GRANT CONTRACT- EXTERNAL ACTIONS OF THE EUROPEAN UNION

Kel: FOÖD/2Ö16/379-240

(lhe ‘Contract’) .

The European Union, represented by the European Commission,

(the ‘Contracting Authority’)

and

CARE DENMARK FONDEN FOR FRIVILLIG U LANDSBISTAND

Registration No. 12921047

JEMTELANDSGADE 1.

2300, P.O. BOX 698

KOBENHAVN, DENMARK .

hereinafter the “Coordinator”

of the one part,

and

FRIENDS OF THE NATION

Registration No.54,457

P.O. BOX MC 11

TAKORADI

GHANA

and

OXFAM GB LBG

Registration No. 612172

OXFAM HOUSE

2700 JOHN SMITH DRIVE

COWLEY BUSINESS PARK

OXFORD OX4 2JY

who have conferred powers of attorney for the purposes of the signature of the agreement to the Coordinator1, collectively referred to as “Beneficiary(ies)” where a provision applies without distinction to the Coordinator and the co-beneficiary(ies)

of the other part,

(the ‘Parties’)

have agreed as follows:

1 Model mandate provided in Annex A to the Guidelines for Applicants

Page 1 of 4

[Ltßff

CTR 379240

Ref. Ares(2016)7075640 - 20/12/2016

Special Conditions

Article î — Purpose

1.1 The purpose of this C’onlract is the award of a grant by the Contracting Authority to finance the implementation of the action entitled: "Far Ban Bo - Protecting Fisheries Livelihoods” described in Annex 1.

1.2 The Beneficiary shall be awarded the grant on the terms and conditions set out in this Contract, which consists of these special conditions (the ‘Special Conditions’) and the annexes, which the Beneficiary hereby declares it has noted and accepted.

1.3 The Beneficiary accepts the grant and undertakes to be responsible for carrying out the Action.

Article 2 — Implementation period of the Action

2.1 This Contract shall enter into force on the date when the second of the two Parlies signs.

2.2 Implementation of the Action shall begin on: 02 January, 2017

2.3 The implementation period of the Action as laid down in Annex I, is 48 months.

2.4 The execution period of this Contract shall end when the payment of the balance is made by the Contracting Authority and, in any event, at the latest 18 months after the end of the implementation period as stipulated in Article 2.3 unless postponed in accordance with Article 12.5 of Annex II.

Article 3 — Financing the Action2

3.1 The total eligible costs are estimated at EUR 2,062,500 as set out in Annex 111.

3.2 The Contracting Authority undertakes to finance a maximum amount of EUR 1,650,000.

The grant is further limited to 80% of the total eligible cost of the Action specified in paragraph 1.

The final amount of the Contracting Authority’s contribution shall be determined in accordance with Articles 14 and 17 of Annex II.

3.3 Pursuant to Article 14.7 of Annex II, 7% of the final amount of direct eligible costs of the Action established in accordance with Articles 14 and 17 of Annex II, may be claimed as indirect costs.

Article 4 — Reporting and payment arrangements4.1 Payments shall be made in accordance with Article 15 of Annex II option no. 2 as set out in Article

15.1

Initial pre-financing payment: EUR 647,702.00

Further pre-financing payments(s): EUR 837,298.00(subject to the provisions of Annex II)

Balance of the final amount of the grant: EUR 165,000.00

(subject to the provisions of Annex II):

2 In case of action grants, note that the amount awarded and percentages stated in this Article shall also be updated in Annex III Budget of the Action, in the worksheet ‘Expected sources of funding and summary of estimated costs’.

>:

CTR 379240 Page 2 of 4

Article 5 — Contact addresses

5.1 Any communication relating (o this Contract shall be in writing, slate the number and title oľ the Action and be sent to the following addresses:

For the Contractinii Authority

Payment requests and attached reports, including requests for changes to bank account arrangements shall be sent to:

European Commission / Delegation of'the European Union to GhanaFor the attention of the Mead of Finance and Contract Section The Round Mouse, 81 Cantonments Road,P.O. Box 9505 KIA, Accra

Copies of the documents referred to above, and correspondence of any other nature, shall be sent to:

European Commission/ Delegation of the European Union to GhanaFor the attention of the Head of Infrastructure and Sustainable Development Section The Round Mouse, 81 Cantonments Road,P.O. Box 9505 KIA, Accra ;

For the Coordinatorj

The Program CoordinatorCARE DENMARK FONDEN FOR FRIVILLIG U LANDSBISTANDJEMTELANDSGADE I2300, P.O. BOX 698 ■KOBENHAVN, DENMARK

5.2 The expenditure verification(s) referred to in Article 15.7 of Annex II will be carried out by:

Name of audit firm: Contact person: Address:Direct tel.:Email:

Article 6 — Annexes

PwCMr Jesper Møller Troland, Manager Milnersvej 43, DK-3400 Hillerød, Denmark +45 5575 8744 Mobile: +45 2362 4046 jlr@pwc.dk

6.1 lhe following documents are annexed to these Special Conditions and form an integral part of the Contract:

Annex I: Description of the Action (including the Logical Framework of the Projectand the Concept Note)

Annex II: General Conditions applicable to European Union-financed grant contracts for ExternalActions

Annex III: Budget for the Action (worksheets 1, 2 and 3)

Annex TV: Procurement rules for Benefíciary(ies)

Annex V: Standard request for payment and financial identification form

Annex VI: Model narrative and financial report

Annex VII: Tenns of reference for an expenditure verification of a European Union financed grantcontract for external actions and model report of factual findings

Annex IX: Standard Template for Transfer of Asset Ownership

CTR 379240 Page 3 of 4

6.2 In the event oľ a conflict between the provisions oľ flic present Speci;«f Conditions and any Annex thereto, the Special Conditions shall lake precedence. In the event oľa conflict between the provisions of Annex 11 and those ofthe other annexes, those of Annex II shall lake precedence.

Article 7 — Other specific conditions applying to the Action

7.1 The General Conditions in Annex II are supplemented by the following:

7.1.1 The Coordinator must provide an expenditure verification report for any request for further prefinancing and the final report.

Done in English in two originals, one original being for the Contracting Authority, and one original being for the Beneficiary.

For the Beneficiary3 For the Contracting Authority

Name

Date

JO FÜR I JO BEORE

CARE DanmarkTELEFON+45 35 200 100 ADRESSE Jemtelandsgade 1, 2300 København S eVR-nr. 12921047 MAIL care@care.dk WEB www.care.ck

Name

Ignacio BURRULLHead of Cooperation

Signalu

Dat

3 In accordance with the mandate conferred on the Coordinator, (see section 5 of the application form), the Coordinator signs this Contract also on behalf ofthe other Beneficiaries, who, therefore, do not need to individually sign this Contract to become parties to it.

CTR 379240 Page 4 of 4

Annex IDescription of the Action (including the Logical Framework

of the project and the Concept Note)

A.·i

V

Contracting Authority: European Commission

ENSURE GREATER ENVIRONMENTAL SUSTAINABILITY AND SOCIAL EQUITY IN GHANA'S FISHING SECTOR

ANNEX A.2 - Full application form

DCI-FOOD 2015/03 8-099

Reference:EuropeAid/150694/DD/ACT/GH

Dossier No

(for official use only)

IÁ.0L ßi

Page 1

FULL APPLICATION FORM

1 General information

: Reference of the call for I proposals

EiiiOpeAid/I50694/l)I)/ACT/GH

N/A[Lot number you are applying

' Number of the proposal

Name of (lie lead applicant

Title of the action Far Ban Bo - protecting Fisheries Livelihoods

DCI-FOOD/2016/150694/3

CARE Danmark

Country: GhanaRegions and districts: 30 districts in Western, Central, ¡i

Location of the action

Greater Accra, and Volta regions (see Appendix 1 below) |

48 months I. ... t . . · . . ■ .·. . . ?!

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Duration of the action

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2 The Action

2.1. Description of the Action

2.1.1. Description

2.1.1.1 The Objectives of the Action

The Action, Far Ban Bo (meaning ‘protecting the fishing livelihoods’ in fante), has been prepared jointly by the consortium consisting of Friends of the Nation (FoN), Oxfam, and CARE (referred to as "the consortium”) based on inputs from key fishery stakeholders, including smallholder fishery associations, the Fisheries Commission, and members of the civil society Fisheries Alliance. The proposed Action is based on a thorough analysis of global frameworks, national sector policies, current initiatives in the sector and how they impact on the sector as a whole, and in particular local fisheries economy. The Action builds on the experiences of the consortium members in the fisheries and natural resource management sector, drawing on their comparative advantages.

