€¦ · Web viewThis project is co-funded by the European Union. Sub-Granting Manual. Supporting human rights defending organizations through sub-granting scheme

This project is co-funded by the European Union

Sub-Granting Manual

Supporting human rights defending organizations through sub-granting scheme

Project: Youth Standing Up for Human Rights in Albania

August 2018

This Sub-Granting Manual has been produced with the financial assistance of the European Union. The contents of this document are the sole responsibility of World Vision Albania and South East European Youth Network and can under no circumstances be regarded as reflecting the position of the European Union

CONTENT

SAbbreviations..........................................................................................................................................4

Introduction..............................................................................................................................................5

1. GENERAL RULES AND PRINCIPLES.........................................................................................6

1.1. Legal basis of the Manual.....................................................................................................6

1.2. Preliminary actions.................................................................................................................7

1.3. Liability......................................................................................................................................7

1.4. Conflict of interests and good conduct.............................................................................8

1.5. Visibility.....................................................................................................................................8

1.6. Exclusion criteria from participation in SG scheme......................................................9

1.7. Conflict of interests and good conduct...........................................................................11

1.8. No profit rule..........................................................................................................................12

1.9. Rule of nationality.................................................................................................................12

2. ORGANIZATIONAL AND MANAGEMENT STRUCTURE OF THE SUB-GRANTING SCHEME..................................................................................................................................................14

2.1. The Project Team..................................................................................................................14

2.2. Selection Committee Panel (SCP).....................................................................................15

2.2.1. Composition and the responsibilities of Selection Committee Panel (SCP). .15

2.2.3. Secretary.........................................................................................................................17

2.2.4. Evaluating Members.....................................................................................................17

3. THE CALL FOR PROPOSAL.......................................................................................................19

3.1. General overview of the Call for Proposal......................................................................19

3.2. Guidelines for Sub-Granting Applicants.........................................................................21

4. THE PROJECT CYCLE OF THE SUB-GRANTING SCHEME................................................22

4.1. Steps of the project cycle of the SG scheme.................................................................22

4.1.1. STEP 1 - Announcement of Call for Proposals and information sessions.....23

4.1.2. STEP 2 - Submission of Concept Notes and the supporting documents.......24

4.1.3. STEP 3 - Opening of the evaluation session and administrative check..........25

4.1.4. STEP 4 - Request for clarifications/complaints.....................................................25

4.1.5. STEP 5 - The evaluation..............................................................................................26

4.1.6. Step 6 - Request for clarifications/complaints.......................................................27

4.1.7. Step 7 – Negotiations for adjustments/modifications..........................................27

4.1.8. Step 8 – Signing of the Partnership Agreement....................................................27

4.1.9. Step 9 – Documentation..............................................................................................28

4.1.10. Step 10 – Publication...............................................................................................28

4.1.11. Step 11 – Monitoring and reporting......................................................................28

5. LIST OF THE ANNEXES OF THE MANUAL.........................................................................30

Abbreviations

CA Contracting Authority

CfP Call for Proposal

CSOs Civil Society Organizations

EC European Commission

EM Evaluating Member

EU European Union

EUD European Union Delegation

HR Human Rights

GfSGA Guidelines for Sub-Granting Applicants

SCP Selection Committee Panel

SEEYN South East European Youth Network

SG Sub-Grant/ing

WVA World Vision Albania

Introduction

World Vision Albania and South East European Youth Network with financial assistance from

the European Commission – European Instrument for Democracy and Human Rights are

beneficiaries of the European Union co-funded project titled ‘Youth Standing Up for Human

Rights in Albania’.

This EU co-funded Project’s theory of change is based on sub-granting as its main means of

implementation to reach larger groups of stakeholders and empower youth to become effective

human rights defenders, thereby contributing to the enforcement of human rights in their country

and the communities they live in.

Sub-granting is an indirect financial contribution through a European Commission grant

Beneficiary to a sub-grant Beneficiary for an action intended helping to achieve an objective of

the European Commission grant contract.

These sub-grant scheme will motivate the target groups (Youth and civil society organizations)

to innovate and develop youth-driven, rights-based, locally-appropriate project ideas to address

human rights issues and create powerful examples of human rights protection, thereby fostering

a culture of human rights (hereinafter HR) in Albania.

The Project’s theory of change is thus based on the fact that youth and civil society

organizations (hereinafter CSOs) —with the proper resources and tools—can achieve more

comprehensive defense of human rights in their communities.

In order to provide a guideline to all the actors involved in the SG scheme WVA has drafted this

Manual.

The Manual is intended to serve as the guidance in all matters related to the sub-granting

scheme. It is intended to serve as the main tool for the interested sub-grant Applicants. It would

also be used by the World Vision Albania (hereinafter WVA) staff, the South East European

Youth Network (hereinafter SEEYN) staff, the evaluators and other parties’ part of the sub-

granting scheme.

This Manual covers the rules and procedures to be followed in regards to information,

submission of projects, evaluation, approval and follow-up of the implementation of the projects

financed through the SG scheme.

1. GENERAL RULES AND PRINCIPLES

European Union (hereinafter EU) has developed sub-grants as a modality to:

simplify access to EU funds;

reach grassroots;

reach remote areas;

reach smaller organizations;

without increasing management costs/ number of contracts,

and the European Commission (hereinafter EC) re-introduced in May 2007 the option of sub-

granting in its grant contracts.

The sub-granting scheme will be managed among others through the principles of: Impartiality,

Accountability, Transparency, Efficiency, and Effective Monitoring & Evaluation.

1.1. Legal basis of the Manual

The legal basis for this Manual are:

i. PRAG (Practical Guide) rules - The Practical Guide explains the contracting procedures

applying to all EU external actions financed from the EU general budget (the EU

budget);

ii. Special Conditions of the Grant Contract between European Commission and World

Vision Albania;

iii. Annex II – General Conditions applicable to EU financed grant contracts for External

Actions;

iv. The EU legal documents related to grant contract and financed grant contract for

External Actions;

v. WVA minimum standards for SG.

The Guideline for Sub-Granting Applicants (hereinafter GfSGA) is drafted based on the rules

and regulations laid out to this Manual. GfSGA will be specific for each Call for Proposal

(hereinafter CfP) and must be published every specific call in regards to the context of the call.

The GfSGA shall specify, as a minimum requirement, all the points mentioned in section 3.2 of

this document.

1.2. Preliminary actions

WVA in regards to the SG scheme undertakes a series of preliminary actions prior to the launch

of the CfP.

WVA drafts and submits to European Union Delegation (hereinafter EUD) the whole Package of

the SG scheme:

1. The Manual with its templates;

2. The Guidelines with its templates,

at least one month prior to the launch of the CfP.

In the framework of the EU financed grant contracts for External Actions, in the context of this

project, WVA is the Coordinator that has signed the contract with the European Commission for

implementing the project that includes the sub-grant scheme.

The financial responsibility is vested with the ‘Coordinator’ which is responsible for ensuring

high qualitative standards on program results, expenditures and reporting.

SEEYN (the Co-Applicant) is the other beneficiary that bears the responsibility of preparing the

training modules in regards to the specific activities for the project implementation.

In the context of a sub-granting scheme WVA is the Contracting Authority. WVA is responsible

for launching the CfP; for organizing info sessions after the launch of the CfP; receiving the

proposals; establishing the evaluation committee; preparing the SG contracts; managing

complaints.

The representative of EU delegation will be part, as observers, of the whole process and will be

informed on every step in regards to the SG scheme.

1.3. Liability

1. The WVA cannot under any circumstances or for any reason whatsoever be held liable

for damage or injury sustained by the staff or property of the Partner while an Action is

being carried out or as a consequence of the Action. The WVA cannot, therefore, accept

any claim for compensation or increases in payment in connection with such damage or

injury.

2. The Beneficiary of the Sub-Grant shall assume sole liability towards third parties,

including liability for damage or injury of any kind sustained by them while an Action is

being carried out or as a consequence of the Action. The Partner shall discharge the

WVA of all liability arising from any claim or action brought as a result of an infringement

of rules or regulations by the Partner or the Partner’s employees or individuals for whom

those employees are responsible, or as a result of violation of a third party’s rights. For

the purpose of this Article the employees of the Partner shall be considered third parties.

