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Civil Society Organizations as Actors of Governance and Development
Deadline: Nov 14, 2018  
CALL EXPIRED

 Social Innovation
 Sustainable Development
 Humanitarian Aid
 Citizenship
 Gender Equality
 Youth Workers
 Climate Sciences
 Policy Evaluation and Governance
 Violence

1. Civil Society Organizations as Actors of Governance and Development

  1. 1.1. Background

The Thematic Programme "Civil Society Organizations and Local Authorities 2014 – 2020" has its legal basis in Regulation (EU) No. 233/2014 of the European Parliament and of the Council of 11 March 2014 establishing a financing instrument for development cooperation (DCI).  The objective of this programme is to strengthen civil society organizations and local authorities in EU partner countries.  This objective is reinforced by the evolving international context of the 2030 Agenda and the new EU Consensus on Development which value the participation of CSOs in development, promotes civil society space and recognizes the need for supporting the building of CSOs capacity.  The programme also takes into account the EU Gender Action Plan 2016-2020.

The EU considers Civil Society Organizations (CSOs) to include non-state, non-profit making actors (NSA) operating on an independent and accountable basis (a full definition of the term CSO/NSA can be found at footnote 6 on Page 8). 

In line with the Cotonou Agreement, the strategic objective of the EU's development cooperation with Jamaica includes supporting inclusive and sustainable growth while promoting human rights, democracy and the rule of law.  The EU considers the role of CSOs and LAs to be a pivotal one in the country's pursuit of development, thus in consultation with Member States and CSOs an EU country roadmap was developed in order to improve the impact, predictability and coherence of EU support both in policy dialogue and operational support.  The programme was first provided to Jamaican CSOs in 2016, with this allocation being the second provision.  Budgetary allocation for Belize will be provided in 2019 for the first time.

 

1.2. Objectives of the programme and priority issues 

Civil society is an essential element of any democratic system. They contribute to the creation of more legitimate and accountable States, leading to better social cohesion and stronger, more open democracies.  Despite the increasing recognition of CSOs as partners in development, they still face significant constraints, hampering their capacity to effectively contribute to governance, development and ultimately poverty reduction.  

The EU recognizes that CSOs meaningful and structured participation in domestic policies which contribute to development first depends on the environment in which they operate - conducive legal and policy environment and /or institutional and capacity building.  In some circumstances CSOs may lack the capacity to significantly influence/negotiate policies and budgets or to define their own development plans in ways that respond to the local communities' demands.  To this end the EU Roadmaps for engagement with CSOs in Jamaica and Belize were agreed in 2014 and updated annually following extensive consultation with local CSOs and EU Member States.  The Roadmaps outlined priorities which have informed this call for proposals.  

The global objective of this call for proposals is: To enable Civil Society Organizations to engage as actors of governance and development at country level.

The specific objective(s) of this call for proposals are:

i. To enhance efforts to promote a conducive environment for CSOs at country level

The absence of an enabling environment often affects CSOs ability to address and respond to development challenges.  CSOs need a set of guarantees (conducive environment) that ensures rights and opportunities to operate, act and perform.  A conducive environment entails a legal and policy environment and or institutional and capacity development to enhance CSOs effectiveness.   

The component is linked to building CSO capacity and will support CSO actions to enhance social development by improving population's access to (and benefit from) social services.  In this regard support for CSOs actions towards enhancing and promoting access to social services and inclusiveness for the most vulnerable groups in line with the resilience agenda, will be looked at.

All initiatives carried forward by CSOs should take place in an institution-building logic especially where public institutions are weak or under-resourced.  Actions to be considered must include community mobilization and capacity development to enable the targeted population to acquire increased understanding and ability to influence the underlying causes and continue accessing services beyond the life of the action.

ii. To promote a meaningful and structures participation of CSOs in matters of governance and domestic policies 

Inclusive and participatory policy making is often a delicate exercise which is new to many developing countries.  It requires political will and leadership, adequately structured mechanisms, space for interaction and operating rules both on the side of the public authorities and citizens.

This component will seek to reinforce the voice and actions of CSOs as monitors, advocates and partners in national and local policy dialogue and as providers of information and expertise to foster transparency, public knowledge and participation.  This is intended to support CSOs to hold public authorities to account at all administrative levels (both local and national), with a view to ultimately empowering citizens especially the most vulnerable groups such as women and children, young men, persons with disabilities, the poor and persons from minority groups including LGBTI persons and indigenous populations.

iii. To increase CSOs capacity to perform their roles as independent development actors more effectively

CSOs are often unable to significantly influence policies and budgets as well as define their own development plans in ways that respond to local communities' needs.  Information is not always available and when it is local CSOs sometimes lack the capacity to analyse, provide evidence based input and to negotiate for their constituents.  Some CSOs face challenges as it relates to their own governance and accountability, which can substantially hamper their credibility and effectiveness.

This component aims at improving the livelihoods of populations in need, particularly the most vulnerable and any other disadvantaged groups, through enhanced CSO capacity to deliver initiatives aimed at:

- stimulating policy innovation and improving responsiveness of policies to populations' needs in relevant sectors

-  improving capacities to participate in multi-actor partnerships with the private sector and public authorities.

 

The priority(ies) of this call for proposals is/are: 

Gender equality

Despite progress, women’s rights remain unfulfilled and are not respected throughout the world. Gender inequalities are a major barrier for human development. All too often, women and girls are discriminated against in health, education, political representation and the labour market, and suffer brutal forms of violence. This limits their freedom of choice and their ability to achieve their full potential and contribute to their societies and local communities.

CSOs play a critical role in reinforcing women’s roles as actors of change. Women’s organisations and CSOs working on gender equality issues face specific challenges and barriers to their operation. It is essential that efforts are made to ensure they have opportunities to participate in policymaking and mainstream gender across policies in partner countries. The CSO programme in partner countries will contribute to the EU's commitment of having 85% of the projects including a gender component or approach.