The Action has been designed to address the challenges of overfishing and unsustainable fishing practises also known as Illegal, Unreported and Unregulated Fishing (IUU), weak capacity for monitoring and enforcing relevant laws, and lack of secure tenure rights and grievances mechanisms. The Action will, strengthen the capacity of fishery associations to engage in equitable fisheries governance and ensure safeguards for poor, vulnerable smallholder fishers in the context of capacity reductions. The lack of alternative livelihoods for smallholder fishers leads to continued pressure on the fishery resources and lack ofjncentiv.es to reduce illegal and unsustainable practises. Therefore, the action will not only reduce IUU throiigh better monitoring but also support smallholder fishers, and particularly women, to engage in sustainable and alternative livelihood activities to increase their food and nutrition security. In this way, the Action takes a holistic approach to fisheries management aiming at long-term sustainability and impact at scale. ■ .

'ij'1^'pïöyej1fö;'QCl.\iéeè jrity and nutrition aņd livelihoods, of smallnapie Tisnerie,s .resources managemerii .io .· ipidéfCfisierséand oţher ¡users; of fishery

Th specific obje ¿t| ve j s ţ in^it ^ nii a ! I h o (id é T fî s hé rs and" ċ» roceis sèrslbenèfiffròrii equitable and sústâinablé·nghts-based fisher Щг0^йгс00!ШаЬад^реп1;;;;': ;· : -г-ГлМ

These objectives are in line with the specific objective of the Call, which is to improve the governance of fisheries in line with the Voluntary Guidelines on the Responsible Governance of Tenure (VGGT) of Land, Fisheries and Forests in the context of national food security, with a particular focus on female and male smallholder fishers and other disadvantaged stakeholders of the fisheries value chain to promote food and nutrition security. :

The Action will achieve impact at scale by 1) covering a large area and involving the key fishery actors. 2) Contributing to and complementing other key sector initiatives and partnerships, 3) actively scaling up good approaches through advocacy at sector level. Sustainability will be achieved by strengthening both civil society, private sector and state agencies, and facilitating their interaction through multi-stakeholder platforms to enhance equitable fisheries governance át all levels.

2.1.1.2 The Expected Results and target groupsThe Action will deliver three expected results to achieve the objectives:ER1 : Empowered Smallholder Fishery Associations take Active Part in Fisheries GovernanceThis expected result focuses on strengthening the capacities of smallholder fishery associations especially the following artisanal fishers’ associations: The Women’s National Fish Processors and Traders Association (NAFPTA), Ghana National Canoe Fishermen Council (GNCFC), National Inland Canoe Fishermen’s Association (NICFA), Ghana Inland Fisheries Associations (GIFA). Signs of success will include

; Λ»

that fishery associations, including women members and leaders, have capacity to engage with the Fisheries Commission and key stakeholders, and participate in the implementation of fisheries policies and laws by formulating suggestions, participating in co-management discussions and piloting, as well as in multi­stakeholder meetings to review and provide feedback on enforcement activities and general fisheries governance,The Action will also focus on strengthening the Fisheries Alliance (25 CSO members) to engage in fisheries sector governance processes. Signs of success will include the ability of the alliance to plan and carry out joint evidence-based advocacy campaigns and engage constructively with government and private sector duty bearers. The media will play a key role in this Action, both as a conduit for awareness creation and as a “watch dog" monitoring and reporting on the fishery governance issues. Targeted media organisations/joumaiists will benefit from a series of capacity strengthening initiatives to support their functions,List of Activities under ER1

ER2: Effective IUU Monitoring and Grievance Mechanisms PilotedER2 is designed to ensure that fishing practices take place within the context of approved laws and regulations while ensuring equity and inclusion and rights of tenure of the smallholder fishers. The Action will pilot models for community-based IUU monitoring and grievance mechanisms with the view to scaling up and institutionalizing the mechanisms. The target groups to be involved are the smallholder fishery associations, key private sector fishery actors including the National Fisheries Association of Ghana (NAFAG), the Industrial Trawlers Association, the In-shore Fishery Association (approximately 20 companies, representing. 2,500 people), and the enforcement agencies and government stakeholders' including the Parliamentary Select Committee in charge of fisheries (20), Ministry of Fisheries & Aquaculture (15), Fisheries Commission, Fisheries Enforcement Unit at the two enforcement commands in Takoradl and Teina (50), Environmental Protection Agency (10), Attorney General’s Department (4), Ghana Navy and Marine Police (700). The Action will create multi-stakeholder platforms as institutionalized spaces for interactions between all fishery stakeholders to discuss, monitor and implement fishery laws and development strategies and policies to improve fishery governance and ensure the sustainability of the sector. Signs of success will be institutionalized multi-stakeholder platforms, functioning community-based monitoring mechanisms,, and timely responses by authorities to grievances reported. ICT based IUU reporting will enable more accurate and rea! time information and lead to better evidence collection as a basis for follow up and prosecution;.ER3: Social and Economic Safeguards Contribute to Improving Livelihoods and Nutritional Status

of Smallholder Fishers and other Users of Fishery ResourcesER3 will contribute towards ensuring that smallholder fishers and other users of fishery resources, among them women and vulnerable groups, are safeguarded in the context of capacity reductions and have access to sustainable fishery and alternative livelihood strategies to ensure food and nutrition security for themselves and their families. The Action will help develop and demonstrate sustainable livelihood models along the fishery value chain, anaiyse alternative livelihood options, and enable fishers to save and invest in new livelihood strategies through savings and loans groups. Social accountability mechanisms wilt be used to ensure improved service delivery to poor and vulnerable smallholder fishers from the relevant government service providers. The strengthened capacity of fishery associations to analyse their situation and advocate for equitable co-management models and demand services, including fishery extension services but also health, nutrition and education related services, will ensure sustainability beyond this project. The Action will link fishery groups and associations up with existing democratic mechanisms, such as the district annual planning cycle to enable rights claiming and constructive dialogue with authorities after the project ends.

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2.1.1.3 ActivitiesActivities to Deliver Result 1: Empowered Smallholder Fishery Associations take Active Part in Fisheries Governance

Activities designed to achieve this result are geared towards strengthening the capacity of smallholder fishery associations and other civil society organisations to participate actively in multi-stakeholder dialogues and other forums to influence policies in favour of the vulnerable fishery communities.Activity 1.1 Develop information, Education and Communication Materials, and Trainers Manual

on VGGT1 Guidelines, Co-management, lUUs and other Fisheries Policies & laws

Conduct needs assessments to inform the development of IEC materials and related capacity improvements interventions. This assessment together with the baseline survey will help to gauge the knowledge gaps and needs in relation to IUU and VGGT in particular, and on fisheries governance in generai. Sets of IEC materials will be developed in line with Identified needs and shared among the target groups (Fisheries. Alliance, Smallholder Fishers, Community Monitoring Groups on lUUs, the Media and the Private Sector). The content will explain the VGGT and key fishery policies and their practical implications in an easily comprehendible manner. The message and content in the IEC materials will be tailored to the needs and educational level of the various target audiences. This also include the use of pictograms and storyboards which can be understood by people with low literacy skills.Training manuals will be developed based on the contents of the training programmes and the target group. Manuals will be made on VGGT Guidelines, Co-management, lUUs and Fisheries Polices and laws.Activity 1.2 Assess and develop organisational capacity of smallholder Fisheries Associations

. and the CSO Fishery AlliancesThe organisational and institutional capacity development activities for the smallholder fishery associations, NAFPTA, GŃCFC, NICFA, GIFA, will be based on an initial participatory capacity assessment using tested assessment tools, and (he Consortium will support associations and networks to develop capacity development .actions plans and support their implementation. For the capacity building to be effective, the process must be owned by the associations and they must be in the driving seat of defining their own organisational. goals and strategies. The Consortium will deliver demand-driven and tailored capacity development support based on the identified and expressed needs.The approach to capacity development will encompass both direct strategies (such as training, mentoring and coaching), and indirect strategies (making information available and supporting learning through networking opportunities).