1.4. Conflict of interests and good conduct

1. The Beneficiary shall take all necessary measures to prevent or end any situation that

could compromise the impartial and objective performance of the Framework Agreement

and/or the Specific Agreements. Such conflict of interests may arise in particular as a

result of economic interest, political or national affinity, family or emotional ties, or any

other relevant connection or shared interest.

2. Any conflict of interests which may arise must be notified in writing to the WVA without

delay. In the event of such conflict, the Beneficiary shall immediately take all necessary

steps to resolve it.

3. The WVA reserves the right to verify that the measures taken are appropriate and may

require additional measures to be taken if necessary.

4. The Beneficiary shall ensure that its staff, including its management, is not placed in a

situation which could give rise to conflict of interests. Without prejudice to its obligation

under the General Conditions (Annex II) and the Sub-Grant Contract, the Beneficiary

shall replace, immediately and without compensation from the Commission, any member

of its staff in such a situation.

1.5. Visibility

1. Unless the WVA agrees or requests otherwise, the Beneficiary shall take all necessary

steps to publicize the fact that the European Union has financed or co-financed the

Action. Such measures shall comply with the Communication and Visibility Manual for

European Union External Actions laid down and published by the Commission, that can

be found at:

http://ec.europa.eu/europeaid/work/visibility/documents/communication_and_visibility_m

anual_en.pdf - or with any other guidelines agreed between the WVA and the

Beneficiary.

2. In particular, the Beneficiary shall mention the Action and the European Union's financial

contribution in information given to the final recipients of the Action, in its internal and

final reports, and in any dealings with the media. It shall display the European Union

logo wherever appropriate.

3. Any notice or publication by the Beneficiary concerning the Action, including those given

at conferences or seminars, shall specify that the Action has received European Union

funding. Any publication by the Partner, in whatever form and by whatever medium,

including the internet, shall include the following statement: ‘This document has been

produced with the financial assistance of the European Union. The contents of this

document are the sole responsibility of < Partner’s name > and can under no

circumstances be regarded as reflecting the position of the European Union.’

4. The Beneficiary authorizes the WVA and the European Commission to publish the

Partner's name and address, nationality, the purpose of the Sub-Grant Contract and

each sub-grant, duration and location as well as the maximum amount of each grant and

the rate of funding of the Action's costs. Derogation from publication of this information

may be granted if it could endanger the Beneficiary or harm its interests.

1.6. Exclusion criteria from participation in SG scheme

Potential applicants1 may not participate in Calls for proposals or be awarded SG if they are in

any of the situations which are listed in Section 2.3.3.1 of the Practical Guide to contract

procedures for EC external actions:

a. it is bankrupt, subject to insolvency or winding-up procedures, where its assets are being

administered by a liquidator or by a court, where it is in an arrangement with creditors,

where its business activities are suspended, or where it is in any analogous situation

arising from a similar procedure provided for under national laws or regulations;

1 This apply to the applicant which have a member on their organization who has management, supervisory or decision taking powers at the respective organization that is applying for the SG.

http://ec.europa.eu/europeaid/work/visibility/documents/communication_and_visibility_manual_en.pdf

http://ec.europa.eu/europeaid/work/visibility/documents/communication_and_visibility_manual_en.pdf

b. it has been established by a final judgment or a final administrative decision that the

applicant is in breach of its obligations relating to the payment of taxes or social security

contributions in accordance with the law of the country in which it is established, with

those of the country in which the contracting authority is located;

c. it has been established by a final judgment or a final administrative decision that the

applicant is guilty of grave professional misconduct by having violated applicable laws or

regulations or ethical standards of the profession to which the economic operator

belongs, or by having engaged in any wrongful conduct which has an impact on its

professional credibility where such conduct denotes a wrongful intent or gross

negligence, including, in particular, any of the following:

i. fraudulently or negligently misrepresenting information required for the

verification of the absence of grounds for exclusion or the fulfilment of selection

criteria or in the performance of a contract;

ii. entering into agreement with other economic operators with the aim of distorting

competition;

iii. violating intellectual property rights;

iv. attempting to influence the decision-making process of the contracting authority

during the procurement procedure;

v. attempting to obtain confidential information that may confer upon it undue

advantages in the procurement procedure;

d. it has been established by a final judgment that the applicant is guilty of any of the

following:

i. fraud, within the meaning of Article 1 of the Convention on the protection of the

European Communities' financial interests drawn up by the Council Act of 26 July

199517;

ii. corruption, as defined in Article 3 of the Convention on the fight against

corruption involving officials of the European Communities or officials of Member

States of the European Union, drawn up by the Council Act of 26 May 199718,

and in Article 2(1) of Council Framework Decision 2003/568/JHA19, as well as

corruption as defined in the law of the country where the contracting authority is

located, the country in which the economic operator is established or the country

of the performance of the contract;

iii. participation in a criminal organization, as defined in Article 2 of Council

Framework Decision 2008/841/JHA20;

iv. money laundering or terrorist financing, as defined in Article 1 of Directive

2005/60/EC of the European Parliament and of the Council21;

v. terrorist-related offences or offences linked to terrorist activities, as defined in

Articles 1 and 3 of Council Framework Decision 2002/475/JHA22.respectively, or

inciting or aiding or abetting or attempting to commit such offences, as referred to

in Article 4 of that Framework Decision;

vi. child labor or other forms of trafficking in human beings as defined in Article 2 of

Directive 2011/36/EU of the European Parliament and of the Council23;

e. the applicant has shown significant deficiencies in complying with main obligations in the

performance of a contract financed by the EU, which has led to its early termination or to

the application of liquidated damages or other contractual penalties or which has been

discovered following checks, audits or investigations by an authorizing officer, OLAF or

the Court of Auditors;

In cases referred to in points c), d) in the absence of a final judgment or a final administrative

decision, or in the case referred to in point e), when the contracting authority (CA) disposes of

established facts or other findings, it shall exclude an applicant on the basis of the decision of

the selection committee.

Any applicant who participates in a Call for Proposal shall sign and submit the Declaration of the

Applicants which will be submitted at the first stage together with Concept Note.

If and when the above-mentioned situation of exclusion arises after the signature of the SG

Partnership agreement, the Project Team is summoned and:

Will inform the sub-grantee of this situation and request in writing additional information;

If the exclusion situations it still exists it will suspend the agreement and request the sub-

grantee to freeze all expenditures;

Will inform the representative of the EUD in Albania;

Or will terminate the SG Contract in accordance to the articles 12.2-12.8 of the General

Conditions (Annex II of the SG Contract)

1.7. Conflict of interests and good conduct

In regards to the conflict of interest and good conduct:

1. The WVA shall take all necessary measures to prevent or end any situation that could

compromise the impartial and objective performance of the evaluation process.

2. Such conflict of interests may arise in particular as a result of economic interest, political

or national affinity, family or emotional ties, or any other relevant connection or shared

interest.

3. Any conflict of interests which may arise must be notified in writing to the evaluation

committee without delay. In the event of such conflict, the WVA, Project Management

team shall immediately take all necessary steps to resolve it.

4. The WVA shall ensure that its staff, including its management, is not placed in a

situation which could give rise to conflict of interests. Without prejudice to its obligation

under the Sub-Grant Agreement and the Sub-Grant Contract, the WVA shall replace,

immediately and without compensation from the EC, any member of its staff in such a

situation.

5. Every Member of the evaluation committee (MEC) shall sign prior to the beginning of the

evaluation process the:

Declaration of objectivity and confidentiality (ANNEX II of this Manual);

Declaration of impartiality and confidentiality (ANNEX III of this Manual).

1.8. No profit rule

The SG may not produce a profit for the Beneficiary, unless specified otherwise in the Sub-

Grant Contract. Profit is defined as a surplus of the receipts over the eligible costs approved

by the WVA when the request for payment of the balance is made.

1.9. Rule of nationality

Pursuant to the Regulation (EU) No 236/2014 of the European Parliament and of the Council of

11 March 2014 laying down common rules and procedures for the implementation of the

Union's instruments for financing external action, which specifies in the Article 8, Paragraph 7:

Eligibility as set out in this Title, may be restricted with regard to the nationality, geographical

location or nature of applicants, where such restrictions are required on account of the specific

nature and the objectives of the action and where they are necessary for its effective

implementation. Such restrictions may apply in particular to participation in award procedures in

the case of cross-border cooperation actions.