Climate Change

The EU has a long-term commitment to international efforts to tackle climate change and supporting partners in implementing their Nationally Determined Contribution under the Paris Agreement. Environment and climate policies and strategies are areas where CSOs are major players in EU international cooperation as advocates of ambitious measures, providers of expertise and support to local action, contributors to dialogue mechanisms and monitors of progress on the ground. The CSO programme will contribute to the EU's commitment to dedicate at least 20% of the total expenditure to climate change mitigation and adaptation actions.

Youth

Creating sufficient good quality jobs for young people remains a key challenge. CSOs promote young people’s rights, facilitate their engagement in social, civic, political and economic life, and ensure their contribution to inclusive growth and sustainable development.  Young people should also participate in democratic processes and assume leadership roles.

ALL proposed actions should include an element of capacity development for CSOs.

 

1.3. Financial allocation provided by the contracting authority

The overall indicative amount made available under this call for proposals is EUR 1,603,900. The contracting authority reserves the right not to award all available funds.

Indicative allocation of funds by lot:

Lot 1: Actions to be implemented in Jamaica – EUR 1,415,000

Lot 2: Actions to be implemented in Belize – EUR 188,900 (Budget to be approved in 2019)

If the allocation indicated for a specific lot cannot be used due to insufficient quality or number of proposals received, the contracting authority reserves the right to reallocate the remaining funds to another lot.

 

Size of grants

Any grant requested under this call for proposals must fall between the following minimum and maximum amounts:

Lot 1:  Actions to be implemented in Jamaica

    1. • minimum amount: EUR 300,000
    2. • maximum amount: EUR 500,000

Lot 2: Actions to be implemented in Belize

    1. • minimum amount: EUR 88,900
    2. • maximum amount: EUR 188,900

Any grant requested under this call for proposals must fall between the following minimum and maximum percentages of total eligible costs of the action:

    • • Minimum percentage: 70% of the total eligible costs of the action.
    • • Maximum percentage: 90 % of the total eligible costs of the action (see also Section 2.1.5). 
    • • Any grant requested under this call for proposals which includes in the proposed budget in-kind contributions (including volunteer’s work) must further be limited to 95% of the estimated total accepted costs. In case during the implementation of the action progress and final reports show that the total accepted costs are equal to the total eligible costs, the percentage applicable to the total accepted costs applies to the total eligible costs to ensure the required co-financing.

Wherever in the call for proposals a reference to the percentage of eligible costs is made, the further limitation to the percentage applicable to the total accepted costs will apply. As a reminder, before sending your application please check that the requested contribution is equal to or less than the maximum percentage of the estimated total accepted costs allowed.

The balance (i.e. the difference between the total cost of the action and the amount requested from the contracting authority) must be financed from sources other than the general budget of the Union or the European Development Fund.

 

2. Rules FOR thIS call for proposalS

These guidelines set out the rules for the submission, selection and implementation of the actions financed under this call, in conformity with the practical guide, which is applicable to the present call (available on the internet at this address http://ec.europa.eu/europeaid/prag/document.do?locale=en).

2.1. Eligibility criteria

There are three sets of eligibility criteria, relating to:

    1. (1) the actors:
    • • The ‘lead applicant’, i.e. the entity submitting the application form (2.1.1),
    • • if any, its co-applicant(s) (where it is not specified otherwise the lead applicant and its co-applicant(s) are hereinafter jointly referred as ‘applicant(s)’) (2.1.1), 
    • • and, if any, affiliated entity(ies) to the lead applicant and/or to a co-applicant(s). (2.1.2);

 

  1. (2) the actions:

Actions for which a grant may be awarded (2.1.4);

  1. (3) the costs:
    • • types of cost that may be taken into account in setting the amount of the grant (2.1.5).

2.1.1. Eligibility of applicants (i.e. lead applicant and co-applicant(s))

Lead applicant

(1) In order to be eligible for a grant, the lead applicant must:

      • • be a legal person and 
      • • be non-profit-making and
      • • be a specific type of organisation such as: a non-state actor/ civil society organization or non-governmental organisation, 
      • • be established in Jamaica (Lot 1) of Belize (Lot 2)
      • • 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 
      • • be able to demonstrate the completion, within the last 5 years, of at least 1 project of a similar size and in a related field to the action being requested in the grant.  

 

(2) Potential applicants may not participate in calls for proposals or be awarded grants if they are in any of the situations listed in Section 2.6.10.1 of the practical guide;

 

Lead applicants, co-applicants, affiliated entities and, in case of legal entities, persons who have powers of representation, decision-making or control over the lead applicant, the co-applicants and the affiliated entities are informed that, should they be in one of the situations of early detection or exclusion according to Section 2.6.10.1 of the practical guide, personal details (name, given name if natural person, address, legal form and name and given name of the persons with powers of representation, decision-making or control, if legal person) may be registered in the early detection and exclusion system, and communicated to the persons and entities concerned in relation to the award or the execution of a grant contract. 

 

 

In Part A, Section 3 and Part B Section 8 of the grant application form (‘declaration(s) by the lead applicant’), the lead applicant must declare that the lead applicant himself, the co-applicant(s) and affiliated entity(ies) are not in any of these situations.

The lead applicant may act individually or with co-applicant(s).

If awarded the grant contract, the lead applicant will become the beneficiary identified as the coordinator in Annex E3h1 (special conditions). The coordinator is the main interlocutor of the contracting authority. It represents and acts on behalf of any other co-beneficiary (if any) and coordinate the design and implementation of the action.

Co-applicant(s)

Co-applicants participate in designing and implementing the action, and the costs they incur are eligible in the same way as those incurred by the lead applicant. 

Co-applicants must satisfy the eligibility criteria as applicable to the lead applicant himself.

Co-applicants must sign the mandate in Part B Section 4 of the grant application form.

(3)  Applicants included in the lists of EU restrictive measures (see Section 2.4. of the PRAG) at the
        moment of the award decision cannot be awarded the contract.