Capacity development will focus on 1) organisational/institutional capacity including internal systems and processes to make the organisations more efficient, effective, representative of women and vulnerable groups and accountable to their constituents; 2) technical capacity to enable the associations to engage in fishery issues with sound knowledge of fishery laws including VGGT, governance systems including co­management models, and government planning cycles and possibilities for influence; 3) networking and advocacy capacity including advocacy planning and political negotiation skills.The Action will support the participation of the National Women Association of Fish Processors and Traders Association (NAFPTA), Ghana National Canoe Fisheries Council (GNCFC), National Council of Inland Canoe Fish to participate in the multi-stakeholder dialogue initiated under this project as well as the national level dialogue series under the West Africa Regional Fisheries Programme and the USAID funded Sustainable Fisheries Management Programme (USAID-SFMP). The Consortium will prepare the associations with information needed to partake in these meetings.Horizontal links between associations and vertical links between local groups and associations at the district and national level will be facilitated to give the smallholder fishers a greater voice in advocacy and policy dialogue. This will contribute to strengthening a movement of organized smallholder fishers with a strong voice at the local and the national level.The Women National Fish -Processors and Traders Association (NAPFTA) will be supported in widening their membership base and connecting to the grassroots women’s groups to make the organisation truly

1 “Voluntary Guidelines for Securing Sustainable Small-Scale Fisheries in the Context of Food Security and Poverty Eradication” - a FAQ sector-specific version of the VGGT.

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representative and enable it to play a key role in bringing issues from the local level up at the district and national level through multi-stakeholder dialogues and other policy forums. Specific attention will go to encouraging and grooming women members within the fishery associations to take up leadership positions and to represent the associations externally.The CSO Fishery Alliance will be supported to improve their ability to analyse policies, collect, analyse and present evidence and provide coordinated and constructive policy input based on the evidence, and plan and implement joint advocacy plans. The annual natural resource sector review organized by the civil society platform KASA will be used as an opportunity for the alliance to present evidence and jointly send messages to fishery sector policy makers,

Activity 1.3 Train selected (45) media organisations/journailsts on fisheries governanceThe role of media in this Action Is crucial in regard to information dissemination and follow-up on cases to demand responses to issues of tenurial rights violations affecting smallholder fishery communities. The selected media organisations/journalists will be targeted with trainings on fishery laws and governance issues by the Consortium to increase their understanding and appreciation of the issues in the fisheries sector. They will be supported with information on fishery sector issues, laws and policies including VGGT and IUU to enable them to create awareness among citizens on fishery sector issues. The Action will facilitate their engagement in sector dialogues and support them to report on the sector activities.

Activity 1.4 Advocate for equitable co-management modelsThe Consortium recognises co-management as good model for participatory governance in the fisheries sector. However, the implementation of co-management models has been limited, and there is no legal framework and policy, which supports the implementation. To advocate for equitable co-management, the Consortium will: .1.4.1. Develop two citizen report cards on "the state of fisheries governance in Ghana” with fisheries

. stakeholders

Citizen’s Report Card is a tool to capture citizens’ perception of issues or services that affect them. It involves the use of assessment tools like questionnaire and Focu3 Group Disoussion for data gathering and analysis. This Action will conduct two (2) citizen report card processes, one in the 2nd and one in the 4th year, with a view to providing an alternative report on ”the State of Fisheries Governance in Ghana”. CARE will outsource this study to a consultant with experience in the process to emphasize the' independent nature of the report. The report will be based on the analysis of citizens' perception and will contain recommendations, which will target both local and national level policy and decision-makers. Recommendations for the national levei will include suggestions for changes to legislation and policies (including the Laws on Fisheries), whereas at local level they will focus on how existing laws and policies can be better enforced and implemented and how access to services can be improved.1.4.2. Develop policy briefs, position papers and fact sheets

The Citizen Report Card and other evidence collected will inform the development of policy briefs, position papers and fact sheets for dissemination. The precise number of papers (policy briefs, position papers among others) will be determined by the issues that arise, but will include: documentation of experiences with different co-management models, women’s access and tenurial rights to fisheries resources, and the impacts of policies and programmes on women fishery communities.1.4.3. Co-organize annual sector reviews

In collaboration with the Kasa Ghana initiative, a civil society platform for coordinated engagement on natural resources and environmental governance in Ghana, (supported by CARE), annual natural resource and environmental governance sector reviews will be organized, where civil society presents its alternative reports and evidence of policy implementation and issues in the sector to the government and to development partners supporting the sector. This platform is made up of civil society networks and coalitions on Land, Water, Fisheries, Forest, Mining, Oil and Gas, Environment and Climate change. The Fishery Alliance will be supported to organize a fishery sector review where the citizen report card will be presented along with other evidence collected in the course of the year. The fisheries reviews will be linked to and given prominence during the national level annual sector reviews to promote shared learning, coordination and integrated approach in natural resources governance. There will be media briefings and follow up

targeted dialogues on the outcome of the reviews and the progress on implementation of the recommendations.

Activities to Deliver Expected Result 2: Effective IUU Monitoring and Grievance Mechanisms PilotedThe activities under Expected Result 2 are designed to develop a model for community based monitoring of IUU and mechanisms for voluntary self-regulatory processes by the private sector and smallholder fishers. The specific activities are:Activity 2.1 Form and train Community-based Monitoring Groups (CMGs) on iUU monitoring,

reporting and documentation, in line with the VGGT and relevant laws and policies, in 4 coastal fishing regions and 1 inland fishing district

Five (5) Community-based Monitoring Groups will be formed as pilots: one group will be formed in each of the 4 coastal Regions and one will be formed in an inland district to be determined. The CMGs will receive ÎUU monitoring training including training in evidence gathering. The monitoring groups will monitor and document IUU activities and grievances regarding tenurial access and infringements on Inshore Exclusion Zones (IEZ) in their respective zones. Their work will include collecting primary evidence of fishing in the IEZ by trawlers, Illegal Transhipment, dumping offish and other local IUU practices and reporting this to the iUU committees at local level who will then report to the authorities at the two regional enforcement units.To avoid overlap with other initiatives, the CMGs will be piloted in communities different from those selected by USAID/SFMP, the Fisheries Commission or other partners. The strategy is to complement on-going efforts. .Twice a year;in connection with the bi-annual multi-stakeholder forums, CMGs and other similar groups will share lessons, experience and present recommendations to policy makers on the way forward for community participation in IUU monitoring. Success stories and most significant change stories will be documented and shared with stakeholders to inform other similar processes and replication of the groups tò other areas.Activity 2.2 *Develop and operationalize an fCT tool for monitoring and reporting on, IUU fishing-In past cases, when smallholder fishers have tried to report IUU practices (including illegal trawling, Illegal 'Transhipment, dumping offish, etc.) they have often been unable to provide the accurate description of the ^vessels (e g. the colours, name, registration numbers) or adequate information on the location. Simple smart

phones will therefore be introduced and used to gather evidence as they allow fishers to take pictures and short videos of IUU practices. The smart phones will have in-built GPS that can give the coordinates of the actual location of the activity, The CMGs will be trained on how to use the Smart phones for accurate evidence gathering. The introduction and the use of the smart phones to collate adequate evidence of IUU is in line with section 121 of the Fisheries Act (Act 625) of 2002, that supports the use of photographic evidence for fisheries enforcement and prosecution. The evidence will be sent to Fisheries Enforcement Units who are responsible to keep a register of grievances and prosecute the offenders.Activity 2.3 Develop an online open platform for collecting and analysing IUU reportsThe Action will support the establishment of an open platform where the different initiatives in the sector can upload evidence of IUU. This will compile information reported by the CMGs supported by this Action but also include IUU information from other initiatives e.g. USAID/SFMP’s Vodafone Fishers’ Club, Citizen’s watch on the sea, as well the Monitoring for Environment and Security in Africa (MESA) Earth Obsei valion tool·. . . ' ·The consortium partner, Friends of the Nation, is already tracking the number of cases reported and the follow up by authorities, but there is я need to develop a shared and opon platform, which can bring together information from other initiatives to create a better evidence base. The idea is to have an independent civil society monitoring mechanism, which will be complementary to the government monitoring mechanism. The issue of who should host the site in the future will be discussed during coordination meetings with other fishery sector initiatives.The platform will have an application that can analyse data based on requested information e.g. number of cases of transhipment recorded by location, etc. The application will have a map that wilt indicate the location of particular IUU activities. It will also present data on a dashboard in charts and other graphic illustrations. The platform will be linked to the FAO transversal project’s portal, which is a web-based

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i....

t ' ■ 1

knowledge management system for learning and sharing of experiences on IUU, VGGT and other relates issues, Friends of the Nation wiil update the site weekly, until stakeholders have started uploading information themselves, to ensure up-to-date Information. When the site is up and running it will serve as a rich source of information on IUU for policy makers in government, fisheries managers, community fishers, journalist/media persons, researchers, CSOs, and development partners. Also change or success stories from the activities of the project, including photo-stories and relevant short videos will be developed and made accessible through the knowledge management portal. The Advocacy, Media & Communication together with the M&E officer, wili play lead role in ensuring this platform and related knowledge management products are effectively functional.