Pursuant to the above Article:

Natural persons are not eligible for the SG scheme;

Legal persons are eligible for the SG scheme, but keeping in mind:

o The geographical areas which will be defined in the GfSGA and

o The sectors defined in the GfSGA

2. ORGANIZATIONAL AND MANAGEMENT STRUCTURE OF THE SUB-GRANTING SCHEME

As described above, this action uses sub-granting as its main means for youth-created, youth-

driven activities at the community levels to defend human rights. As such, the main means for

implementation of this action is the sub-grants themselves.

This section presents the roles and responsibilities of the participants in the process of the SG

scheme.

According to the Full Application Form of the Project ‘Youth standing Up for Human Rights

in Albania’ at any stage of the evaluation, the representative of the Delegation of the

European Union can be present.

2.1. The Project Team

WVA has designed the management structure to be streamlined and functional, including

essential staff necessary to carry out the main functions of the action and ensure compliance

with EU grants implementation standards. The Project’s team will consist of the following

positions:

Project Manager, 100% Level Of Effort (LOE) (WVA): He/she will be responsible for the

overall project management, coordination with partners and stakeholders, sub-grant

management, supervision of the co-applicant, planning, and communications with the EU

Delegation. He/she will focus on compliance of sub-granting with EU rules and

regulations, as well as reporting on the sub-grant projects.

Project Officer, 100% (WVA): He/she will focus on ensuring that human rights sub-

grants projects adequate include youth participation methods and capacity building of

youth. The Officer will also ensure that WVA’s code of conduct is strictly applied when

youth are engaged in the activities. He/she will also ensure gender mainstreaming in the

sub-grant projects.

Training Manger, 100% LOE (SEEYN): He/ She will coordinate participation in the

training program development, monitoring and evaluation of the training and trainers

work, quality assurance of the training that should be also in line with the SEEYN

Training Policy and values; evaluation and reporting of the training; logistic support at

training; reflection of the day with trainers.

Advocacy Officer, 5% LOE (WVA): He/she will provide technical assistance formally in

capacity building efforts as well as informally on an as-needed basis for sub-grant

recipients.

Monitoring and Evaluation Officer, 10% LOE (WVA): He/she will focus on compliance

with EU rules and regulations on sub-grants. He/she will create systems, procedures,

and forms where necessary and verify sub-grant project documentation.

Project Financial Officer, 30% LOE (WVA): He/she will be responsible for the overall

financial management of the action as well as ensuring full compliance with EU rules and

regulations on sub-granting. This position may offer financial capacity building to the

sub-grant recipients where required.

Project Financial Officer, 10% LOE (SEEYN): He/she will work with sub-grants

recipients’ full compliance with EU rules and regulations on sub-granting. This position

may offer financial capacity building to the sub-grant recipients where required.

Communications Officer, 5% LOE (WVA): He/she will ensure coverage of the sub-grant

projects and the action as a whole to targeted audiences and the media. He/she will be

responsible for compliance with EU visibility requirements.

2.2. Selection Committee Panel (SCP)

At the Annex A.2, Full Application Form of the Project ‘Youth Standing Up for Human Rights in

Albania’ it is specified the composition, the duties and the responsibilities of the Selection

Committee Panel (SCP).

Hence, the composition will be in compliance to the one laid out in the Full Application Form of

the Action.

2.2.1. Composition and the responsibilities of Selection Committee Panel (SCP)

According to the PRAG, Section 6.5.7.1. Composition - Proposals are evaluated by an

evaluation committee appointed by the contracting authority comprising a non-voting

chairperson, a non-voting secretary and an odd number of voting members (the evaluators) with

a minimum of three of them

Hence, the SCP will be composed of:

1. Three (3) Evaluating Members as specified in the Full Application Form of the Action.

Also, for a smooth and easy process it is foreseen to have a staff member from the WVA staff

acting as

2. One (1) Chairperson and

3. One (1) Secretary in order to facilitate the administrative work during the two (2) cycles

of the CfP.

The SCP in compliance to the selection criteria is responsible for the:

Administrative check, according to the section 4.1.3. of this Sub-Granting Manual;

The evaluation process (of the concept notes and later on the process of the Full

Application Forms) according to the section 4.1.5. of this Sub-Granting Manual.

2.2.2. Chairperson

In regards to the Chairperson h/she:

a. Will not have voting rights;

b. Will be appointed among the existing Advisers at the National Office in Tirana, by the

Programme Director of the WVA for the two (2) cycles;

c. Will ensure the SCP impartiality and transparency;

d. Will coordinate the work during the opening session(s) (the administrative check) and

the whole evaluation process in accordance with procedures sets in this Sub-Granting

Manual.

e. Will call for SCP meetings, sets the meeting agenda and time schedule, moderates

among different evaluations;

2.2.3. SecretaryIn order to ensure e good and smooth selection process it is necessary to have a staff member

that is external and will facilitate and support the SCP in areas where they cannot cover. The

Secretary (the Project Officer of the EU co-funded project Youth Standing Up for Human Rights

in Albania):

a) Has no-voting rights;

b) Is assigned by the Chairperson among WVA admin/finance/staff;

c) Shall be the support person during the two (2) cycles of the CfP;

d) Is responsible, directly and with the supervision of the Project Manager, for carrying out

all administrative tasks connected with the evaluation procedure, which include:

i. Deliver and Collect the Annexes II and III of this Manual

o Declaration of objectivity and confidentiality (ANNEX II);

o Declaration of impartiality and confidentiality (ANNEX III),

signed by the Evaluating Members and by the observers;

i. Keeps the minutes of meetings including list of participants

ii. Drafts the administrative eligibility report and the final evaluation report;

2.2.4. Evaluating Members

1. The Evaluating Members (EM) are appointed amongst the WVA and SEEYN staff as

specified in the Full Application Form;

2. There will be two (2) members from WVA, the Project Manager, one Finance Officer and

one (1) member from the SEEYN the Training Manager;

3. External experts/parties in a monitoring role must in any case abide by this Manual;

4. The EM shall decide to include in the SCP external evaluators if particular technical

competencies are required;

5. EM shall have the technical and administrative capacities to give an informed opinion on

the proposals;

6. Previously to the beginning of the evaluation, the EM must sign the Annexes II and III of

this Manual:

o Declaration of objectivity and confidentiality (ANNEX II of this Manual); &

o Declaration of impartiality and confidentiality (ANNEX III of this Manual),

that will be kept in the archive and annexed to the Evaluation Final Report. Their name,

should remain undisclosed to third parties;

7. The EM should attend all meetings except, if not required. Any absence must be

recorded and explained in the evaluation report;

8. All EM will have equal voting rights;

A representative from the Ministry and Quality Department, one Adviser among the Advisers at

the National Office of WVA (appointed by the Programme Director of WVA), Grant Acquisition

Management Department (the staff that acts as the contact person for the EU co-funded project

Youth Standing Up for Human Rights in Albania) will be part of the whole evaluation process as

observers.

WVA will invite a representative of the EU Delegation as observer to be part of the whole

evaluation process.

3. THE CALL FOR PROPOSAL

World Vision Albania (WVA) and South East European Youth Network (SEEYN) with financial

assistance from the European Commission – European Instrument for Democracy and Human

Rights are beneficiaries of the European Union co-funded project titled ‘Youth Standing Up for

Human Rights in Albania’.

As part of the implementing scheme of this EU co-funded project there are foreseen two (2)

cycles of Calls for Proposal.

3.1. General overview of the Call for ProposalIn the framework of European Instrument for Democracy and Human Right WVA and SEEYN

are partnering to achieve:

The overall objectiveYouth are active drivers in civil society’s role in promoting human rights, democratic values, and

the rule of the law in Albania.

And the Specific Objectives1. Human Rights-defending organizations take youth-driven, impactful actions in Albania,

with emphasis on outlying regions.

o Main Activities: launch of a call for proposals for sub-grant projects, selection of

project ideas, mentored monitoring, and project close out.

2. To increase capacities of human rights-defending organizations for delivering of effective

actions and services to the groups in need for human rights protection to in multiple

regions in Albania.

o Main Activities: technical assistance to sub-grant recipients, action-oriented

research, and dissemination of learning and best practices to a wide community

of practice.

WVA has designed a sub-granting mechanism as the main means of implementation for this

action so that a maximum of:

o At least 18 sub-grants (for the two cycles of CfP);

o of up to € 20,000 each, (the minimum 15.000 EUR and the maximum 20.000

EUR), which will be distributed to civil society organizations.