If awarded the grant contract, the co-applicant(s) (if any) will become beneficiary(ies) in the action (together with the coordinator) 

2.1.2. Affiliated entities

 

The lead applicant and its co-applicant(s) may act with affiliated entity(ies).

Only the following entities may be considered as affiliated entities to the lead applicant and/or to co-applicant(s):

Only entities having a structural link with the applicants (i.e. the lead applicant or a co-applicant), in particular a legal or capital link.

This structural link encompasses mainly two notions:

(i) Control, as defined in Directive 2013/34/EU on the annual financial statements, consolidated financial statements and related reports of certain types of undertakings:

Entities affiliated to an applicant may hence be:

  • - Entities directly or indirectly controlled by the applicant (daughter companies or first-tier subsidiaries). They may also be entities controlled by an entity controlled by the applicant (granddaughter companies or second-tier subsidiaries) and the same applies to further tiers of control;
  • - Entities directly or indirectly controlling the applicant (parent companies). Likewise, they may be entities controlling an entity controlling the applicant;
  • - Entities under the same direct or indirect control as the applicant (sister companies).

(ii) Membership, i.e. the applicant is legally defined as a e.g. network, federation, association in which the proposed affiliated entities also participate or the applicant participates in the same entity (e.g. network, federation, association) as the proposed affiliated entities.

 

The structural link shall as a general rule be neither limited to the action nor established for the sole purpose of its implementation. This means that the link would exist independently of the award of the grant; it should exist before the call for proposals and remain valid after the end of the action.

 

By way of exception, an entity may be considered as affiliated to an applicant even if it has a structural link specifically established for the sole purpose of the implementation of the action in the case of so-called ‘sole applicants’ or ‘sole beneficiaries’.  A sole applicant or a sole beneficiary is a legal entity formed by several entities (a group of entities) which together comply with the criteria for being awarded the grant. For example, an association is formed by its members.

  1. What is not an affiliated entity? 

The following are not considered entities affiliated to an applicant:

    • - Entities that have entered into a (procurement) contract or subcontract with an applicant, act as concessionaires or delegatees for public services for an applicant,
    • - Entities that receive financial support from the applicant,
    • - Entities that cooperate on a regular basis with an applicant on the basis of a memorandum of understanding or share some assets,
    • - Entities that have signed a consortium agreement under the grant contract (unless this consortium agreement leads to the creation of a ‘sole applicant’ as described above).

 

How to verify the existence of the required link with an applicant?

 

The affiliation resulting from control may in particular be proved on the basis of the consolidated accounts of the group of entities the applicant and its proposed affiliates belong to.

 

The affiliation resulting from membership may in particular be proved on the basis of the statutes or equivalent act establishing the entity (network, federation, association) which the applicant constitutes or in which the applicant participates.

If the applicants are awarded a grant contract, their affiliated entity(ies) will not become beneficiary(ies) of the action and signatory(ies) of the grant contract. However, they will participate in the design and  in the implementation of the action and the costs they incur (including those incurred for implementation contracts and financial support to third parties) may be accepted as eligible costs, provided they comply with all the relevant rules already applicable to the beneficiary(ies) under the grant contract.

Affiliated entity(ies) must satisfy the same eligibility criteria as the lead applicant and the co-applicant(s).  They must sign the affiliated entity(ies) statement in Part B Section 5 of the grant application form.

2.1.3. Associates and contractors

The following entities are not applicants nor affiliated entities and do not have to sign the ‘mandate for co-applicant(s)’ or ‘affiliated entities' statement’:

  • • Associates

Other organisations or individuals may be involved in the action. Such associates play a real role in the action but may not receive funding from the grant, with the exception of per diem or travel costs. Associates do not have to meet the eligibility criteria referred to in Section 2.1.1. Associates must be mentioned in Part B Section 6 — ‘Associates participating in the action’ — of the grant application form. 

  • • Contractors

The beneficiaries and their affiliated entities are permitted to award contracts. Associates or affiliated entity(ies) cannot be also contractors in the project. Contractors are subject to the procurement rules set out in Annex IV to the standard grant contract.

​​​​​​​2.1.4. Eligible actions: actions for which an application may be made

Definition: 

An action is composed of a set of activities.

Duration

The initial planned duration of an action may not be lower than 24 months nor exceed 36 months.

Sectors or themes

Actions must fall under at least one of the priorities listed at 1.2 above.

Location

Actions must take place in: Lot 1- Jamaica

Lot 2 - Belize

Types of action

Actions must relate to one or more of the specific objectives and priorities of this Call for Proposals

The following types of action are ineligible:

      • • actions concerned only or mainly with individual sponsorships for participation in workshops, seminars, conferences and congresses;
      • • actions concerned only or mainly with individual scholarships for studies or training courses;
      • • one-off conferences: conferences can only be funded if they form part of a wider range of activities to be implemented in the life-time of the action. For these purposes, preparatory activities for a conference and the publication of the proceedings of the conference do not, in themselves, constitute such "wider activities";
      • • actions which consist exclusively or primarily in capital expenditure, e.g. land, buildings, equipment and vehicles, except in special circumstances;
      • • support to political parties;
      • • actions involving proselytism

Types of activity

Activities which may be financed under this call shall pursue objectives and priorities listed in section 1.2.  

Additional Elements:

      • • Applicants are encouraged to pay keen attention to the requirements of Section 1.4 of the Evaluation Grid relating to 'added-value elements'.  Proposals that promote cross cutting issues such as gender equality and equal opportunities, needs of disabled persons (including the mentally ill), rights of minorities/ vulnerable groups (e.g. youth), environment and climate change, etc., may receive a higher score in this section.
      • • All results to be provided must be disaggregated by sex and age. 

Financial support to third parties 

Applicants shall propose financial support to third parties in order to help achieving the objectives of the action. 

The maximum amount of financial support per third party is EUR ≤ 60 000 (Jamaica) and EUR ≤ 30 000 (Belize) 

Under this call, financial support to third parties is considered essential to achieve the objective of the action.