Activity 2.4 Form local IUU grievance committees for immediate follow up to cases reportedIn order to secure immediate response and follow up to IUU cases reported by the CMGs, local committees will be formed in the communities where the CMGs are working to deal with the cases. The committees will also help to resolve conflicts arising, for example when local fishersmen's gear has been destroyed or taken away by industrial trawlers. It is currently a challenge that local fishers have nowhere to submit their complaints (enforcement units are often far away) and that follow up is slow or inadequate, This reduces incentives for them to report cases.The committees will consist of max. 15 members including district assembly members, chief fishermen and representatives of the women fish mongers. The committees will be supported to keep a local register of cases, which will regularly be submitted to the regional enforcement units and be brought up in the bi-annual multi-stakeholder platform meetings by the CMGs (activity 2.5.).Activity 2.5 Institute bi-annual multi-stakeholder platforms on IUU$ and fishery governanceA multi-stakeholder dialogue platform on IUU and other fisheries governance issues will be established to create a space for fishery associations and the community monitoring groups to raise issues and dialogue with the enforcement units and fishery stakeholders from the government and the private sector. The bi­annual dialogue forums will be held at each of the enforcement commands (i.e. Eastern Command-Tema and Western Command-Takoradi). . .The forums will be used to discuss and review the IUU data collated by the CMGs and other organisations and groups, The CMGs. and other groups can present and discuss the evidence submitted and request a status on the foilow-up actions from the enforcement agencies including the nature of the penalty (fines, etc) imposed on the convicted vessels for greater transparency, The forums will also be used to discuss wider fishery sector issues including status on the implementation of co-management models and safeguards ih connection with capacity reductions.Key stakeholders including state actors (MoFAD, Fisheries Commission, judges, and prosecutors), media, traditional leaders, development partners, smallholder fisher associations, monitoring groups, Fisheries Alliance, and private sector will be invited to participate in the multi-stakeholder platforms Tho fisheries prosecutorial network, currently held in Takoradi and Accra by the USAID/SFMP with only few selected government stakeholders, will be included in this wider forum. The platform will serve to monitor the effectiveness of the Implementation of the National Plan of Action against. IUU, as well as serve as a space for exchanging knowledge and experiences as pertains to IUU policies and programmes

Capacity strengthening and involvement of the Judiciary: One of the sustainable approaches for addressing IUU is providing adequate deterrence mechanism which includes effective arrest and successful prosecution of the fisheries cases. Capacity of the judiciary to adjudicate fisheries cases is key requirement for successful prosecution, therefore; the project will work with partners to ensure that the judiciary have the necessary capacity to support combating IUU.Already the World Bank funded WARFP project with the MOFAD has initiated processes to have dedicated Courts for fisheries cases and have started capacity development programme for the judiciary on ÍUU and other fisheries issues since 2015. Also the USAID/SFMP project is working with the Attorney Generals Department, fisheries enforcement officers and the Judiciary in both the western and Eastern Commands to strengthen fisheries prosecution through series of workshops and the training programmes outlined from 2015 to 2019.

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This project will support the ongoing comprehensive fisheries prosecution and adjudication Capacity development programme by both the USAID/SFMP and the WARFP by providing multi-stakeholder IUU platforms to learn and share strategies to strengthen fisheries prosecution. Specifically selected judges and lawyers from the AG’s department will be included in the multi-stakeholder IUU platforms for knowledge exchange on IUU combating. Also records and documentations for the local IUU committees will be shared with the judiciary caucus on fisheries to contribute to improved fisheries prosecution.

Activity 2.6 Train the Private Sector Fishers on IUU compliance in the context of the VGGTTraining workshops will be organized for NAFAG members; Ghana Industrial Trawlers Association (GITA) and Ghana Inshore Fisheries Association (G1FA) executives and members on IUU compliance in the context of the VGGT. Training sessions will include the National Plan of Action Against IUU to ensure effective compliance. One-day workshops will be held twice each year and will be planned to coincide with the already planned meetings of the private sector fishers’ associations (e.g. general assemblies).

Activity 2.7 Support the Private Sector fishers' association in developing a “Code of Conduct for IUU" for self-compliance, in line with VGGT principles

The Action will facilitate and support the National Fisheries Association of Ghana (NAFAG) and especially the private sector members, Ghana Industrial Trawlers Association (GITA) and Ghana Inshore Fisheries Association (GIFA), to develop a code of conduct for IUU self-compliance. The executives will be supported to work together to develop this code and once, the code is completed, association heads will sign and endorse it. The, code of conduct will outline the specific approaches that the National Association will use to combat IUU activities. It will send a message about the collective economic benefits from protecting the fishery resources (i.e. sustainable fishing practises) from the Association executives to their members, The code of conduct will also support the Implementation of the National plan of action against IUU. Compliance with the code will be discussed annually in connection with the sector review and bl-annually during the multi-stakeholder dialogue forums. .

Activities to Deliver Result 3: Social and Economic Safeguards Contribute to Improving Livelihoods and Nutritional Status of Smallholder Fishers and other Users of Fishery ResourcesActivity 3.1 Conduct analysis of adverse impacts of capacity reduction strategies on the

livelihoods of smallholder fishers, especially womenSite specific research and analysis of the adverse impacts of different strategies for implementing capacity reductions on the livelihoods and nutrition of fishing communities, particularly women and children will be conducted. The partners and research team will collaborate with government specialists and departments in the fisheries sub-sector, health services and education in the design and data gathering. The study will analyse and generate evidence on the likely impact of capacity reduction on the livelihoods and nutrition security of fishing communities using participatory assessment tools. The study will generate gender- disaggregated data, and reflect views and impacts of capacity reduction, as experienced by women and other vulnerable group directly and indirectly engaged in the fisheries value chain.It is not only capacity reductions, which are expected to have significant implications for the livelihood and food security of fishing communities. The adverse impact of climate change in the form of e.g. rising tidal waves will also be considered in the study and adaptation actions will be recommended. CARE brings extensive experience in community based climate change adaptation analysis, planning and implementation.The findings of the analysis will be validated through a series of public hearings and consultations and ideas will be collected for recommended actions. The meetings will also serve to make the local communities aware of the current and future impact of capacity reduction on their livelihoods and nutrition security. The report will serve as the basis for formulating recommendations and policy proposals to mitigate the impacts of capacity reductions on poor and vulnerable groups and communities. The findings and recommendations will be presented in connection with the national sector review (1.4.3.) and feed into the citizen report card process (1.4.1) and policy briefs (1.4.2.).

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Activity 3.2. Support to livelihood diversification for affected fishers in target communities

Sub-activities include:3.2.1 Conduct Gendered Enterprise and Market Analysis:

Building on the recommendations of the USAID-SFMP gender study and the analysis of the adverse impact of capacity reductions and climate change (3.1.) OXFAM will conduct a Gendered Enterprise and Market (GEM) analysis of local fisheries value chains. OXFAM has developed this method, which assesses opportunities for women to gain economic and social power to move out of poverty. The consortium recognises the need to ensure the active participation of women and vulnerable groups not only because they are more vulnerable, but because they have different perspectives and experiences to share in the development of a broad and truly inclusive market.The analysis will generate a gendered market map detailing the enabling and disenabling factors working in favour and against women’s economic and social empowerment in the fisheries value chain. The analysis will generate gender-disaggregated data and will include analysis of market trends, production services, financial services, business development services and logistics that will support women to upgrade their position in the market,The analysis will identify options for value addition in the fishery value chain for especially women fish processors. Specific strategies will be identified to add value to the fish processing (e.g. using fish products which are otherwise wasted for creating new products). The value addition activities will help women processors to earn greater income from their participation in the fishery value chain. Importantly, the analysis will also point to alternative livelihood activities (e.g. poultry raising), which are critical in the iow season and for fishers affected by capacity reductions (with no access to fishery resources). The women will then be encouraged to form groups based on interest and finance their business activities with loans and savings from the. Village Savings and Loans associations (3.2.2.).3.2.2. Roll-out community-managed saving and loan associations

