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In Prospect 151836 - Complementary Rehabilitation and Re-socialisation Support in the Criminal Justice Sector - Georgia
Deadline: 23 Jun 2016   CALL EXPIRED

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 Justice
 Civil Law
 Public Safety

Complementary Rehabilitation and Re-socialisation Support in the Criminal Justice Sector

Background

Rule of Law and Human Rights are core values of the European Union and at the centre of the EU-Georgia association and cooperation. 

The EU has been providing large and diverse support to Georgian penitentiary and probationary stakeholders through budget support, technical assistance and grant modalities. In this respect, the EU has also financed a number of projects of civil society organizations in the criminal justice sector in the area of rehabilitation and resocialization over the past years.

The EU-Georgia cooperation has been further enhanced by signature of the Association Agreement in 2014. Under the subsequent Association Agenda, the EU and Georgia agreed to "continue to implement rehabilitation and re-socialisation policies in criminal justice; promote use of non-custodial sentences, community orders, reinforced use of probation, early release through parole, diversion and mediation". 

In this context, the EU and Georgia signed a financing agreement on Support to the Justice Sector in 2015 and agreed, inter alia, to launch a call for proposals for "complementary rehabilitation and resocialization services" with the objective "to promote restorative justice and contribute to rehabilitation and resocialization of inmates, former inmates, probationers and children in conflict with the law" and more specifically "to increase access of prisoners, former inmates, probationers and children in conflict with the law to vocational training, education and other types of rehabilitation and resocialization services as well as to design and implement secondary crime prevention programmes for children and rehabilitation/re-socialisation programmes/services for diverted juveniles". Through this financing agreement, the EU further doubled its financial allocation to grants for rehabilitation and resocialization services compared to the previous call for proposals launched in 2013.

As a result of the dialogue held with the state institutions and civil society organisations, the projects awarded under this call for proposals shall primarily focus further on vocational education and employment opportunities, and secondarily on psycho-social and medical rehabilitation, as well as secondary crime prevention programmes for children. Specific attention to vulnerable groups, regional coverage and enhancement of communities' awareness shall be inherent aspects of the projects.  

Objectives of the programme and priority issues 

The global objective of this call for proposals is to promote restorative justice and contribute to rehabilitation and resocialization of inmates, former inmates, probationers and children in conflict with the law ("target groups").

The specific objectives of this call for proposals are 

LOT 1: to enhance and expand the opportunities for vocational education and employment, 

LOT 2: to provide psycho-social and medical rehabilitation and re-socialization, and 

LOT 3: to implement secondary crime prevention programmes specifically for juveniles and children in conflict with the law.

Financial allocation provided by the contracting authority

The overall indicative amount made available under this call for proposals is EUR 4,000,000. The Contracting Authority reserves the right not to award all available funds.

Indicative allocation of funds by lots:

LOT 1:        EUR 3,200,000

LOT 2:        EUR 500,000

LOT 3:        EUR 300,000 

If the allocation indicated for a specific lot cannot be used due to an insufficient quality or number of proposals received, the Contracting Authority reserves the right to reallocate the remaining funds to other lots.

Size of grants

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

LOT 1

minimum amount: EUR 500,000

maximum amount: EUR 800,000

LOT 2

minimum amount: EUR 400,000

maximum amount: EUR 500,000

LOT 3

minimum amount: EUR 250,000

maximum amount: EUR 300,000

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: 60% 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). 

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 European Union Budget or the European Development Fund.

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 at http://ec.europa.eu/europeaid/prag/document.do?locale=en) .

Eligibility criteria

There are three sets of eligibility criteria, relating to:

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);

the actions:

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

the costs:

types of cost that may be taken into account in setting the amount of the grant (2.1.5).

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: 

national or international non-governmental organisation (including inter alia independent foundation, think tank, community-based organisation, university or research institution); or

national public sector operator (legal entity of public law); or 

local authority (such as a municipality);

and

be established in a Member State of the European Union or in Georgia; 

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 and

be established for at least one year at the time of the publication of this call, as documented by the organisation's registration documents, and

have a proven record of relevant support to justice sector reforms.

(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 2.3.3 of the Practical Guide;

In Annex A.2, section 5 (‘declaration 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 must act with co-applicant(s) as specified hereafter.

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-applicants

Each application must be submitted by the applicant and at least two co-applicants.

If the lead applicant is established in an EU member state, then at least two co-applicants must be established in Georgia; if the lead applicant is established in Georgia, then at least one co-applicant must be established in Georgia – the other co-applicant(s) may be established in Georgia and/or an EU member state respectively. 

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.

Co-applicants must sign the mandate in Annex A.2., section 4.

If awarded the grant contract, the co-applicants will become beneficiaries in the action (together with the Coordinator). 

Affiliated entities

The lead applicant and its co-applicants may act with affiliated entities.

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 applicant may hence be:

Entities directly or indirectly controlled by an applicant (daughter companies or first-tier subsidiaries). They may also be entities controlled by an entity controlled by an 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.