In compliance with the present guidelines and notably of any conditions or restrictions in this Section, the lead applicant should define mandatorily in Section 2.1.1 of the grant application form: 

      1. (i) the overall objectives, the specific objective(s) and the outputs (i.e. the results) to be achieved with the financial support 
      2. (ii) the different types of activities eligible for financial support, on the basis of a fixed list 
      3. (iii) the types of persons or categories of persons which may receive financial support  

(iv) the criteria for selecting these entities and giving the financial support  

      1. (v) the criteria for determining the exact amount of financial support for each third entity, and 
      2. (vi) the maximum amount which may be given.

In all events, the mandatory conditions set above for giving financial support (points (i) to (vi)) have to be strictly defined in the grant contract as to avoid any exercise of discretion.]

Additional requirements for the provision of financial support to third parties:

The financial support is to be given to Jamaican or Belizean civil society actors such as community based organizations or other non-profit, legal entities operating at the community level. 

The Action shall foresee specific practical activities related to Types of Activity listed at 2.1.4

 

Visibility

The applicants must take all necessary steps to publicise the fact that the European Union has financed or co-financed the action. As far as possible, actions that are wholly or partially funded by the European Union must incorporate information and communication activities designed to raise the awareness of specific or general audiences of the reasons for the action and the EU support for the action in the country or region concerned, as well as the results and the impact of this support.

Applicants must comply with the objectives and priorities and guarantee the visibility of the EU financing (see the Communication and Visibility Manual for EU external actions specified and published by the European Commission at http://ec.europa.eu/europeaid/funding/communication-and-visibility-manual-eu-external-actions_en).

 

Number of applications and grants per applicants / affiliated entities

The lead applicant may not submit more than 1application under this call for proposals.

The lead applicant may not be awarded more than 1 grant under this call for proposals.

The lead applicant may not be a co-applicant or an affiliated entity in another application at the same time.

A co-applicant/affiliated entity may not be the co-applicant or affiliated entity in more than 1 application under this call for proposals.

A co-applicant/affiliated entity may not be awarded more than 1 grant under this call for proposals.

    1.  

2.1.5. Eligibility of costs: costs that can be included 

Only ‘eligible costs’ can be covered by a grant. The categories of costs that are eligible and non-eligible are indicated below. The budget is both a cost estimate and an overall ceiling for ‘eligible costs’. 

The reimbursement of eligible costs may be based on any or a combination of the following forms:

      • − financing not linked to costs of the relevant operations based on: .

 (i) either the fulfilment of conditions set out in sector specific legislation or Commission Decisions;  or

(ii) the achievement of results measured by reference to the previously set milestones or through performance indicators;

      • − actual costs incurred by the beneficiary(ies) and affiliated entity(ies);
      • − one or more simplified cost options.

Simplified cost options may take the form of:

      • unit costs: covering all or certain specific categories of eligible costs which are clearly identified in advance by reference to an amount per unit.
      • lump sums: covering in global terms all or certain specific categories of eligible costs which are clearly identified in advance.
      • flat-rate financing: covering specific categories of eligible costs which are clearly identified in advance by applying a percentage fixed ex ante.

 

Simplified costs options (SCOs) are divided in two categories:

1/ "output or result based SCOs": this category includes costs linked to outputs, results, activities, deliverables in the framework of a specific project (for example the determination of a lump sum for the organization of a conference, or for the realisation of a determined output/activity). Where possible and appropriate, lump sums, unit costs or flat rates shall be determined in such a way to allow their payment upon achievement of concrete outputs and/or results. This type of SCO can be proposed by the Beneficiary (no threshold is applicable) at proposal's stage. In case the evaluation committee and the contracting authority are not satisfied with the quality of the justification provided reimbursement on the basis of actually incurred costs is always possible.

2/ "other/recurrent SCOs". This second category entails simplified cost options embedded in the accounting practices of the beneficiary, for which an ex-ante assessment is deemed necessary, considering the need of a consistent application of the conditions required. Examples are: an additional percentage on actual salaries to cover remuneration-related costs or the use of an allocation method to apportion costs of a project office foreseen in the Description of the Action. In order the use of systemic/recurrent SCOs, the beneficiary's accounting practices need to have been positively assessed by an audit firm based on standard ToRs provided by the Commission. To obtain reimbursement of this category of SCOs, the beneficiary shall make reference to the previously obtained ex-ante assessment in the budget justification sheet (annex e3c).

The amounts or rates have to be based on estimates using objective data such as statistical data or any other objective means or with reference to certified or auditable historical data of the applicants or the affiliated entity(ies). Determining SCO is possible also through ‘expert judgement’ provided by internally available experts or procured in accordance with the applicable rules. Experts must be either commissioned auditors or chartered accountants, or staff of the Commission but cannot be staff of the beneficiary. The methods used to determine the amounts or rates of unit costs, lump sums or flat-rates must comply with the criteria established in Annex K, and especially ensure that the costs correspond fairly to the actual costs incurred by the beneficiary(ies) and affiliated entity(ies), are in line with their accounting practices, no profit is made and the costs are not already covered by other sources of funding (no double funding). Refer to Annex K for the details of the procedure to be followed depending on the type and amount of the costs to be declared as SCO.

Applicants proposing this form of reimbursement, must clearly indicate in worksheet no.1 of Annex B, each heading/item  of eligible costs concerned by this type of financing, i.e. add the reference in capital letters to ‘UNIT COST’ (per month/flight etc.), ‘LUMPSUM’, ‘FLAT RATE’ in the Unit column (see example in Annex K). 

Additionally in Annex B, in the second column of worksheet no.2, ‘Justification of the estimated costs’ per each of the corresponding budget item or heading applicants must:

      • − describe the information and methods used to establish the amounts of unit costs, lump sums and/or flat-rates, to which costs they refer, etc for output or result based SCO.
      • − clearly explain the formulas for calculation of the final eligible amount for output or result based SCO
      • − make reference to the previously obtained ex-ante assessment for other/recurrent SCOs.