Hence, the overall amount available for the sub-granting scheme will be 360.000 EURO per 2

Cycles.

The sub-granting scheme will award 100% of eligible cost of the approved budget for a

maximum of 360, 000 EURO for the 2 Calls for Proposal as follow:

1. At least Six (6) SG projects for Awareness-raising on human rights – up to € 20,000 per each project;

2. At least Six (6) SG projects for Advocacy and policy analysis on human rights - up to € 20,000 per each project;

3. At least Six (6) SG projects for Creation of community service models on human rights

- up to € 20,000 per each project;The sub-granting process will be repeated two times during the implementation of this project—once in Cycle 1 and again in Cycle 2. Each cycle will last minimum 6 months maximum 9 months.This project will use sub-granting as its main means for youth-created, youth-driven activities at the community levels to defend human rights.

There will be a two-step process of public calls and selection for applications:

1. The issue of an open call for expressions of interest, with forms (of about 2-3 pages

containing: who is the organization, past record/experience, and project idea with total

budget and geographic area).

2. The selection of the Expressions of Interest to advance to the full proposal stage based

on the organizations’ eligibility and the strategic alignment of its proposed project idea.

Geographic coverage will be considered as well.

WVA has constructed the call for proposal as a two-stage process beginning with concept notes

and then inviting only a selected few organizations to submit a full proposal in the restricted call

phase (according to the selection criteria).

The human rights defenders sub-grants will fall into one of following LOTS:

Youth (boys and girls) Employability; (Lot 1) Child Protection (including exploitation, trafficking, violence and abuse); (Lot 2) People (both men and women) with disabilities; (Lot 3) Other marginalized groups of the society (youth from remote and rural areas, ethnic

minorities, those exposed to gender based violence, etc., excluding categories covered

by lot 1 and 2 of the Call for Proposal). (Lot 4)

In order to achieve the above mentioned objectives human rights defending organizations are

invited to design and submit project proposals in:

a) Awareness-raising on human rights;

b) Advocacy and policy analysis on human rights;

c) Creation of community service models on human rights.

This call for proposal gives priority to the following areas: Tirana; Shkoder; Dibra; Lezha;

Rreshen; Kukes; Durres; Kurbin; Kamez; Perrenjas; Gramsh; Puke; Fier; Berat; Lushnje; Vlore;

Elbasan; Librazhd; Korce; and Maliq.

Potential co-applicant(s) and affiliated entity(ies), are not considered eligible actors to the present call. Applicants will be awarded only one grant per both Call for Proposals. Hence, the applicant will

be one time beneficiary per both cycles.

Applicant may not submit more than one (1) application per each Call for Proposal.

3.2. Guidelines for Sub-Granting ApplicantsGuidelines for Sub-Granting Applicants (GsSGA) has been drafted for the two (2) Call for

Proposal. GfSGA and will be published, as a minimum requirement, in WVA website and on the

website of the European Delegation in Albania, as well as national printed media and social

media.

The Guideline will include among others the types of action and costs which are eligible for

financing, and the evaluation (selection and award) criteria (see template guidelines for

applicants).

The GfSGA will have in its content this mandatory issues:

The purpose of the call for proposals;

The information on how to apply for the SG scheme; The amount to be awarded in the form of sub-granting for the two (2) CfP;

The minimum and the maximum amount that may be allocated to each sub-grantee’s

per proposal;

The monthly timeframe in view of the duration for each cycle;

The objectives and results to be achieved by the sub-grantees;

A list of the of activities which may be eligible for sub-granting;

The rules on eligibility of applicants which may receive such financial support;

The eligible and ineligible costs for the projects;

The information on evaluation and selections of applications;

An indicative time schedule of the awarding SG process.

Guideline for Sub-Granting Applicants and its Annexes will be published in the website

homepage of the WVA and of the EUD in Albania, as a single Package.

4. THE PROJECT CYCLE OF THE SUB-GRANTING SCHEME

The cycle of the SG scheme goes through these phases.

The different phases of this cycle have specific steps. Below are the specific steps in regards to

the SG scheme.

4.1. Steps of the project cycle of the SG scheme

Announcement of the CfP

Submission of the

proposals

EvaluationApproval

Monitroing and

reporting

4.1.1. STEP 1 - Announcement of Call for Proposals and information sessions

WVA and SEEYN will ensure the promotion and dissemination of information to all interested

actors, stakeholders in regards to the SG scheme. The information campaign on the CfP will

include among others: publications in local and/or national newspapers and website publications

- WVA website, EU Delegation in Albania website, Facebook, twitter etc.

The minimal information that the announcement shall contain is the following:

Call for proposal title: Supporting human rights defending organizations through sub-

granting scheme

Publication reference: CfP01/2018

World Vision Albania (WVA) and South East European Youth Network (SEEYN) with financial

assistance from the European Commission – European Instrument for Democracy and Human

Rights are beneficiaries of the European Union co-funded project titled ‘Youth Standing Up for

Human Rights in Albania’, under Reference: EuropeAid/155956/DD/ACT/AL.

Human rights defending organizations are invited to design and submit project proposals in:

awareness-raising on human rights; advocacy and policy analysis on human rights; creation of

community service models on human rights. This call for proposal gives priority to the following

areas: Tirana; Shkoder; Dibra; Lezha; Rreshen; Kukes; Durres; Kurbin; Kamez; Perrenjas;

Gramsh; Puke; Fier; Berat; Lushnje; Vlore; Elbasan; Librazhd; Korce; and Maliq.

The Guidelines for Applicants and the Application Package are available for consultation at

World Vision Albania, Rruga Skenderbej, Ndertesa Gurten, Kati 2 1001 and on the following

internet sites: http://www.worldvision.al/ and https://eeas.europa.eu/delegations/albania_en

The deadline for submission of proposals is XX.XX.2018 at 17:00 - in accordance with the

minimum period of 45 calendar days required from the date of publication of this notice.

Three information sessions on this call for proposals will be held in:

Shkodra 15.10.2018 at 10:00 o’clock and place TBC;

Tirana 16.10.2018 at 10:00 o’clock and place TBC;

Vlora 17.10.2018 at 10:00 o’clock and place TBC.

https://eeas.europa.eu/delegations/albania_en

http://www.worldvision.al/

The Call for Proposals will be announced on http://www.worldvision.al/ and shall be held at

latest 21 days prior to the deadline for submission of the concept notes. Info sessions will cover

all aspects of the Call for Proposal and the sub-grant scheme: the purpose of the call for

proposals, the rules on eligibility of applicants, the types of action and costs which are eligible

for financing, the evaluation (selection and award) criteria (see template guidelines for

applicants), instructions on how to fill in the application form, what to attach to it and what

procedures to follow for applying. During the information sessions will be given information on

the evaluation process that will follow (including an indicative timetable) and the contractual

conditions applying to successful applicants, and other general rules and principles (Chapter 1

of this Manual).

Frequently Asked Questions The information about the call for proposal will be published on the following websites: http://www.worldvision.al/; and https://eeas.europa.eu/delegations/albania_en., including the dates and times of information session(s).

The potential applicants are advised to consult the abovementioned websites regularly in order to be timely informed.

After the info sessions, the participants can request for clarifications using the project email:

[email protected]. In this case SC will collect all the questions, group them if of similar nature,

and make a document with all the replies that will be published on the project’s website

http://www.worldvision.al/. By answering SC staff shall refer as much as possible to the Sub-

Granting Manual and the Guidelines for Applicants. There should be a time limit (which will

be set on the Guidelines for Applicants) this for applicants to pose questions and sufficient

time should be allowed after SC replies for the applicants to be able to act accordingly.

4.1.2. STEP 2 - Submission of Concept Notes and the supporting documents

The Concept note at the first stage of the CfP and the full application form ( from the selected

and invited sub-grantees) must be submitted in accordance with the instructions given in the

GfSGA. Upon receiving the Concept Note at the first stage and later the full application form

(from the selected and invited sub-grantees). The applications will be hand delivered by the

applicants or by mail. In case of hand delivery, WVA will give the sub-grantees must provide a

receipt (Annex I – Acknowledgment of receipt – Hand delivery). The receptionist shall be

mailto:[email protected]

https://eeas.europa.eu/delegations/albania_en



instructed by the Secretary to the SCP on the way to fill the form (including assigning proper

protocol numbering). The envelopes will remain closed until the opening of the evaluation session.