Limited access to financial services is prevalent among smallholder fishers and processors in Ghana. The 2013 canoe fishers survey indicates that as much as 76% of women smallholder fishers lack access to credit (compared to 46% of men). This prevents them from investing in e.g. equipment that can add value in the fish value chain (e.g. smokers) or from starting alternative income generating activities, The 2015 Gender Plan of the USAID-SFMP recommends focusing on women’s access to credit. .The Action addresses this challenge by facilitating the establishment of community-based and self-managed savings groups following the Village Savings and Loans Associations (VSLA) method (see methods section). 5 Community Based Trainers (CBTs) will be trained and supported to scale up VSLAs in the targeted communities. It is expected that there will be a minimum of 30 VSLA groups, to demonstrate how this approach is not only à tool for financial inclusion, but also a mechanism for social mobilisation of women in vulnerable fishing communities for livelihoods empowerment and better nutrition education and practices. CARE has developed a low-cost model to ensure self-replication of VSLAs. Experienced VSLA members who understand the methodology well and can teach it to others drive this self-replication by establishing new VSLAs. The Community Volunteers charge a fee for training new groups and hence have an incentive. to train more groups.Savings boxes and record books for each group will be provided, but the method involves no external grants as it Is based solely on members own savings. The self-selected groups will be trained using the VSLA training manual and modules to develop rules and regulations, elect key positions, decide on interest and savings amounts and independently run their associations through regular savings and credit meetings. Once this training process is completed, associations begin to save and lend over a supervised period of 9­12 months. During this period, the groups are supervised in tour phases: Preparatory Phase (2 weeks), Intensive Phase (14 weeks), Development Phase (18 weeks) and Maturity Phase (18 weeks). The groups will also be trained in financial literacy, budgeting and leadership skills.3.2.3. Business development training for VSLAs members and other interested groups

As a follow up to the Gendered Enterprise and Market Analysis and the formation of VSLA groups, training wifi be provided In business development and management (e.g. how to start a small enterprise, how to market products) to enable the interest groups to start their value chain or alternative livelihood activities.

Business management skills will be very cardinal in ensuring the success of the enterprises and for them to produce and sell profitably.The consortium in collaboration with fishery associations will train the groups in development and implementation of business plans, which will enable them to operate as a business. Interest groups will be linked to key locai markets (shops, hotels, restaurants) based on the GEM analysis. By doing collective marketing, the negotiation power of the women producers will be strengthened.The project will also facilitate access to business services through the Business Advisory Centres of the National Board for Small-Scale Industries. Record keeping is very important in tracking progress of any enterprise, and the women fishers will receive training to ensure they maintain accurate records and use them when making management decisions, such as whether to upgrade or modernize facilities. Exchange visits among the different producer associations will be encouraged to facilitate peer-to-peer learning.Activity 3.3 Apply community scorecard methodology to improve government services to fishery

communitiesThe demand-side of accountability, involving citizens in assessing performance and holding service providers (duty bearers) accountable, has been weak and ignored in many fishing communities in Ghana. The Action will enhance capacities and develop skills of fishery groups and their associations to engage with the local government and hold the government accountable for the delivery of services to fishery communities. These efforts will be constructive and non-confrontational in nature and complement the monitoring undertaken by the Government.The action will identify and train community facilitators from local fishery groups, community-based organisations, and women leaders across 30 coastal and inland fishing districts in the use of the community scorecard method (see methods section for details). The community facilitators will then be supported to facilitate and solicit community feedback on their access to basic services (for example availability of land beach sites, social protection services such as nutrition and basic health services, access to extension services, and. responsiveness of district authorities to the needs of fishing communities, school feeding among others) in 30 fishing communities. Community scorecard exercises will be conducted and interface meetings organised with district authorities and service providers relevant to fishing communities.Activity 3.4. Ensure access to nutrition information in collaboration with Ghana Health ServicesThe Action will facilitate access to. information for especially women’s community groupa (including but not exclusively members of NAPFTA) and VSLA groups on nutrition and food security measures, including improved hygiene. The Action will leverage Ghana Health Service (GHS) Community Health Volunteers (CHVs) by linking them with the NAPFTA and VSLA groups and facilitating visits from the volunteers to the groups so they can deliver messages and share information materials. Using this approach ensures that CHVs have an organised platform to deliver nutrition education and increase their outreach. The Action will supporr the printing of additional easily understandable materials including picture books and posters for sharing with the groups. The women and their spouses will be encouraged to attend monthly growth monitoring sessions offered by the CHVs at GHS focal points.Activity 3.5. Support mapping, demarcation and documentation of Fish Landing sites.High population growth rate and population density is increasing pressures on land and contributing to settlement expansion resulting in rapid diminishing of farmlands and land availability for fish landing in most coastal communities. A major land use practices contributing to this is the increasing rate of ‘land grabs’ and constructions of hotels and resorts and other industrial arid residential facilities along the beaches/shoreline of Ghana. According to a study by Coastal Resources Centre and Friends of the Nation (2010)2 more coastal lands will be used to develop hospitality businesses and other facilities associated with Ghana’s new oil and gas industry extracting. The report noted that some “traditional authorities/chiefs have already sold/leased and still selling/leasing large tracts of land to both foreign and local individuals/companies for various uses yet to be seen. Also, various places have been earmarked for major oil/gas works including refinery factories” there is growing number of economic, social, political and environmental factors that affects the availability, access and security of tenure of Lands for fishing landing, processing and marketing

2 Coastal Resources Center / Friends of the Nation (2010). Report on Characterization of Coastal Communities and Shoreline Environments in the Western Region of Ghana. Integrated Coastal and Fisheries Governance initiative for the Western Region of Ghana. Coastal Resources Center, University of Rhode Island

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activities is most coastal area. One key factor is the lack of boundary demarcation and secure documentation of communal lands dedicated for fishing land sites in most coastal communities. To contribute to securing land tenure rights for livelihood activities of fisherfoiks, this project will work with relevant traditional authorities and district assemblies and support mapping, demarcation and documentation of at least 5 fish landing sites in coastal communities, using community participatory processes. Lessons from this will be shared to support advocacy for secured land tenure in fishing communities in Ghana.

Cross-cutting management and coordination activities The following activities cut across Expected Results Areas:4.1. Project launch: The Consortium will formally launch the Action to create awareness among stakeholders in the fisheries sector, including community leaders, and development partners. The media will be involved as a means of disseminating information and increasing the visibility of the project. Materials for communicating and branding the project will be developed with messages and logos of Consortium Members and EU, in line with the EU Visibility framework and guidelines, The launch will be organised in five project zones (in Western region, Central region, Greater Accra, Volta region and one Inland fishing district) to ensure more participation and awareness at local and national levels.4.2. Project start-up workshop: A national level project start up workshop for partners and stakeholderswill be organized with the purpose of ensuring all key stakeholders understand the Action objectives and activities and linkages to on-going sector initiatives, agree on clear communication channels, and clarify roles and responsibilities of key actors. Key stakeholders including representatives from Smallholder Fishers Associations, target CSOs and government agencies will participate in this workshop. This will also Involve initial orientation of project team and implementing partners about EU guidelines, project management and also about VGGT. .4.3. Project closure workshop: A project closure workshop will provide an opportunity to present and discuss the learning and impacts of the project with the target group and final beneficiaries. This workshop will also be used to discuss potential next steps for sustaining the benefits of the Action in the long-term.4.4. Participation in bi-annuai FAO meetings: FAO is expected to organise two meetings every year to facilitate sharing and learning on outcomes arising from project implementation processes. These arė expected to take place in Ethiopia. This Action will support the participation of fishery association members and a government representative to these meetings.

4.5. Project Management/oversight Committee meetingsTo enhance quality assurance, effective coordination in the implementation of project activities, there will quarterly project management committee meetings. This will include the project team and the leadership of FON,CARE, OXFAM. Annually the membership will include FAO, EU, and MOFAD to promote collective oversight, technical assurance and coherence and compliance.

4.S. Quarterly informal coordination mooting between on-going fishery sector interventions To enhance synergies and coordination between the various initiatives in the sector supported by different donors, the consortium will initiate informal coordination meetings. The consortium will host the first meeting and encourage others to host meetings on a rotational basis.

r

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2.1.2. Methodology (max 5 pages)2.1.2.1 Implementation strategyThe Action follows a human rights based approach to implementation, which in practise means that the consortium will empower rights holders, in this case smallholder fishery associations to articulate their issues and report grievances related to tenuriai rights, while also strengthening the ability of duty bearers to respond to grievances. Multi-stakeholder platforms and local face-to-face interaction meetings contribute to mitigating the gap between authorities and citizens and provide spaces of negotiation. This approach is also in line with the CARE International Governance Programming approach, which entails working on three aspects to contribute to inclusive governance namely: empowering citizens, holding duty bearers accountable, and expanding inclusive and effective spaces for negotiation,The Action follows a partnership approach and considers the smallholder fishery associations and the Fishery Alliance key strategic allies. The consortium can add value to these allies by offering tailored capacity development support, opening doors to policy makers and creating spaces for interactions through multi-stakeholder platforms, and brokering new knowledge on VGGT, fishery laws and related mechanisms, CARE, OXFAM and FoN will also act as "fellow advocates" by joining the Fisheries Alliance in its advocacy efforts and for example use channels of influence to bring evidence to the attention of key policy makers.