In case of output or result based SCOs the evaluation committee and the contracting authority decide whether to accept the proposed amounts or rates on the basis of the provisional budget submitted by the applicants, by analysing factual data of grants carried out by the applicants or of similar actions. In case the evaluation committee and the contracting authority are not satisfied with the quality of the justification provided reimbursement on the basis of actually incurred costs is always possible.

No threshold is set ex-ante for the total amount of financing that can be authorised by the contracting authority on the basis of simplified cost options. Other/recurrent SCOs can be declared only if previously successfully ex-ante assessed.

Recommendations to award a grant are always subject to the condition that the checks preceding the signing of the grant contract do not reveal problems requiring changes to the budget (such as arithmetical errors, inaccuracies, unrealistic costs and ineligible costs). The checks may give rise to requests for clarification and may lead the contracting authority to impose modifications or reductions to address such mistakes or inaccuracies. It is not possible to increase the grant or the percentage of EU co-financing as a result of these corrections.

It is therefore in the applicants' interest to provide a realistic and cost-effective budget.

 

The grant may take the form of a single lump-sum covering the entire eligible costs of an action or a work programme.

Single lump sums may be determined on the basis of the estimated budget, which should comply with the principles of economy, efficiency and effectiveness. Compliance with these principles shall be verified ex ante at the time of evaluation of the grant application.

When authorising single lump sums the authorising officer responsible shall comply with the conditions applicable to output or result based SCOs. 

When using this form of financing, the description of the action shall include detailed information on the essential conditions triggering the payment, including, where applicable, the achievement of outputs and/or results. 

 

 

The responsible authorising officer may consider that the usual cost accounting practices of the beneficiary are compliant with the conditions applicable to simplified cost options, if they are accepted by national authorities under comparable funding schemes. In this case the grant beneficiary shall demonstrate that the national authority accepted the cost accounting practices and will have to specify in which context this acceptance is given.

The evaluation committee and the contracting authority will assess if the funding scheme is comparable and in case of positive outcome will consider these practices as if they were ex-ante assessed by an external auditor.

 

Eligible direct costs

To be eligible under this call for proposals, costs must comply with the provisions of Article 14 of the general conditions to the standard grant contract (see Annex G of the guidelines).

Contingency reserve

The budget may include a contingency reserve not exceeding 5 % of the estimated direct eligible costs. It can only be used with the prior written authorisation of the contracting authority.

Eligible indirect costs

The indirect costs incurred in carrying out the action may be eligible for flat-rate funding, but the total must not exceed 7 % of the estimated total eligible direct costs. Indirect costs are eligible provided that they do not include costs assigned to another budget heading in the standard grant contract. The lead applicant may be asked to justify the percentage requested before the grant contract is signed. However, once the flat rate has been fixed in the special conditions of the grant contract, no supporting documents need to be provided.

If any of the applicants or affiliated entity(ies) is in receipt of an operating grant financed by the EU, it may not claim indirect costs on its incurred costs within the proposed budget for the action.

Contributions in kind

Contributions in kind mean the provision of goods or services to beneficiaries or affiliated entities free of charge by a third party. As contributions in kind do not involve any expenditure for beneficiaries or affiliated entities, they are normally not eligible costs. 

As an exception, contributions in kind may include personnel costs for the work carried out by volunteers under an action or work programme (which are eligible costs).

Contributions in kind from third parties in the form of volunteers' work, valued on the basis of unit costs defined and authorised by the contracting authority, shall be presented in the estimated budget, separately from the other eligible costs (i.e. as an accepted costs together with other contributions in kind). 

Volunteers' work may comprise up to 50 % of the co-financing. For the purposes of calculating this percentage, contributions in kind and other co-financing shall be based on estimates provided by the applicant.

When the estimated costs include volunteers' work, the grant shall not exceed the estimated eligible costs other than the costs for volunteers' work.

The contracting authority may accept co-financing in kind, if considered necessary or appropriate. In such cases, the value of such contributions must not exceed:

      1. a) either the costs actually borne and duly supported by accounting documents;
      2. b) or the costs generally accepted on the concerned market of reference,
      3. c) or, for volunteers' work, the unit cost defined in the budget and accepted by the contracting authority for a maximum of 50% of the co-financing..

Contributions involving real estate must be excluded from the calculation of the amount of co-financing. In kind contributions must comply with national tax and social security rules.

If co-financing in kind is proposed, it must be included in Annex B (Worksheet 3) to the guidelines for applicants on the expected sources of funding for the action. The same amount must be indicated in the budget (worksheet 1).

Ineligible costs

The following costs are not eligible:

      • − 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 European 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 in accordance with Article 7.5 of the general conditions of the standard grant contract, at the latest at the end of the action;
      • − currency exchange losses;
      • − credit to third parties.
      • − salary costs of the personnel of national administrations

 

Ethics clauses and Code of Conduct

a) Absence of conflict of interest

The applicant must not be affected by any conflict of interest and must have no equivalent relation in that respect with other applicants or parties involved in the actions. Any attempt by an applicant to obtain confidential information, enter into unlawful agreements with competitors or influence the evaluation committee or the contracting authority during the process of examining, clarifying, evaluating and comparing applications will lead to the rejection of its application and may result in administrative penalties according to the Financial Regulation in force. 

b) Respect for human rights as well as environmental legislation and core labour standards 

The applicant and its staff must comply with human rights. In particular and in accordance with the applicable act, applicants who have been awarded contracts must comply with the environmental legislation including multilateral environmental agreements, and with the core labour standards as applicable and as defined in the relevant International Labour Organisation conventions (such as the conventions on freedom of association and collective bargaining; elimination of forced and compulsory labour; abolition of child labour).

Zero tolerance for sexual exploitation and sexual abuse:

The European Commission applies a policy of 'zero tolerance' in relation to all wrongful conduct which has an impact on the professional credibility of the applicant.  