4.1.3. STEP 3 - Opening of the evaluation session and administrative check

The Secretary under the supervision of the Chairperson opens the envelopes that are all

numbered and proceeds with the administrative check. This is based on the Annex IV/a &

Annex IV/b – Administrative Check Form (separate for the Concept Notes and for the Full

Application Form), by which SCP certifies that:

1. The concept note/full application submission deadline is respected as in the GfSGA. If

the deadline has not been met, the application will automatically be rejected;

2. The applicant meets the administrative criteria (Annex IV/a & IV/b of this Manual). In

case of missing documents, the Secretary reports to the Chairperson that will request

the applicant to complete the application within the next 5 working days. If the applicant

does not submits the missing documents within the time limit the application will

automatically be rejected;

3. The concept note/full application meets the eligibility criteria (Annex IV/a & IV/b of this

Manual). In regards to the eligibility criteria, if any of the requested information is missing

or is incorrect, the application may be rejected on this sole basis and application will not

be evaluated further;

After the administrative check the Secretary will prepare for approval of the SCP the Annex V/a

& Annex V/b – Administrative Check table of the Approval/Rejected project proposals by the

EM.

4.1.4. STEP 4 - Request for clarifications/complaints

Applicants whose application was rejected at the stage of the administrative check, can request

for clarifications within five (5) working days after the notification of the decision. The replies and

clarifications should be given within five (5) working days. All requests for

clarification/complaints shall be duly included in the evaluation final report.

4.1.5. STEP 5 - The evaluation

The evaluation process will go through the below mentioned phases, and the scheme will look like specified on the chart below.

The scheme of the Evaluation of Project Proposals

The Chairperson arranges the first meeting of the SCP in which s/he:

1. must make sure that the Annexes II & III, respectively: Declaration of objectivity and

confidentiality (ANNEX II); & Declaration of impartiality and confidentiality (ANNEX III),

have been signed by each voting member and properly archived;

2. shares the results of the administrative check and distributes the Concept Notes to the

Evaluating Members.

Firstly, Evaluating Members evaluate the Concept Note, using the Template of the Annex VI

‘Concept Note Evaluation Grid’. Then they fill out the Annex VII ‘Evaluation Report – Concept Note Step 1’

After the info session phase the sub-grantees submit their applications

The Concept Note that meet the mandatory requirement are selected for further evaluation

Depending on the evaluation criteria of the Full Application Form then it is decided on funded projects of the sub-grantees

The Concept Notes with the highest score according to the ranking are invited to submit the Full Application Form

Secondly, Evaluating Members evaluate the application using the template of the Annex VIII –

‘Full Application Form Evaluation’ and then they fill out the Annexes IX ‘Evaluation Report – Full Application Form Step 2’ & Annex X ‘Evaluation Report – Final Eligibility Checks Step 3’.

4.1.6. Step 6 - Request for clarifications/complaints

Applicants must address clarifications/complaints to World Vision Albania offices in Tirana within

five (5) working days of notification of the issue/decision. Within five (5) working days of receipt

of the clarifications/complaint, a written reply must be given.

4.1.7. Step 7 – Negotiations for adjustments/modifications

If there are required changes to the budget, WVA will enter into negotiations with the sub-grant

recipient. Requests for adjustments/modifications can include only points highlighted during the

evaluation processes in the comment/justification box. Even if modifications of the budget

and/or the action (including the action plan) are requested, the core of the proposal shall not be

altered. Modifications cannot lead in any case to an increase in the amount of the grant.

4.1.8. Step 8 – Signing of the Partnership Agreement

Upon approval of the project proposals WVA will sign an agreement with each sub-grantee's,

detailing all project implementation procedures where the roles and responsibilities of both

parties are clearly defined.

The Partnership Agreement will have as integral part of it even the templates for the financial

and narrative reports to be submitted by the sub-grantees’ periodically for the interim report and

for the final report.

4.1.9. Step 9 – Documentation

All the documentation for 2 cycles, all the documentation related to the CfP, applications,

evaluation process, correspondences, sub-granting agreement, monitoring and reporting

documents should be properly archived.

4.1.10. Step 10 – Publication

Upon the end of the evaluation process, once the contract has been signed on the webpage of

the WVA and on the webpage of the EUD in Albania there will be published the list of the sub-

granting projects rewarded. (Annex XI of this Manual)

4.1.11. Step 11 – Monitoring and reporting

Once the contract has been signed with sub-grants' for the implementation of the projects, the

sub-grantees will periodically report to the contracting authority (WVA) through the reporting

formats to be disseminated.

World Vision and SEEYN will be working on coaching, mentoring, and capacity building

throughout the design and execution of the sub-grant activities (using a learning-by-doing and

structured mentoring strategy)

Sub-grant recipients will begin their structured mentoring and learning-by-doing with a capacity

self-assessment. Using WVA’s tools, each sub-grant recipient will complete the assessment

using a participatory process involving their staff and the youth who will engage in the sub-grant

projects.

Sub-grant recipients will be mentored on an ad hoc basis as they implement their projects as

well as through structured workshops. These will provide opportunities for WVA and SEEYN

staff to monitor the implementation of the sub-grant projects in real time. It will be an

opportunity for the staff to measure how well the sub-grant recipients absorb and apply new

methodologies in their projects.

The assessment examines 12 areas of organizational development: Planning, Governance,

Leadership and management, User-centered service, Managing people, Learning and

development, Managing money,

Managing resources, Communications and promotion, Working with others, Monitoring and

evaluation, and Results.

According to a timeline, WVA will organize site visits in the presence of sub-grantees.

WVA has the right to make written comments on project implementation and may advise sub-

grantees' on improving the quality of project implementation. If the sub-grantees do not apply

the requirements for improving the quality of project implementation on the basis of certain

predefined criteria, WVA reserves the right to withdraw funding. The details of this relationship

will be specified in the partnership agreement.

WVA staff assigned to monitoring will be directly responsible for tracking the implementation

and the performance of the contract in close cooperation with the sub-grant beneficiaries.

5. LIST OF THE ANNEXES OF THE MANUAL

ANNEX I Acknowledgement of receipt – hand delivery

ANNEX II Declaration of objectivity and confidentiality

ANNEX III Declaration of impartiality and confidentiality

ANNEX IV/a Administrative check form (of the Concept Note)

ANNEX V/a Administrative check table of the approval/rejected projects proposals by the evaluating members (of the Concept Note)

ANNEX VI Concept note evaluation grid

ANNEX VII Evaluation Report – Concept Note Step 1

ANNEX IV/b Administrative check form (of the Full Application Form)

ANNEX V/a Administrative check table of the approval/rejected projects proposals by the evaluating members (of the Full Application Form)

ANNEX VIII Full Application Form Evaluation Grid

ANNEX IX Evaluation Report – Full Application Form Step 2

ANNEX X Evaluation Report – Final Eligibility Checks Step 3

ANNEX XI Publication Award Form

ANNEX I

ACKNOWLEDGEMENT OF RECEIPT – HAND DELIVERY


Name and address of the Applicant:

....................................................

....................................................

....................................................

Call for proposals: <reference number & title>

Title of your action: <……….…………………………………………………………………….> (one action only per acknowledgement of receipt)

Your concept note was received on <place, date and hour>.

Name of Applicant: Name of the protocol official

Signature: Signature:

ANNEX II

DECLARATIONOF OBJECTIVITY AND CONFIDENTIALITY 2

PROJECT TITLE: ____________________

I, the undersigned, hereby declare that I agree to participate in the preparation of the above-mentioned call for proposals.

I confirm that I am familiar with the information available to date concerning this call for proposals.I undertake to perform my duties honestly and fairly. My contribution to the documents in whose preparation I will be involved will be objective and will fully respect the principles of fair competition and impartiality, in particular by avoiding terms or conditions favoring any one product, manufacturer or service provider.

I undertake to hold in trust and confidence any information or documents ("confidential information") disclosed to me, discovered by me or drafted by me in the course of or as a result of preparing the call for proposals and undertake to use them only for the purposes of preparing this call for proposals and not to disclose them to any third party.

I also undertake not to retain copies of any written information or prototypes supplied and undertake neither to assist nor be associated with any applicant in the above-mentioned call for proposals.

I am fully aware that any failure to comply with the present declaration would lead to my exclusion from the call for proposals and to the rejection of my application.