2.1.2.2 Specific implementation approaches .1. Community Score Card and Citizen Report Card: Through the Community Score Card approach, CARE brings experience to the Consortium in strengthening local service provision through supporting citizens in reporting on local service delivery using a 5-point rating scale3 and Involving local service providers and decision makers, through a process of joint decision-making and planning. The consortium knows from experience and: independent evaluations4 that focusing on the local level is not sufficient, hence the Community Score Cards approach will feed directly into the Citizen Report Card approach and national sector review. Through the national-level Citizen Report Card process, the Actions targets central government duty bearers such as the Fishery Commission and key Ministries through the annual sector review. The;scorecards and the citizen report card thus become a local to national feedback mechanism on the implementation of government policies and programmes and the impacts on the livelihoods of fisheries communities;ii. Village Sayings & Loans Associations (VSLAs): Access to finance and basic financial literacy has proven a powerful tool for women to start and sustain engagement in Income-generating activities, thus complementing the Gender Market Enterprise analysis. The VSLA method was developed by CARE in Niger in the 1990s and has now spread to at least 61 countries in Africa, Asia and Latin America, with over 12 million active participants worldwide. VSLAs are self-selected groups of 15-30 members (predominantly women) that voluntarily save money and make loans through regular contributions to a group fund from which .members can borrow and repay with interest. The method îs based entirely on members’ own savings (no external input) and provides members with safe access to savings and loans on terms decided by the group. Once mobilisation, training and facilitation support are provided, the associations begin to save and lend over a supervised period of 9-12 months. During this period, the groups are supervised in four phases: Preparatory Phase (2 weeks), Intensive Phase (14 weeks), Development Phase (18 weeks) and Maturity Phase (18 weeks). The groups will also be trained in financial literacy, budgeting and leadership skills. Members are also able to receive insurance services (social funds), mitigating the effects of unforeseen disasters in addition to linkages with other social protection interventions and basic services providers In the district.

iii. Women’s Empowerment Strategy: The consortium takes a holistic approach to empowering women, and influencing more equal gender relations in the fishery sector. CARE’S Women’s Empowerment Framework recognises that transformation is needed at three levels: women’s agency (a woman’s knowledge, self-confidence and ability to take action), relations (a woman’s network and relation with peers and decision-makers) and structure (the norms and policies). The Action will take into consideration these three dimensions in the approach by improving agency through training and awareness raising to women members of fishery associations; strengthening relations through group formation and linkages with other

¡ 1=very bad, 2=bad, 3=just okay, 4=good, 5=very good.

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associations; and structure through working with government on improving policy implementation and service delivery to women working along the fishery value chain.Oxfam will draw on its Women's Economic Leadership (WEL) approach, which seeks to provide opportunity for women to gain economic and social power to move out of poverty by means of securing economic resources, gaining power in markets, and changing attitudes and beliefs to enable equal relations with men and in economic decision-making. WEL serves as Oxfam's overarching principie to guide women-led organizations in navigating the vagaries of value chains.The Action will specifically target women in capacity building activities to enable them to participate in all levels of governance, from the community, district, and national level, and for them to gain control over livelihood resources to support their economic aspirations. The Action will ensure that all activities are attended by women and men, and are sensitive to the time constraints of women and men. The Action will challenge gender norms at household and community level around women's workload, role in food provision and control over assets through discussions on gender roles with the fisheries associations.

2.1.2.3 Links to Government programmes and plansThe Action is well aligned with fishery sector policies and complementary to ongoing and planned IUU efforts of the Government under the Marine Fisheries Management Plan (2015-2019); Fisheries Act 2002, Act 625; Ghana National Aquaculture Development Plan, and the National Plan of Action against IUU. The Action has been designed to directly contribute to government efforts as outlined in the FMP and the IUU Action Plan. The IUU monitoring activities are linked to and support the work of the Fisheries Commission Monitoring, Surveillance and Control Division, and the Fisheries Enforcement Unit The introduction of ICT innovations will complement the monitoring efforts of state agencies as information is relayed from the community level to the enforcement agencies for follow-up. The co-management activities will complement efforts undertaken under the Co-Management Policy, while the socioeconomic safeguard activities fill out the existing policy- implementation gap, and social protection coordination lapse.

2.1.2.4 Synergy with interventions by the consortiumThe Action builds on over 50 years of combined experience of the Consortium In the fisheries and natural resource management sector and has been carefully designed to complement existing programmes.Friends of the Nation (FoN) has implemented several fisheries initiatives working with Communities and smallholder fishers on sustainable improvement in fish stock. FoN is currently a partner in the Sustainable Fisheries Management Programme (SFMP), which is being implemented in the coastal regions in Ghana. FoN has piloted co-management committees and made inputs to the formulation of fisheries policies and laws. FoN as the lead of the Fisheries Alliance will ensure the participation of civil society organisations and fisher groups in the planning and implementation of the Action.The Action builds on Oxfam’s prior work with FoN, including tracking public expenditures in the fisheries sub­sector and support to farmers’ platforms and fisher associations in the Western Region of Ghana to increase their voice and influence in bringing about more favourable policies to secure their livelihoods. Synergies will be ensured with the OXFAM GROW campaign for greater advocacy impact also beyond Ghana.The Action draws on CARE’S experiences from several dcoados of agriculture and food and nutrition security programming in Ghana, including Hie EU-funded FARM Plus as well as the Danida funded Agriculture & Natural Resource (ANR) programme. The lessons from organising forest dependent people in groups and setting up Forest Forums with Forest Watch Ghana are directly relevant for this Action. Synergies wil! be ensured with the on-going CARE Denmark funded Yen Sore programme (2014-2017) on natural resources governance and land rights, and this Action will benefit from the support to KASA to organise annual sector reviews. CARE has worked extensively on tenurial rights, through the CICÖL land rights coalition.

2.1.2.5 Synergy with interventions by other development partnersThe Action has been designed to complement existing sector activities, and the consortium will ensure close collaboration with other initiatives Including the USAÍD Sustainable Fisheries Management Project (SFMP) on responsible fishing and West Africa Regional Fisheries programme (WARFP). The IUU hotline piloted by SFMP will be monitored, and this Action will implement pilots in zones that are not covered by the SFMP and lessons will be shared. The 2015 SFMP Gender Plan has informed Results Area 3 activities, and the logicai framework draws substantially on the 2015 SFMP M&E Plan, as well as the IUU reporting and prosecution baseline and progress reports.

The Action will build on the West Africa Regional Fisheries Programme (WARFP), which supports legislation reform to strengthen the legal framework for Ghana’s fisheries, the establishment of the Fisheries Enforcement Units, strengthening of monitoring, control and surveillance activities, improvement of fisheries data, and design of a co-management framework. The Action will also link to the University of Cape Coast and the Department of Fisheries and Aquatic Sciences (DFAS) USAID-supported project to improve fisheries and coastal management in Ghana through capacity building, research and extension to fishers, The Action will draw on FAO’s expertise in training and awareness creation on VGGT. This consortium will institute quarterly coordination meetings with heads of the various projects to ensure synergy and avoid duplication,Linkages with FAO, AU, SDGs and the EU roadmap for CSO engagement in Ghana: The implementation strategy for this action will also relay on ccollaborate with FAO for technical assistance, joint programming and knowledge sharing on VGGT, especially under the FAO's Transversal Support Project This will Include participation in the FAO's bi-annual meetings and other leaning events, involvement of FAO in stakeholder workshops on VGGT and other activities of the project, as well as use of the relevant FAOs’ technical guidelines and tools for VGGT implementation, in the delivery of this Action in Ghana,

. The action will also contribute to the country level implementation of the AU’s policy reforms agenda for the fisheries sector, as envisaged in the African Unions’ Policy Framework and Reform Strategy for Fisheries and Aquaculture in Africa . In particular this Action wili contribute to create public awareness and also advocate for mainstreaming the suggested fisheries reforms and development strategies into general government development policies so as to ensure coherence in policy and also unlock more public resources to the sector. This Action also provide an excellent opportunity for practical implementation of the expected roles of CSOs, NGOs and CBOs in the fisheries sector, as outlined in the African Unions’ Policy Framework and Reform Strategy for Fisheries and Aquaculture in Africa. .