Physical abuse or punishment, or threats of physical abuse, sexual abuse or exploitation, harassment and verbal abuse, as well as other forms of intimidation shall be prohibited. 

 

c) Anti-corruption and anti-bribery 

The applicant shall comply with all applicable laws and regulations and codes relating to anti-bribery and anti-corruption. The European Commission reserves the right to suspend or cancel project financing if corrupt practices of any kind are discovered at any stage of the award process or during the execution of a contract and if the contracting authority fails to take all appropriate measures to remedy the situation. For the purposes of this provision, ‘corrupt practices’ are the offer of a bribe, gift, gratuity or commission to any person as an inducement or reward for performing or refraining from any act relating to the award of a contract or execution of a contract already concluded with the contracting authority.

      d)  Unusual commercial expenses 

Applications will be rejected or contracts terminated if it emerges that the award or execution of a contract has given rise to unusual commercial expenses. Such unusual commercial expenses are commissions not mentioned in the main contract or not stemming from a properly concluded contract referring to the main contract, commissions not paid in return for any actual and legitimate service, commissions remitted to a tax haven, commissions paid to a payee who is not clearly identified or commissions paid to a company which has every appearance of being a front company.

Grant beneficiaries found to have paid unusual commercial expenses on projects funded by the European Union are liable, depending on the seriousness of the facts observed, to have their contracts terminated or to be permanently excluded from receiving EU/EDF funds.

 

e) Error, irregularities or fraud

The contracting authority reserves the right to suspend or cancel the procedure, where the award procedure proves to have been subject to substantial errors, irregularities or fraud. If substantial errors, irregularities or fraud are discovered after the award of the contract, the contracting authority may refrain from concluding the contract.

 

2.2. How to apply and the procedures to follow

To apply for this call for proposals the lead applicants need to:

    1. I. Provide information about the organisations involved in the action. Please note that the registration of this data in PADOR is obligatory for this call for proposals:

Concept note step: Registration is obligatory for lead applicants applying for EU contributions of more than EUR 60 000.

Full application step: Registration is obligatory for co-applicant(s) and affiliated entity(ies). Lead applicants must make sure that their PADOR profile is up to date. 

    1. II. Provide information about the action in the documents listed under sections 2.2.2 (concept note) and 2.2.5 (full application). Please note that online submission via PROSPECT is obligatory for this call,

PADOR is an on-line database in which organisations register and update information concerning their entity. Organisations registered in PADOR get a unique ID (EuropeAid ID) which they must mention in their application. PADOR is accessible via the website: http://ec.europa.eu/europeaid/pador_en 

It is strongly recommended to register in PADOR well in advance and not to wait until the last minute before the  deadline to submit your application in PROSPECT. 

If it is impossible to register online in PADOR for technical reasons, the applicants and/or affiliated entity(ies) must complete the ‘PADOR off-line form attached to these guidelines. This form must be sent together with the application, by the submission deadline (see sections 2.2.2 and 2.2.5). 

Before starting using PADOR and PROSPECT, please read the user guides available on the website. All technical questions related the use of these systems should be addressed to the IT helpdesk at EuropeAid-IT-support@ec.europa.eu via the online support form in PROSPECT.

    1.  

2.2.1. Concept note content  

Applications must be submitted in accordance with the concept note instructions in the grant application form annexed to these guidelines (Annex A). 

Applicants must apply in English.

Please note that:

1. In the concept note, lead applicants must only provide an estimate of the requested EU contribution as well as an indicative percentage of that contribution in relation to the eligible costs of the action. A detailed budget is to be submitted only by the lead applicants invited to submit a full application in the second phase. 

2. The elements outlined in the concept note may not be modified in the full application. The EU contribution may not vary from the initial estimate by more than 20 %. Lead applicants are free to adapt the percentage of co-financing required within the minimum and maximum amount and percentages of co-financing, as laid down in these guidelines in Section 1.3. The lead applicant may replace a co-applicant or an affiliated entity only in duly justified cases (e.g. bankruptcy of initial co-applicant or affiliated entity). In this case the new co-applicant/affiliated entity must be of a similar nature as the initial one. The lead applicant may adjust the duration of the action if unforeseen circumstances outside the scope of the applicants have taken place following the submission of the concept note and require such adaptation (risk of action not being carried out). In such cases the duration must remain within the limits imposed by the guidelines for applicants. An explanation/justification of the relevant replacement/adjustment shall be included in an accompanying letter or email. 

Own contributions by the applicants can be replaced by other donors' contributions at any time.

3. Only the concept note form will be evaluated. It is therefore of utmost importance that this document contains ALL relevant information concerning the action. No additional annexes should be sent.

Any error or major discrepancy related to the concept note instructions may lead to the rejection of the concept note.

Clarifications will only be requested when information provided is not sufficient to conduct an objective assessment. 

Hand-written concept notes will not be accepted.

2.2.2. Where and how to send concept notes

The concept note together with the declaration by the lead applicant (Annex A.1 section 2) must be submitted online via PROSPECT https://webgate.ec.europa.eu/europeaid/prospect following the instructions given in the PROSPECT user manual.

Upon submission of a concept note online, the lead applicant will receive an automatic confirmation of receipt in its PROSPECT profile. 

If it is impossible for lead applicants to submit their concept note online via PROSPECT for technical reasons, they must send their proposal in a sealed envelope and attach the concept note together with the declaration by the lead applicant (Annex A.1  section 2). In particular, the lead applicant must send, in a sealed envelope as described below the following items:

 a. One original of the concept note. The signed declaration by the lead applicant (Annex A.1 section 2) must be printed and stapled separately and enclosed in the envelope

b. Two additional copies in A4 size, each bound. 

c. An electronic version  (CD-Rom) of the items under point (a). The electronic file must contain exactly the same application as the paper version enclosed. 

The envelope must bear the reference number and the title of the call for proposals, together with [the lot number and title] the full name and address of the lead applicant, and the words ‘Not to be opened before the opening session’.