Lastly, I undertake not disclose any confidential information to any employee or expert unless that person has signed this declaration and agreed to abide by its provisions.

Name and Last name:

Signature:

Place, Date:

ANNEX III

2 To be completed by all persons involved in preparing terms of reference, technical specifications or other documents relating to the call for proposals

DECLARATION OFIMPARTIALITY AND CONFIDENTIALITY3

PUBLICATION REF: ____________________

I, the undersigned, hereby declare that I agree to participate in the evaluation of the above-mentioned call for proposals. By making this declaration, I declare that I am aware of the following:

1. Financial persons and other persons involved in budget implementation and management, including acts preparatory thereto, audit or control shall not take any action which may bring their own interests into conflict with those of the European Union.

If such a risk exists, the person in question shall refrain from such action. He or she shall refer the matter to the authorising officer by delegation and inform his or her hierarchical superior. The authorising officer shall confirm in writing whether a conflict of interests exists. Where a conflict of interests is found to exist, the person in question shall cease all activities in the matter. The authorising officer by delegation shall personally take any further appropriate action.

2. For the purposes of paragraph 1, a conflict of interests exists where the impartial and objective exercise of the functions of a financial person or other person, as referred to in paragraph 1, is compromised for reasons involving family, emotional life, political or national affinity, economic interest or any other shared interest with a recipient.

I hereby declare that, to my knowledge, I have no conflict of interest with the operators who have applied to participate for this contract, including persons or members of a consortium, or the subcontractors proposed.

I confirm that if I discover during the evaluation that such a conflict exists or might exist, I shall declare it immediately to the chairperson of the evaluation committee. In the case that such conflict is confirmed by the chairperson, I agree to cease from participating in the evaluation committee.

I confirm that I have familiarised myself with the information available to date concerning this call for proposals, including the provisions of the Practical Guide relating to the evaluation process.

I shall execute my responsibilities impartially and objectively. I further declare that, to the best of my knowledge, I am not in a situation that could cast doubt on my ability to evaluate the application(s).

I shall maintain the strictest confidentiality in respect of all information acquired as a result of my involvement in the evaluation process of the above-mentioned call, as well as any information relating specifically to the object of this call.

I undertake neither to disclose such information to any person who is not already authorized to have access to such information, nor to discuss it with any person in any public place or where others could overhear it.

3 To be completed by all persons involved in an evaluation process including members of the evaluation committee, whether voting (i.e. the evaluators) or non-voting and any observers.

I furthermore undertake to use this information only in the context, and for the purposes of, the evaluation of this specific call.

After the conclusion of the evaluation I undertake not to retain copies of any written information, as well as any templates or models used in the course of my duties.

I understand that any unauthorized disclosure by me will result in the termination of my role as a member of this evaluation committee and may also render me liable to legal action.

I undertake to maintain this duty of confidentiality after the conclusion of my term as a member of this evaluation committee.

Name and Last Name Function Representing Signature

Place, Date ____ . _____ . 2018

ANNEX IV/a

ADMINISTRATIVE CHECK FORM – CONCEPT NOTE(For internal use during evaluation form – to be attached to each application specifically)

APPLICANT

APPLICANT NUMBER

TITLE OF THE PROJECT

LOT NUMBER

Title of the Project Proposal:

Before sending your concept notecheck that each of the criteria below have been met in full: Yes No N/A4

ADMINISTRTIVE CHECK

1. The submission deadline of the Concept Note has been met

2. The correct sub-grant application form has been used.

3. The Instructions for the Concept Note have been followed.

4. The Concept Note is typed and is written in an eligible language for this call. (Where more than one language is allowed, the concept note is drafted in the language most commonly used by the target population in the country in which the action takes place.)

5. An electronic version of the Concept Note (CD-ROM/USB) is enclosed

6. One original of the Concept Note is included

7. The Declaration by the applicant has been filled in and has been signed.

6. Court Extract (with the Court Seal, within the Call period) mentioning the registration and status of the CSO

7. A document issued by the Department of Taxes certifying that the organization has no pending financial obligations, such as social, health or tax obligations – issued within the Call period and the Registration Certificate at the Tax Office – NIPT

4 Not Applicable – N/A

ELIGIBILITY CHECK

8. The action will be implemented in an eligible geographical area

9. The duration of the action is not be lower than 6 months nor exceed 9 months

10. The requested EU contribution is equal but not lower than the Minimum Amount of EUR 15.000 or equal but not higher than the Maximum amount of EUR 20.000.11. Youth have been involved in the project proposal writing12. The Concept Note falls under one of the 4 Lots of the CfP

DECISION YES NO

The SCP has decided that the application passes the administrative check.

The SCP has requested the missing documents

The SCP has rejected the application

Signature of the Secretary ___________________________________

Signature of the Chairperson __________________________________

*based on the step 4 of this Manual, points 1 & 3 of this step: if any of the answers to these questions is

NO, then decision to be taken is The SCP has rejected the application

** based on the step 4 of this Manual, point 2 of this step, if any of the answers in regards to

Administrative Check is NO, then decision to be taken is The SCP has requested the missing documents

ANNEX V/a – Concept Note

ADMINISTRATIVE CHECK TABLE OF THE APPROVAL/REJECTED PROJECTS

PROPOSALS BY THE EVALUATING MEMBERS

Title of the CfP: Language to be used:

Reference number: Max amount allowed:

Date/period of administrative check: Max. duration of the project:

Number of the Cycle: Eligible Area:

Number of Lot: Deadline for submission:

No. Name of the organization

Title of the project Protocol number

Request for missing/additional documentation

List of documentation received

List of missing documentation

Decision Points of no compliance as per manual to be shared with Applicant (incl. Part B of the Checklist for Applicants)

Accepted

Rejected

POSITION NAME AND LAST NAME SIGNATURE

Attach all clarification correspondence with applicants

ANNEX VI

CONCEPT NOTE EVALUATION GRID

CALL FOR PROPOSALS: <TITLE>

Grid completed by

Number of the proposal

Name of the applicant

Title of the action

Scoring guidelines

This evaluation grid is divided into sections and subsections. Each subsection must be given a score between 1 and 5 in accordance with the following guidelines:

Score Meaning

1 very poor

2 poor

3 adequate

4 good

5 very good

These scores are added to give the total score for the section concerned. The totals for each section are then listed added together to give the total score for the concept note.

Insert the reference and/or passages of the relevant section in the concept note as well as any comment, remark and justification concerning the evaluation of the subsection. Note that upon request, any applicant may be given the comments and justifications provided.

Section in the concept

note

Comments & Justification Scores

1. Relevance of the action Sub-score 30

1.1 How relevant is the proposal to the objectives and priorities of the call for proposals?*

5x2*

1.2 How relevant to the particular needs and constraints of the target country (ies) or region(s) is the proposal? (including synergy with other EU initiatives

5x2

and avoidance of duplication)

1.3 How clearly defined and strategically chosen are those involved (final beneficiaries, target groups)? Have their needs been clearly defined and does the proposal address them appropriately?

5

1.4 Does the proposal contain specific added-value elements, such as environmental issues, promotion of gender equality and equal opportunities, needs of disabled people, rights of minorities and rights of indigenous peoples, or innovation and best practices?

5

Sub-score "1. Relevance of the action"

2. Design of the action Sub-score 20

2.1 How coherent is the overall design of the action?

In particular, does it reflect the analysis of the problems involved, take into account external factors and relevant stakeholders?

5x2**

2.2 Is the action feasible and consistent in relation to the objectives and expected results?

5x2**

Sub-score "2. Design of the action "

TOTAL SCORE 50

*these scores are multiplied by 2 because of their importance.

Only the concept notes which have been given a score of a minimum of 30 points will be considered for pre-selection.

General comments (major strong points and weaknesses).

ANNEX VII

EVALUATION REPORT – CONCEPT NOTE

STEP 1


Call for proposals reference: < >Title: <>

Type of procedure: open

EVALUATION REPORT - STEP 1 - OPENING & ADMINISTRATIVE CHECKS AND CONCEPT NOTE EVALUATION

ContentsTimetableParticipantsEvaluationCheck that the deadline for submission of applications has been met- Check that the concept note satisfies all the criteria specified in the checklist. This

includes also an assessment of the eligibility of the action - Concept note evaluationsConclusions- Decision on evaluation of concept notesConcept notes recommended for pre-selectionConcept notes not recommended for pre-selection

AnnexesList of applications receivedCompleted administrative checklists – Annex IV/aList of concept notes examined

Declaration of objectivity and confidentiality (ANNEX II); & Declaration of impartiality and confidentiality (ANNEX III), Concept notes evaluation gridsClarification correspondence with the applicant

1. TimetableDate Time

Publication of call for proposals n.a.

