the end of
the action;
• Currency exchange losses;
• Credit to third parties.
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TAXES
• Duties, taxes and charges paid and nonrecoverable (Annex J) are eligible;
• Where the beneficiary can show it cannot
reclaim, taxes should be included in each
relevant heading of the budget. Taxes that
can be reclaimed are not considered as
eligible costs.
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•
•
•
•
•
•
Most common budgeting
mistakes
Salaries exceeding those normally born by the
beneficiaries;
Unreasonable/overestimated costs in the context of
market prices and real needs of the Action;
Clarification of the budget items and justification for the
number of units and unit values provided in the 2nd sheet
of the budget is insufficient;
Indirect costs budgeted as direct and later no supporting
documents can be provided to proof exact amounts
directly related to the Action (e.g. office related costs);
Instructions concerning presentation of taxes are not
followed;
Instructions for simplified costs options (Annex K) are not
followed.
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ELIGIBILITY VERIFICATION
• Performed only for the provisionally selected
Applications;
• Any rejected Application will be replaced by the
next best placed Application in the reserve list
that falls within the available financial envelope;
• Supporting documents have to be provided
through PADOR (or submitted in form of
originals or copies) (English language);
• Legal entity file (LEF) and Financial identification
form (FIF) always in original.
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CONTRACTING AUTHORITY’S
DECISION
The Applicants will be informed in writing
of the Contracting Authority’s decision
concerning their Application.
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THANK YOU!
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