To reduce expense and waste, we strongly recommend that you do not use plastic folders or dividers. Please also use double-sided printing if possible.

Concept notes must be submitted in a sealed envelope by registered mail, private courier service or by hand-delivery (a signed and dated certificate of receipt will be given to the deliverer) to the address below. Where lead applicants send several concept notes (if allowed to do so by the guidelines of the call), each one must be sent separately:

Postal address & Address for hand delivery or by private courier service

Attention: Mr. Ricard BARDIA DIVINS

Delegation of the European Union

8 Olivier Road
P.O. Box 463
Kingston 8, Jamaica W.I.

Concept notes sent by any other means (e.g. by fax or by e-mail) or delivered to other addresses will be rejected. Hand-written concept notes will not be accepted. 

Please note that incomplete concept notes may be rejected. Lead applicants are advised to verify that their concept note is complete by using the checklist for concept note (Annex A.1, Instructions).

2.2.3. Deadline for submission of concept notes 

The applicants' attention is drawn to the fact that there are two different systems for sending concept notes: one is by post or private courier service, the other is by hand delivery.

In the first case, the concept note must be sent before the date for submission, as evidenced by the postmark or deposit slip, but in the second case it is the acknowledgment of receipt given at the time of the delivery of the concept note which will serve as proof.

The deadline for the submission of concept notes is November 14, 2018 at 23:00 (Brussels date & time) as evidenced by the date of dispatch, the postmark or the date of the deposit slip. In the case of hand-deliveries, the deadline for receipt is at November 14, 2018 at 5:00 p.m. (local time), as evidenced by the signed and dated receipt. Any concept note submitted after the deadline will be rejected.

The contracting authority may, for reasons of administrative efficiency, reject any concept note submitted on time to the postal service but received, for any reason beyond the contracting authority's control, after the effective date of approval of the concept note evaluation, if accepting concept notes that were submitted on time but arrived late would considerably delay the evaluation procedure (for instance when concept notes are received after the evaluation committee has finished its work and evaluating them would imply re-calling the evaluation committee) or jeopardise decisions already taken and notified (see indicative calendar under Section 2.5.2) 

2.2.4. Further information about concept notes

An information session on this call for proposals will be held on October 16, 2018 at 10:00 a.m. (Jamaica) and October 18, 2018 at 10:00 a.m. (Belize)

Prior registration at delegation-jamaica-csogrants@eeas.europa.eu by October 11, 2018 is mandatory for attendance.  Further information on the location of these sessions will be provided at registration.

Questions may be sent by e-mail no later than 21 days before the deadline for the submission of concept notes to the address(es) below, indicating clearly the reference of the call for proposals:

E-mail address: delegation-jamaica-csogrants@eeas.europa.eu

The contracting authority has no obligation to provide clarifications to questions received after this date.

Replies will be given no later than 11 days before the deadline for submission of concept notes. 

To ensure equal treatment of applicants, the contracting authority cannot give a prior opinion on the eligibility of lead applicants, co-applicants, affiliated entity(ies), an action or specific activities.

No individual replies will be given to questions. All questions and answers as well as other important notices to applicants during the course of the evaluation procedure will be published on the website of DG International Cooperation and Development: https://webgate.ec.europa.eu/europeaid/online-services/index.cfm?do=publi.welcome, as the need arises. It is therefore advisable to consult the abovementioned website regularly in order to be informed of the questions and answers published.

All questions related to registration in PADOR or the online submission via PROSPECT should be addressed to the IT helpdesk at EuropeAid-IT-support@ec.europa.eu via the online support form in PROSPECT: Please note that the working languages of the IT support are: English French and Spanish. Therefore users are invited to send their questions in English, French or Spanish should they wish to benefit from an optimum response time.

      1. 2.2.5. Full applications 

Lead applicants invited to submit a full application following pre-selection of their concept note must do so using Part B of the grant application form annexed to these guidelines (Annex A). Lead applicants should then keep strictly to the format of the grant application form and fill in the paragraphs and pages in order.

The elements outlined in the concept note cannot be modified by the lead applicant in the full application. The EU contribution may not vary from the initial estimate by more than 20 %, although lead applicants are free to adapt the percentage of co-financing required within the minimum and maximum amount and percentages of co-financing, as laid down in these guidelines under Section 1.3. The lead applicant may replace a co-applicant or an affiliated entity only in duly justified cases (e.g. bankruptcy of initial co-applicant or affiliated entity). In this case the new co-applicant/affiliated entity must be of a similar nature as the initial one. The lead applicant may adjust the duration of the action if unforeseen circumstances outside the scope of the applicants have taken place following the submission of the concept note and require such adaptation (risk of action not being carried out). In such cases the duration must remain within the limits imposed by the guidelines for applicants. An explanation/justification of the relevant replacement/adjustment shall be included in an accompanying letter or email.

Lead applicants must submit their full applications in the same language as their concept notes. A copy of the lead applicant’s accounts of the latest financial year (the profit and loss account and the balance sheet for the last financial year for which the accounts have been closed) must be uploaded in PADOR by the full application deadline. A copy of the latest account is neither required from (if any) the co-applicant(s) nor from (if any) affiliated entity(ies)).

Please complete the full application form carefully and as clearly as possible so that it can be assessed properly. 

Any error related to the points listed in the checklist (Part B, Section 7 of the grant application form) or any major inconsistency in the full application (e.g. if the amounts in the budget worksheets are inconsistent) may lead to the rejection of the application.

Clarifications will only be requested when information provided is unclear and thus prevents the contracting authority from conducting an objective assessment.

Hand-written applications will not be accepted.

Please note that only the full application form and the published annexes which have to be filled in (budget, logical framework) will be transmitted to the evaluators (and assessors, if used). It is therefore of utmost importance that these documents contain ALL the relevant information concerning the action. 

With the full application the lead applicant also has to submit completed organisation data forms (Annex F) for the lead applicant, each (if any) co-applicants and each (if any) affiliated entities.