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 an 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 Annex A.2., section 5.

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 Annex A.2., section 6 — ‘Associates participating in the action’.

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.

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: 

LOT 1: may not be lower than 30 months nor exceed 36 months,

LOT 2: may not be lower than 24 months nor exceed 30 months.

LOT 3: may not be lower than 24 months nor exceed 30 months.

Sectors or themes

All actions must relate to the penitentiary and probationary sectors and the themes of vocational education, employment, psycho-social, medical or similar rehabilitation, or secondary crime prevention for children.

Location

Actions must take place in Georgia. 

Types of action

The following types of action may, but not only, be financed under this call:

LOT 1: Actions concerned with enhancing and expanding the opportunities for vocational education and employment of the target groups, such as:

Expansion, redirection or introduction of new training courses;

Market research, needs and skills assessments of target groups, and social, economic and financial surveys and analyses for purposes of identification and formulation of the most suitable scope and relevance of the vocational education; 

Visibility and promotion actions in order to publicize and increase demand for the production of the target groups;

Support in the search of employment opportunities; 

Cooperation with the state institutions in adaptation of the vocational education system to the introduction of individualized approach, risk-based assessment and classification of inmates;

Policy dialogue on the topics relevant for the target groups, such as incentives for business start-ups, introduction and format of social enterprises, or inter-agency public procurement of supplies produced by target groups; 

Long-term evaluation, research and analyses of the effective impact of resocialization and rehabilitation services on the crime prevention and social integration of the target groups; and

Support to the linkages with the standard vocational education opportunities and mechanisms existing outside the penitentiary and probationary systems.

LOT 2: Actions concerned with enhancing and expanding opportunities for psycho-social, medical and similar rehabilitation and re-socialization, such as:

Provision of psycho-social and therapeutic support;

Inclusion in sport, cultural and other leisure activities;

Promotion of social integration and inclusion, including restoration of contacts with family, employment and other social environments; and

Support to the regulation and implementation of special approaches to the persons addicted to drugs, suffering from mental disorders or illnesses, persons with physical disabilities, and other specific vulnerable groups.

LOT 3: Actions concerned with secondary crime prevention programmes for (diverted) juveniles and children in conflict with the law, such as:

Formulation and implementation of crime prevention programmes;

Inclusion in sport, cultural and other leisure activities;

Promotion of social integration and inclusion, including restoration of contacts with family, employment and other social environments;

The above lists of actions under all the three lots are indicative; not all of those actions, as well as other relevant actions can be suggested in line with the objectives of this call.

Actions under all the three lots are encouraged to pay due attention to vulnerable persons, social inclusion and integration, community support and regional outreach

The actions shall be planned and carried out with due regard to the national and sector strategies and similar activities carried out by national institutions and other organisations; wherever possible and relevant, synergies with the work of the relevant state institutions and their bodies (such as half-way houses, health or parole release committees etc.) shall be sought.    

The actions shall obtain in writing a prior approval of the competent authorities to carry out the suggested activities in the state-run penitentiary, probationary, therapeutic or other facilities. Where relevant, the applicants are requested to refer to such prior approvals in their full application forms.

The following types of action are ineligible: actions concerned only or mainly with

individual sponsorships for participation in workshops, seminars, conferences and congresses;

individual scholarships for studies or training courses;

research, monitoring, assessment, or evaluation; and

construction works or procurement of supplies;

as well as actions involving any kind of proselytism.

 

Types of activity

The following types of activity may be financed under this call:

training courses and workshops for the target groups;

procurement of supplies and improvement of infrastructure for training courses and workshops (to a limited extent);

policy dialogue platforms and working groups;

needs assessments, researches, surveys, analyses, monitoring and evaluations; 

visibility and promotion actions;

awareness raising campaigns;

financial supports to third parties; 

and other similar and relevant activities.

Financial support to third parties 

Applicants may 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.

Under this call, financial support to third parties may not be the main purpose 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: 

the objectives and results to be obtained with the financial support 

the different types of activities eligible for financial support, on the basis of a fixed list 

the types of persons or categories of persons which may receive financial support  

the criteria for selecting these entities and giving the financial support  

the criteria for determining the exact amount of financial support for each third entity, and 

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.

LOT 1: The applicants are in particular encouraged to propose the financial support to small-scale organisations, communities, or initiative groups in order to promote the inclusiveness of the civil society support and the regional outreach of the support. Furthermore, small financial incentives may be provided to small teams or individuals from the target groups for starting up private businesses or taking up employments by the target groups.

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 https://ec.europa.eu/europeaid/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 one application per lot under this call for proposals.

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

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

A co-applicant/affiliated entity may not submit more than one application per lot under this call for proposals.

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

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:

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.

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). 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 directions and a checklist of controls to assess the minimum necessary conditions that provide reasonable assurance for the acceptance of the proposed amounts.