Deadline for submission of applications

Meeting 1

Meeting 2

Etc.

2. Participants

Name Representing Role5

3. EvaluationIn line with the guidelines for applicants, the evaluation committee proceeded with the first step of the evaluation process as follows.

In total, <XXX> applications were received. Each one was given a serial number. This number was marked on all copies of the application and will be used throughout the evaluation process as the sole reference. The full list of the applications received is attached in annex.

The originals of the applications have been filed with the Contracting Authority.

3.1 Check that the deadline for submission of applications has been metThe following applications were submitted after the deadline and are therefore excluded from further examination.

Applic. No The applicant Date & time of submission

5 Evaluator, assessor, observer, chairperson, secretary

3.2 Check that the concept note satisfies all the criteria specified in the checklist in Annex IV/aThe completed administrative checklists for each of the applications submitted by the deadline are attached. As a result of the checks, the evaluation committee decided to exclude the following applications from further evaluation.

Applic. No The applicant Reasons for elimination

Decision on the evaluation of concept notes

As a result of the checks, the evaluation committee decided to examine the concept notes of the following applications for a total requested contribution of EUR <XXX >.

The list of administratively compliant applications sorted by sector, issue or geographical area is attached in annex.

Applic. No The applicant Requested contribution

3.3 Concept note evaluationThe evaluation committee used the evaluation grid to assess the relevance and design of the action.

The evaluation committee subsequently deliberated on the basis of these analyses.

The evaluation committee completed the evaluation of the concept notes and drew up a list of pre-selected concept notes whose applicants will be invited to submit full applications. The concept notes were ranked according to the total [average] of the scores awarded.

The concept notes awarded lower scores than those pre-selected are also listed below.

The evaluation grids of all the concept notes examined are annexed to this report.

4. Conclusions

4.1 Concept notes recommendedThe following concept notes are recommended for pre-selection

The list of recommended concept notes sorted by sector, , issue or geographical area is attached in annex.

Applic. No

The applicant Average score

Requested grant

Comments

Number of pre-selected concept notes: <XXX>.

Total requested amount of preselected concept notes: EUR/ALL <XXX> (sum of the requested contributions)

Total available amount: EUR/ALL <XXX>.

4.2 Concept notes not recommendedThe following concept notes are not recommended for pre-selection:

The list of concept notes not recommended sorted by sector, issue or geographical area is attached in annex.

Applic. No Applicant Average score

Comments

E.g that the minimum threshold of 30 was not reached

Number of unsuccessful concept notes: <XXX>.

5. Signatures

Function Name Signature

Chairperson

Secretary

Evaluators

Approved by the Contracting Authority:

Name: ________________________________ Title: ________________________________

Signature: ________________________________ Date: ________________________________

ANNEX IV/b

ADMINISTRATIVE CHECK FORM – Full Application Form(For internal use during evaluation form – to be attached to each application specifically)

APPLICANT

APPLICANT NUMBER

TITLE OF THE PROJECT

LOT NUMBER

Title of the Proposal:

Before sending your full applicationcheck that each of the criteria below have been met in full: Yes No N/A

1. The correct sub-grant application form has been used.2. The Declaration by the applicant has been filled in and has been signed.3. The proposal is typed and is written in an eligible language for this call. (Where more than one language is allowed, the proposal is drafted in the language most commonly used by the target population in the country in which the action takes place.)4. One original is included5. An electronic version of the concept note (CD-ROM) is enclosed6. The budget is enclosed, in balance, presented in the format requested, and stated in EUR.7. The duration of the action is equal to or higher than the maximum allowed in section 2.1.2 of the guidelines.8. The requested contribution (amount) is equal to or lower than the maximum allowed in section 1.3 of the guidelines.9. The requested contribution has not been changed by more than the ammount allowed compared to the amount requested at the concept note stage.10. The applicant satisfies the eligibility criteria in section 2.1.1. of the guidelines.

11. The supporting documents were submitted

12. The statutes of the applicant organisation have been submitted

13. Copy of the applicant's latest accounts has been provided

14. The Legal Entity File has been duly completed and signed by the applicants and the supporting documents requested have been enclosed

15. A Financial Identification has been provided by applicant

DECISION YES NO

The SCP has decided that the application passes the administrative check.

The SCP has requested the missing documents

The SCP has rejected the application

Signature of the Secretary ___________________________________

Signature of the Chairperson __________________________________

*based on the step 4 of this Manual, points 1 & 3 of this step: if any of the answers to these questions is

NO, then decision to be taken is The SCP has rejected the application

** based on the step 4 of this Manual, point 2 of this step, if any of the answers in regards to

Administrative Check is NO, then decision to be taken is The SCP has requested the missing documents

ANNEX V/b – Full Application Form

ADMINISTRATIVE CHECK TABLE OF THE APPROVED/REJECTED PROJECTS

PROPOSALS BY THE EVALUATING MEMBERS

Title of the call: Language to be used:

Reference number: Max amount allowed:

Date/period of administrative check: Max. duration of the project:

Number of the Cycle: Eligible Area:

Number of Lot: Deadline for submission:

No. Name of the organization

Title of the project Protocol number

Request for missing/additional documentation

List of documentation received

List of missing documentation

Decision Points of no compliance as per manual to be shared with Applicant (incl. Part B of the Checklist for Applicants)

Accepted

Rejected

POSITION NAME AND LAST NAME SIGNATURE

Attach all clarification correspondence with applicants

ANNEX VIIIFULL APPLICATION EVALUATION GRID

Grid completed by _________________________________________ Date: __/__/2___

I. IDENTIFICATION DATA

Reference number:

Applicant:

Title of action:

Region(s) or country/ies targeted:

Amount requested: EUR _________ ALL _________

Duration: ___ months

Scoring guidelinesThis evaluation grid is divided into sections and subsections.

The evaluation grid is divided into sections and subsections. Each subsection must be given a score between 1 and 5 in accordance with the following guidelines:

These scores are added to give the total score for the section concerned. The totals for each section are then listed in section 6 and added together to give the total score for the full application.

Each section contains a box for comments. These comments should address the issues covered by that section. Comments must be made on each section. Extra space may be used for comments if required.

Insert the reference and/or passages of the relevant section in the full application as well as any comment, remark and justification concerning the evaluation of the subsection. Note that upon request, the applicants may be given the comments and justifications provided.

Score Meaning

1 very poor

2 poor

3 adequate

4 good

5 very good

II. EVALUATION GRID

1. Operational capacity Score

1.1 Do the applicants and affiliated entity(ies), if applicable, have sufficient experience of project management?

/ 5

1.2 Do the applicants and affiliated entity(ies), if applicable, have sufficient technical expertise? (specially knowledge of the issues to be addressed.)

/ 5

1.3 Do the applicants and affiliated entity(ies), if applicable, have sufficient management capacity? (including staff, equipment and ability to handle the budget for the action)?

/ 10

Minimum score is 4 and maximum score is 20 for this dimension of the evaluation grid.

Comments & Justification:

If the total score for this section is less than 12 points, the application will be rejected. If the score for at least one of the subsections is 1, the application will also be rejected. In case of doubts on compliance, the evaluation committee may decide to issue a request for further proofs to the applicant. Where the guidelines for applicants allow for financial support to third parties and the applicants propose such financial contribution to third parties, it has to be verified that the applicant offers adequate guarantees as regards the recovery of amounts due.

2. Relevance of the action6 Score

Score transferred from the concept note evaluation /30

Total score: /30

Comments:

6 Since the relevance will be evaluated during the first phase (the concept note evaluation) the scores taken on the Concept Note will be transferred here.

3. Effectiveness and feasibility of the actionSection in

the full application

Comments Score

3.1 Are the activities proposed appropriate, practical, and consistent with the objectives and expected results?

/ 10

3.2 Is the action plan clear and feasible? / 10

Total score: / 20


4. Sustainability of the actionSection in the

full application

Comments Score

4.1 Is the action likely to have a tangible impact on its target groups?

/ 5

4.2 Is the proposal likely to have multiplier effects? (Including scope for replication, extension and information sharing.)