No additional annexes should be sent.

2.2.6. Where and how to send full applications 

Full application forms together with the budget, the logical framework and the declaration by the lead applicant must be submitted online via PROSPECT https://webgate.ec.europa.eu/ europeaid/prospect following the instructions given in the users’ manual.

Upon submission of the full application online, the lead applicants will receive an automatic confirmation of receipt in their PROSPECT profile. 

(a) If the lead applicant submitted the concept note by post / hand delivery (see section 2.2.3) it must send the full application by the same means (by post or hand delivery). 

(b) If the lead applicant submitted the concept note online via PROSPECT but it is technically impossible for the organisation to submit the full application online:

In the above two cases the lead applicant must send by post the application, i.e the full application form, the budget, the logical framework and the declaration by the lead applicant. The lead applicant must send, in a sealed envelope as described below, the following items:

a. One original signed copy of the full application form, the budget and the logical framework. The declaration by the lead applicant (Annex A.2, section 5) must be printed and stapled separately and enclosed in the envelope

b. Two additional copies in A4 size, each bound.

c. An electronic version (CD-Rom) of the items under point (a). The electronic file must contain exactly the same application as the paper version enclosed. 

To reduce expense and waste, we strongly recommend that you use only paper for your file (no plastic folders or dividers). Please also use double-sided printing if possible

Applications must be submitted in a sealed envelope by registered mail, private courier service or by hand-delivery (a signed and dated certificate of receipt will be given to the deliverer) to the address below. Where lead applicants send several applications (if allowed to do so by the guidelines of the call), each one must be sent separately:

Postal address & Address for hand delivery or by private courier service

Attention: Mr. Ricard BARDIA DIVINS

Delegation of the European Union

8 Olivier Road
P.O. Box 463
Kingston 8, Jamaica W.I.

 

The envelope must bear the reference number and the title of the call for proposals, together with the number and title of the lot, the full name and address of the lead applicant, and the words ‘Not to be opened before the opening session’.

Applications sent by any other means (e.g. by fax or by e-mail) or delivered to other addresses will be rejected. Hand-written applications will not be accepted.

Please note that incomplete applications may be rejected. Lead applicants are advised to verify that their application is complete using the checklist (Annex A.2, Instructions).

2.2.7. Deadline for submission of full applications 

The deadline for the submission of full applications will be indicated in the letter sent to the lead applicants whose application has been pre-selected. This letter will appear online automatically in the PROSPECT profile of the lead applicant. Lead applicants who, in exceptional cases (see section 2.2.6) had to submit their application by post or hand-delivery will receive the letter by email or by post if no e-mail address was provided.

Lead applicants are strongly advised not to wait until the last day to submit their full applications, since heavy Internet traffic or a fault with the Internet connection (including electricity failure, etc.) could lead to difficulties in submission. The Contacting Authority cannot be held responsible for any delay due to such afore-mentioned difficulties. 

In the case of submission by post, (see section 2.2.6), the date of submission is evidenced by the date of dispatch, the postmark or the date of the deposit slip. In the case of hand-deliveries, the deadline for receipt is February 6, 2019 at 23:00 (Brussels date & time) as evidenced by the signed and dated receipt.

Any application submitted after the deadline will be rejected. 

However, for reasons of administrative efficiency, the Contracting Authority may also reject any full application sent in due time but received after the effective date of approval of the full application evaluation (see indicative calendar under section 2.5.2).

2.2.8. Further information about full applications 

Questions may be sent by e-mail no later than 21 days before the deadline for the submission of full applications to the addresses listed below, indicating clearly the reference of the call for proposals:

E-mail address: delegation-jamaica-csogrants@eeas.europa.eu

The contracting authority has no obligation to provide clarifications to questions received after this date.

Replies will be given no later than 11 days before the deadline for the submission of full applications. 

To ensure equal treatment of applicants, the contracting authority cannot give a prior opinion on the eligibility of lead applicants, co-applicants, affiliated entity(ies), or an action.

No individual replies will be given to questions. All questions and answers as well as other important notices to applicants during the course of the evaluation procedure, will be published on the website of DG International Cooperation and Development: https://webgate.ec.europa.eu/europeaid/online-services/index.cfm?do=publi.welcome, as the need arises. It is therefore advisable to consult the abovementioned website regularly in order to be informed of the questions and answers published.

All questions related to registration in PADOR or the online submission via PROSPECT should be addressed to the IT helpdesk at EuropeAid-IT-support@ec.europa.eu via the online support form in PROSPECT. Please note that the working languages of the IT support are: English French and Spanish. Therefore users are invited to send their questions in English, French or Spanish should they wish to benefit from an optimum response time.

 

2.3. Evaluation and selection of applications

Applications will be examined and evaluated by the contracting authority with the possible assistance of external assessors. All applications will be assessed according to the following steps and criteria.

If the examination of the application reveals that the proposed action does not meet the eligibility criteria stated in Section 2.1, the application will be rejected on this sole basis. 

 

(1) STEP 1: OPENING & ADMINISTRATIVE CHECKS AND CONCEPT NOTE EVALUATION

During the opening and administrative check the following will be assessed:

  • ♣ If the deadline has been met. Otherwise, the application will be automatically rejected.
  • • If the concept note satisfies all the criteria specified in the checklist in Section 2 of Part A of the grant application form. This includes also an assessment of the eligibility of the action. If any of the requested information is missing or is incorrect, the application may be rejected on that sole basis and the application will not be evaluated further.

The concept notes that pass this check will be evaluated on the relevance and design of the proposed action.

The concept notes will receive an overall score out of 50 using the breakdown in the evaluation grid below. The evaluation will also check on compliance with the instructions on how to complete the concept note, which can be found in Part A of the grant application form.

The evaluation criteria are divided into headings and subheadings. Each subheading will be given a score between 1 and 5 as follows: 1 = very poor; 2 = poor; 3 = adequate; 4 = good; 5 = very good.

 

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