This action is also directly contribute to Goal 14 of the UN Sustainable development Goals (SDGs), which seek to conserve and sustainably use the oceans, sea and marine resources for sustainable development. CARE and other International NGOs, is already playing a lead role in mobilising CSOs in Ghana to form a

: CSO Platform on SDGs at national, regional and district levels. The implementing partners forthis Action, especially Friends of the Nation and Kasa', through the Fisheries Alliance, are championing the mobilisation and engagement of CSOs under SDG Goal 14, as co-convenors. This Action will contribute to the capacity

'. apd momentum of CSOs to publicise, advocate for, and localise implementation of SDGs in relation to fisheries sector. ; . .

Another key operational strategy for this action is supporting and working with CSOs networks/coalitions and existing platforms in the environment and natural resources sector. This is in line with, and contributes to the objectives of EU’s Roadmap for Civil Society engagement in Ghana, especially on the priority areas of enhancing coordination and networking amongst CSOs, and the regular dialogue with CSOs working aş process'facilitators and catalysers between the State and local CSOs in the natural resource management sector (Oil and Gas, mining, Forestry, Environment, Land, Water, Fisheries Etc). 3

2.1.2.6 Roles, justifications and attitudes of stakeholdersаШтш

holderRole and Attitudes Justification

CARE As the Lead of the consortium with overallresponsibility for strategic oversight of the Action, Donor compliance, Project Management, coordination, technical support on advocacy and gender, Organisational development and capacity building, M&E, stakeholder collaboration, national level advocacy and visibility.

Experience in supporting civil society strengthening, advocacy through networks; has existing relationships with policy-makers,. expertise in gender/women’s empowerment, VSLA, scorecards, climate change adaptation etc. Systems in place to lead results monitoring; experience with EU project implementation, reporting and visibility and donor compliance.

3 African Union Commission - NEPAD (2014), The Policy Framework and Reform Strategy and for Fisheries and Aquaculture In Africa.

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Stake­holder

Role and Attitudes Justification

Oxfam Provide leadership, technical support and coordination in evidence-building; capacity building for communities, expertise in the area of enterprise-based development; facilitate and strengthen the capacity of community based structures, especially women's groups for enterprise development activities, disseminate the Action’s documentation in advocacy.

Experience in supporting civil society organisations, expertise in gender-based enterprise development; has relationship with policy-makers at the district and national level and experience in documentation, sharing and learning. Experience in action research and evidence based advocacy. Experience in facilitation of group formation at community level and providing capacity-building support.

Friend of the Nation (FoN)

Lead implementation at community, district and regionai level; technical support and coordination in evidence-building; facilitate capacity building for communities and IUU Community Monitoring Groups (CMG), linking reports from community to the Fisheries enforcement Units, and the partners. .

Experience in supporting the Fisheries Alliance and Smallholders Fishers through a number of similar Fisheries-related projects; experience in facilitating and strengthening community-based structures to participate in governance at the district level. Has relationship with policy-makers at the district and national ievel and experience in documentation, sharing and learning. Experience in policy analysis and advocacy includinq media engagement.

SmallholderFisheryAssociations

Lead mobilisation of members to engage in activities; facilitate CMGs; ensure members undertake voluntary self-compliance,participate and influence decision-makers during multi-stakeholder dialogues and annual sector review. They are highly positive toward getting support to strengthen their organisational capacity . and policy influence..

Legitimate representatives of smallholder fishers; experience in mobilising and coordinating the activities of members; experience in managing fishery resources; experience in implementing similar activities with the USAID-SFMP.

FisheriesAlliance(CSOs)

Engage in advocacy; participate and contribute to sector reviews through dialogues and annual forums, mobilise members; undertake policy analyses and link with the CMG and associations to ensure issues are brought up at national level; the Fisheries Alliance is highly interested in tmprovinq their policy impact.

Has experience in mobilising members to participate in policy reviews, programme development of the government; has contributed to policy reviews through submission of position papers in the fisheries sector. Is a member of the KASA Initiative Ghana, a CSO platform on natural resources and environmentalgovernance.

KASAFacilitate CSOs platforms for coordinated policy engagements on natural resources and environmental governance in Ghana. The constituents include CSOs networks and coalitions on Water, Fisheries, Forest, Mining, Climate Change Oil and Gas. This project will collaborate with Kasa in organising their annual sector reviews, through which the Issues of fisheries in the context natural resources and environmental governance can be highlighted at national level. Kasa work through and with seven CSOs network/coalitions in the NRE sector, including the Fisheries Alliance, and therefore interested in strengthening the Capacity of its constituents networks to enhance coordinated and effective policy influencing in the sector.

Kasa ís recognised by Government and others stakeholders as a CSOs’ mechanism for consultative engagement and concerted advocacy in the NRE sector. For seven (7) conservative years Kasa has been organising Annual CSOs’ joint reviews of the NRE sector as a coordinated input into the Government led annual reviews of the natural resources and environment sectors. Kasa is already a partner to CARE and continues to moblise CSOs to advocate for integrated approaches to fisheries and natural resources governance in Ghana, especially in the context of Ghana’s emerging Oil and Gas industry and the rights of coastal communities.

Private NAFAG plays a key role in the IUU Multi- Compliance bv GITA members is expected to

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Stake­holder

Role and Attitudes Justification

sectorassociations

stakeholder Platform; in developing IUU code of conduct. We target the industrial segment of NFAG: GITA who is open towards cooperation as most IEZ industrial IUU are committed by foreign vessels.

become a motivational driver for smallholder fisher compliance who perceive the competition with private sector as a race to the bottom. GITA support is expected to have positive impact on the advocacy of partners as it represents important economic and political interests.

Ministry ofFisheries & Aquaculture Developmen t/Fisheries Commission /Parliamentar y Select Committee

Lead in policy reforms and review of relevant laws governing the fisheries sector; dissemination of information/ policies/programmes in the sector; provide technical advice to the project implementation; coordinate programmes in the sector to maximise synergies. MOFAD is a relatively new ministry and positive towards collaboration as the Action supports its priorities.

Have experience in policy development and creating framework for policy reviews; experience in designing sector programmes and negotiate with development partners for resources; has experience in disseminating fishery sector information to stakeholders; experience in oversight responsibilities in the sector.

FisheriesEnforcementUnit

Lead in enforcement of IUU Plan of Action; will be involved in CMG and IUU Committee work. Plays key role in Multi-stakeholder Platforms, following up on IUU cases and sharing IUU technical and legal information with civil society. FEU is positive towards partnership, yet reluctantly shares' information.

FEU is ill equipped, poorly coordinated among government agencies and has only 55 staff. Successful community-based initiatives could help fill this IUU enforcement gap. Also, the IUU Multi-stakeholder Platform serves as an accountability mechanism for civil society and opportunity to engage FEU directly over reported IUU cases.

2.1.2.7 Organisational structure (sec also budget justifications)

ProjectCoordinator

Project Officer

Monitoring & Evaluation Officer

Driver

Grants & Finance Manager

100%

100%

100%

100%

50%

Lead workplanning and coordination of project implementation, Project cycle management; budget management; donor compliance and project reporting; contractual arrangements between consortium members; financial management and procurement; Direct responsibility for day- today delivery of plan activities, team leadership and effective liaison with partners and other related initiatives in the sector. Convene project oversight committee meetings in liaison with PD and partners.Assist in planning and implementation of project activities including mobilisation and facilitation of VSLA groups in liaison with field officers at community levels; support organisation and/or coordination of trainings and capacity building events of the project in collaboration with partners.Project monitoring, evaluation and learning. Ensure design and implementation of project M&E plans, including baseline, mid-term and final evaluations, documenting lessons learned; indicators tracking, technical inputs to field studies, research methodologies, and documentation and knowledge management.This position is fully dedicated to the project. S/He is responsible for driving the project team to project sites and meetings, in addition to ensuring vehicle maintenance and other basic administration and logistics support to the project.Coordinates all financial, procurement, contract, and grants management of the project. S/he will ensure financial and operational compliance and cost efficiencies in service delivery. This position will also monitor expenses against project budget, preparation of donor financial reports and facilitation of audits and expenditure verification exercise as well as capacity building in Financial management._________

Technical/ managerial staff

Allocation Key Responsibilities

CAREProgrammes Director (Quality Assurance)

8% Responsible for overall program strategy, quality assurance, cross­program coordination and synergy, programme strategic performance and accountability to EU and partners. The PD also oversees proper start-up and closeout of all projects in the country office and plays a role in influencing policies at national level through participation in Sector working group meetings. The PD also provide strategic management and supervision of the proiect teams.