/ 5

4.3 Are the expected results of the proposed action sustainable?:

- financially (how will the activities be financed after the funding ends?)

- institutionally (will structures allowing the activities to continue be in place at the end of the action? Will there be local “ownership” of the results of the action?)

- at policy level (where applicable) (what will be the structural impact of the action — e.g. will it lead to improved legislation, codes of conduct, methods, etc?)?

- environmentally (where applicable) (will the action have a negative/positive environmental impact?)

/ 5

Total score: / 15


5. Budget and cost-effectiveness of the action Section in the Comments Score

full application

5.1 Are the activities appropriately reflected in the budget?

/ 5

5.2 Is the ratio between the estimated costs and the expected results satisfactory?

/ 5x2

Total score: / 15


General comments (major strong points and weaknesses).

6. Total score and recommendations Score

6.1 Operational capacity / 20

6.2 Relevance of the action / 30

6.3 Effectiveness and feasibility of the action / 20

6.4 Sustainability of the action / 15

6.5 Budget and cost-effectiveness of the action / 15

TOTAL : / 100

Recommendation: Not provisionally selected :

ANNEX IX

Evaluation Report – Full Application FormStep 2


Call for proposals reference: < >Title: <>

Type of procedure: restricted

EVALUATION REPORT - STEP 2 - FULL APPLICATION EVALUATION

ContentsTimetableParticipantsEvaluation- Check that the deadline for submission of applications has been met- Check that the full application satisfies all the criteria specified in the checklist. This

includes also an assessment of the eligibility of the action. - Evaluation of the full application

Conclusions- Decision on evaluation of full applications Provisionally recommended applicationsReserve listOther proposals

AnnexesCompleted administrative checklists Declaration of objectivity and confidentiality Annex IIDeclaration of impartiality and confidentiality Annex IIICompleted evaluation gridsClarification correspondence with applicant

1. TimetableMeetings Date Time

Meeting 1

Meeting 2

Etc.

2. ParticipantsName Representing Role7

3. EvaluationIn total, <XXX> applications were received. Each one was given a serial number. This number was marked on all copies of the application and will be used throughout the evaluation process as the sole reference. The full list of the applications received is attached in annex.

The originals of the applications have been filed with the Contracting Authority.

3.1 Check that the deadline for submission of applications has been metThe following applications were submitted after the deadline and are therefore excluded from further examination.

Applic. No The applicant Date & time of submission

3.2 Check that the criteria mentioned in the checklist are fulfilled The completed administrative checklists for each of the applications submitted by the deadline are attached. As a result of the checks, the evaluation committee decided to exclude the following applications from further evaluation.

Applic. No The applicant Reasons for elimination

Conclusions on administrative compliance

7 Evaluator, assessor, observer, chairperson, secretary, etc.

As a result of the checks, the evaluation committee decided to examine the full applications of the following applications for a total requested contribution of EUR/ALL <XXX >.

The list of administratively compliant applications, sorted by sector, issue and geographical area. is attached in annex.

Applic. No The applicant Requested EU contribution

The total available budget for this call is EUR <XXX>.

The evaluation committee used the evaluation grid to assess the quality of the full applications, including the budget and the capacity of the applicants and affiliated entity(ies). .

The evaluation committee subsequently deliberated on the basis of these analyses.

The summary of discussions and the approach adopted by the evaluation committee.

The evaluation committee finalised the evaluation and established a list of provisionally selected proposals pending eligibility check. These proposals are ranked according to the total scores obtained, giving the amount of the grant requested and the rate of financing of eligible costs recommended for each application. A reserve list was also drawn up following the same approach.

The remaining applications considered during the evaluation, which were awarded lower total scores than those provisionally selected, are also listed below.

The evaluation grids of all the full applications examined are annexed to this report.

4. Conclusions4.1 Full applications recommended for provisional selection

The following applications are recommended for provisional selection:

The list of provisionally selected full applications, sorted by sector, issue or geographical area is attached in annex.

Application sequence No

The applicant Average score

Recommendedgrant amount

Recomm.percentage(s) %

Comments

Number of provisionally selected applications: <…>.

Total amount of provisionally selected applications: EUR <…> (sum of the contributions requested).

Total available amount: EUR <…>.

4.2 Full applications not for provisional selection but put on a reserve list until <date>

The following applications are recommended for the reserve list:

The reserve list, sorted by sector, issue or geographical area is attached in annex.

Applic. No The applicant Average score

Recommendedgrant amount8

Recomm.percentage(s) %

Comments

4.3 Full applications not recommended for awarding a grant contract

The following applications are not recommended:

The list of unselected full applications, sorted by sector, issue or geographical area is attached in annex.


Comments

E.g. the applicant(s) did not obtain the minimum score of 12 required for capacity

Number of unsuccessful full applications: <…>.

5. SignaturesFunction Name Signature

Chairperson

Secretary

Evaluator


Name: ________________________________

Title: ________________________________

Signature: ________________________________

Date: ________________________________

8

ANNEX X

Evaluation Report – Final Eligibility ChecksStep 3


Call for proposals reference: < >Title: < >

Type of procedure: open Call for Concept Notes restricted for the full application form

EVALUATION REPORT - STEP 3 - FINAL ELIGIBILITY CHECKS

ContentsTimetableParticipantsEvaluationConclusionsRecommended applicationsReserve listOther applications

AnnexesDeclaration of objectivity and confidentiality Annex II; & Declaration of impartiality and confidentiality Annex III Declarations made by the applicants of the grant application form and assessment grid section of the application formClarification correspondence with the applicant – if any

1. Timetable

Meeting Date Time

Meeting 1

Meeting 2

Etc.

2. ParticipantsName Representing Role9

3. EvaluationThe total available budget for this call is EUR <XXX>.

The evaluation committee used the declarations by the applicants part of the section of the grant application form, the checklist part of section of the grant application form and the assessment form also part of the section of the grant application form to assess the eligibility of the provisionally selected applicants and their affiliated entity(ies), and cross-checked them with the supporting documents provided. The evaluation committee then discussed them.

The summary of the discussions and the approach adopted by the evaluation committee.

From the full applications recommended for provisional selection and a reserve list, the evaluation committee, drew up three lists, as set out in section 4.

The evaluation committee has checked that none of the proposed applicants have been recorded at exclusion level in the Early Detection and Exclusion System.

The checklists for all the full applications examined are annexed to this report.

4. Conclusions

4.1 Full applications recommended for the award of a grant contractThe following applications are recommended for the award of contract.

The list of full applications recommended, sorted by sector, issue or geographical area is attached in annex.



Recommendedpercentage(s) %

Comments

Number of applications selected: <…>.

9 E.g. Evaluator, assessor, observer, chairperson, secretary, etc.

Total amount requested for the selected applications: EUR <…> (sum of the contributions requested)

Total amount available: EUR <…>.

4.2 Reserve list of eligible applicationsExperience shows that during the evaluation of the proposed budgets for the actions, some proposals will have to be revised/reduced and this may leave room for additional awards. Hence the need for a reserve list of applications. The following applications are recommended for the reserve list: The reserve list of eligible applications, sorted by sector, issue or geographical area, is attached as annex.



Recommendedpercentage(s) %

Comments

Number of applications on the reserve list: <…>.Total amount requested for applications on the reserve list: EUR <…> (sum of the contributions requested)

4.3 Ineligible applicationsThe following applications were found to be ineligible:

Applic. No

The applicant [Average] score

Comments

5. Signatures

Function Name Signature

Chairperson

Secretary

Evaluator


Name: ________________________________ Title: ________________________________

Signature: ________________________________ Date: ________________________________

ANNEX XI

PUBLICATION AWARD FORM

GRANT CONTRACTS AWARDED DURING <Month/ Year >

FINANCING SOURCE: WVA – through the EU co-funded project ‘Youth Standing Up for Human Rights in Albania

Sub-Grants awarded under call for proposals <Publication reference> published on <Publication date>

Contract Number

Beneficiary(ies)

Name & Address

Nationality Action title Action

location

Action

duration

(in

months)

Sub-Grant amount10 (EUR/ALL <…>)

10 Sub-Grant amount means the financial contribution provided by the Contracting Authority

Documents

€¦ · Web viewThis project is co-funded by the European Union. Sub-Granting Manual. Supporting human rights defending organizations through sub-granting scheme