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" or "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.

clearly explain the formulas for calculation of the final eligible amount

identify the beneficiary who will use the simplified cost option (in case of affiliated entity, specify first the beneficiary), in order to verify the maximum amount per each beneficiary (which includes if applicable simplified cost options of its affiliated entity(ies))

At contracting phase, the Contracting Authority decides 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 and by performing checks established by Annex K. 

The total amount of financing on the basis of simplified cost options that can be authorised by the Contracting Authority for any of the applicants individually (including simplified cost options proposed by their own affiliated entities) cannot exceed EUR 60 000 (the indirect costs are not taken into account). 

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 simplified cost option may also take the form of an apportionment of Field Office's costs.

Field Office means a local infrastructure set up in one of the countries where the action is implemented or a nearby country. (Where the action is implemented in several third countries there can be more than one Field Office). That may consist of costs for local office as well as human resources. 

A Field Office may be exclusively dedicated to the action financed (or co-financed) by the EU or may be used for other projects implemented in the partner country. When the Field Office is used for other projects, only the portion of capitalised and operating costs which corresponds to the duration of the action and the rate of actual use of the field office for the purpose of the action may be declared as eligible direct costs.

The portion of costs attributable to the action can be declared as actual costs or determined by the beneficiary(ies) on the basis of a simplified allocation method (apportionment).

The method of allocation has to be:

1. Compliant with the beneficiary's usual accounting and management practices and applied in a consistent manner regardless of the source of funding and 

2. Based on an objective, fair and reliable allocation keys. (Please refer to Annex K to have examples of acceptable allocation keys).

A description prepared by the entity of the allocation method used to determine Field Office's costs in accordance with the entity's usual cost accounting and management practices and explaining how the method satisfy condition 1 and 2 indicated above, has to be presented in a separate sheet and annexed to the Budget.

The method will be assessed and accepted by the evaluation committee and the Contracting Authority at contracting phase. The applicant is invited to submit (where relevant) the list of contracts to which the methodology proposed had been already applied and for which proper application was confirmed by an expenditure verification. 

At the time of carrying out the expenditure verifications, the auditors will check if the costs reported are compliant with the method described by the beneficiary(ies) and accepted by the Contracting Authority.

Adequate record and documentation must be kept by the beneficiary(ies) to prove the compliance of the simplified allocation method used with the conditions set out above. Upon request of the beneficiary(ies), this compliance can be assessed and approved ex-ante by an independent external auditor. In such a case, the simplified allocation method will be automatically accepted by the evaluation committee and it will not be challenged ex post.

When costs are declared on the basis of such allocation method the amount charged to the action is to be indicated in the column "TOTAL COSTS" and the mention "APPORTIONMENT" is to be indicated in the column "units" (under budget heading 1 (Human resources) and 4 (Local Office) of the Budget).

It has to be noted that the EUR 60.000 limit, otherwise applicable to costs declared on the basis of simplified cost options, is not relevant for costs declared following apportionment of Field Offices. 

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 a 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 not eligible costs. 

Contributions in kind may not be treated as co-financing.

However, if the description of the action as proposed includes contributions in kind, the contributions have to be made.

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; and

salary costs of the personnel of national administrations.

How to apply and the procedures to follow

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

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. 

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.

 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.1). Applicants must apply in English. 

Please note that:

1. In the concept note lead applicants must provide only an estimate of the requested EU contribution, as well as an indicative percentage of this contribution in relation to the total eligible costs of the action. A detailed budget is to be submitted only by 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 form. The EU contribution may not vary from the initial estimate by more than 20 %. Lead applicants are free to adapt the requested EU contribution as a percentage of the total eligible costs within the minimum and maximum amounts and percentages provided 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 section 2.1.1 of the grant application form.

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. 

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. 

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).

Deadline for submission of concept notes 

The deadline for the submission of concept notes is 23/06/2016 at 15:00 (Brussels date and time). In order to convert this deadline to local time you can use any online time converter tool that takes into account timezones and winter/summer time changes (example available here). The lead applicant is strongly advised not to wait until the last day to submit its concept note, 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. 

Any concept note submitted after the deadline will be rejected.

Further information about concept notes

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-georgia-finance@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 EuropeAid website https://webgate.ec.europa.eu/europeaid/online-services/index.cfm?do=publi.welcome, as appropriate. 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.

Full applications 

Lead applicants invited to submit a full application following pre-selection of their concept note must do so using the full application form annexed to these guidelines (Annex A.2). 

Applications must be submitted in accordance with the full application instructions at the end of Annex A.2. Lead applicants must submit their full applications in the same language as their concept notes. 

Please note that:

1. The elements outlined in the concept note cannot be modified by the lead applicant in the full application form. 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). An explanation/justification of the relevant replacement/adjustment shall be included in section 2.1.1 of the grant application form.

2. 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)).

3. 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. No additional annexes should be sent.

Any error or any major inconsistency related to the full application instructions (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.

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. 

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).

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 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. 

Any application submitted after the deadline will be rejected.

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-georgia-finance@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 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 EuropeAid website https://webgate.ec.europa.eu/europeaid/online-services/index.cfm?do=publi.welcome, as appropriate. 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.

 

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.

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