HR/Administration & Finance function in CARE

10%Responsible for recruitment and management of human resources in line with organisational policy. Provide admin and finance support services to all projects in CARE, including, ensuring timely procurements; logistics mobilisation and deployment, processing contracts, payments and financial data entry, audits and internal controls spot checks, office administration and projects start-ups support. This support function is provided by a number of people in the HR/Admin units for all projects, and therefore treated as a 'share program support cost, in line with CARE’s policy. Provides financial and administrative oversight to the project, ensuring that internal administrative and financial controls are in line with Oxfam and donor auidelines and poliev

Oxfam ■ '· v:; ■· ·■ "· ■ '■■■■■■■· '·■·. · · ■ ' '

Programmes andCampaignsManager

35% Provides strategic oversight and leadership to the project and has a key role in ensuring Oxfam quality standards are met and maintained. S/He provides strategic oversight and leadership to the project and has a key role in ensuring Oxfam quality standards are met and maintained. She/he provides direct line management to project staff teams and will be closely involved with regular monitoring and. support to the project as it cuts across Oxfam's agriculture and food security governance programmes and will thus require more effort than other projects of a similar size. The role provides support in communicating with contractual arrangements between CARE and Oxfam. The Program and Campaign Manager also facilitates cross learning, between Oxfam projects and other NGOs to ensure the project Is as efficient and effective as possible. She /he will provide technical support to project activities aimed at developing advocacy strategy and the knowledge and skills of partner staff and associations in advocacy.She/he will provide technical input into baseline and other research tools, and will provide feedback and recommendations on how to address advocacy issues including gender and women's rights. This pnsifinn will ensure incorporation of a gender analysis as part of the expected result 3 and across the other results areas. This will inform project steering and implementation of activities. She/he will work directly with partners and allies to advise on advocacy and campaign strategies and tactics to influence decision makers or publics

Advocacy, Media andCommunicationsOfficer

100%Provide technical leadership in design and implementation of advocacy, communication and visibility plans of the project. He/she will provide media and communications technical support to project activities aimed at developing knowledge and skills of staff to address communication and visibility of the project as well as the development dissemination of of communication products. This position will organised and/or provide technical inputs into training packages and modules on media and communications. Other roles include: provide technical direction, liaise with relevant local and national media outlets and journalists, provide technical support in the establishment of a nutrition and hygiene education materials and monitoring of media reportage, field visits for capture project’s change stories and case studies for publication,

Technical/ managerial staff

Allocation Key Responsibilities

organise media events and participation of journalists in protect activities to promote visibility.

Oxfam's Business Services Manager (BSM) Same as HR/Admin/Fin. Manager

10% This is the HR/ADM/Finance Manager's position in Oxfam who will provides HR, financial and administrative oversight to the Oxfam staff on the project, ensuring that internal administrative and financial controls are in line with Oxfam and donor guidelines and policy. The BSM is also responsible for preparing all financial reports to CARE .She/he will assist in the recruitment of project staff, processing of the payroll, procurement of project materials, internal audits, and periodic field visits for financial monitoring and technical support in collaboration with CARE.

Oxfam’s Researchand Programme Quality Manager

10%The Programme Quality Management Specialist manages Oxfam's Monitoring, Evaluation Accountability and Learning systems and structures and will be supporting the project monitoring and evaluation by managing data, providing analysis and reporting of results. She/he will be providing direct and technical support to consultants involved in base line, mid-term, and final evaluations. Support the establishment of baseline data base in collaboration with partners and community structures. Provide technical inputs to set up the M&E, Accountability and Learning Framework for the project and participation in learning workshops and events such as proiect steering committee meetings.

Driver andoperations officer

(50%) This is a position in Oxfam who will is responsible for driving, logistic and administration support to project. He will assist in office supplies procurement, documentation, and inventory management. He wili dedicate 50 % of time to this project in support Oxfam staff in the performance of their in the project.

Friends of the NationProgrammeQuality Assurance Manager

8% The Programme Quality Assurance Manager will provide strategic oversight of the project ensuring quality controls, and representation of the project at national level including with the Government and other key stakeholders. The PQAM will provide technical and strategic guidance to the projeot and also maintain higher level interaction with partners. The PQAM is responsible for overall program consistency and strategy, cross-proqram coordination. .

FON ProjectsCoordinator

30%Provide technical leadership and coordination of all FoN’s projects activities and ensure timely delivery and reports are submitted. Participate in project management meetings with partners and EU and provide strategic input for overall project planning and management. Provide technical support in developing and implementation of project advocacy strategy/plans, including capacity building of partners staff and fisher-associations in advocacy. She/he will provide technical for CMGs concept development and formation. He/She will provide strategic leadership for IUU monitoring and documentation. She/he will work directly with partners and allies to advise on advocacy and campaign strategies and tactics to influence decision makers or publics.

Advocacy/IUliMonitoringCoordinator

45%Will work directly with Project facilitators and Community Animators to provide specific technical support and oversight for the IUU monitoring. He/She will provide technical guidance for the capacity development of the CMGs and facilitate the multi-stakeholder platforms at the two commands and ensure successful organization of the dialogue events, trainings for the CMGs, support and monitor the application of mobile phones in IUU monitoring and reproting. She/He will support the development of advocacy and strategic plans for the Associations and support the Implementations of the plans at national, regional and local levels. He/She will also provide technical support for linkages between

Technical/ managerial staff

Allocation Key Responsibilities

the CMGs and Government and other stakeholders.Project Facilitators (4 officers for 3 coastal and 1 inland zone)

100% Facilitate impiementation of community/district level activities; coordinateand provide direct support to community-based structures and link same to partners at regional and national levels, Facilitate mobilisation and training ofVSLAs groups and other fisheries-based livelihood groups at the community level. Monitoring. Mobilise communities for community scorecards exercise and other project events, as well as dissemination of proiect IEC materials at the community level.

FinanceAdministrationManager

22% Responsible for day-to-day finance and administration of all projects inFoN; ensure disbursements are line with donor rules and regulations, provide financial and administrative reports per project reporting requirement; monitor project financial disbursements. Wili provide oversight of Finance and administration for the project implementation in FoN.

Admin Support 22% Consists of driver and admin support staff. He will carry out administration and finance activities, logistics, travel arrangement, etc. they will assist inventory and transporting staff to field sites and organisation of meetings /workshops.

2.1.2.$ Procedures for follow up and internal/external evaluationA learning strategy will be applied, and regular reflection on progress wili be embedded in the project cycle. At quarterly meetings, the consortium will review progress and discuss emerging outcomes and learning in addition to tracking activity and output progress. Annual reflective learning and planning meetings will, be held with all staff to reflect on progress made and steps forward. The monitoring framework will be based on key indicators set out in the logical framework, and these will provide a basis for reporting change and progress. An independent financial audit of financial transactions will be conducted annually.A baseline survey will be conducted at the start up in all project locations, The outcome will be used to refine and validate monitoring indicators and help develop a comprehensive monitoring framework for implementation. Baseline information will be compared with mid-term and end-term evaluations.Project reporting: The teams will gather information on project progress arid results for the purposes of reporting and learning on an on-going basis, CARE, OXFAM and FoN will prepare quarterly performance assessment reports during the first year and six monthly reports during the subsequent years, allowing partners to assess each other's progress. The consortium will ensure that key challenges and lessons from the project are collected, documented and shared with a wide range of stakeholders;Mid-Term and End of Project Evaluation and Audit An external mid-term evaluation of the project will be commissioned to assess progress and adjust implementation strategies. The external end-evaluation wili be an opportunity to review the changes in depth, key challenges faced and learning’s.

2.1.2.9 Means proposed for the interventionMeans for this Action include CARE, FoN, Oxfam staff, per diems, travel (air tickets, vehicle rent), office furniture, laptops, printers, cameras, phones (for iUU monitoring), consumables (office supplies), printing materials, workshop materials, consultants.2.1.2.10 Visibility of the Action and EU fundingVisibility actions will cut across the result areas, guided by a visibility plan that adheres to the EU visibility guidelines, to show the European Union’s support to the Action. The plan will be developed within the first six months of the project and will be submitted to the EU for approval. Key elements of the plan will include; specifications on the use of EU and partner logos on materials and during events, review and approval processes for official project material such as publications and policy briefs, guidelines for media engagement, for inviting EU representatives to participate in project activities, and for pro-active collaboration with other EU-funded projects. Visibility in this project wili be promoted through a number of advocacy events, civil society reports and IEC outreach materials. Communication and visibility materials including banners, T-shirts, project signboards, brochures, briefs, stickers etc, will be developed, in addition to newspapers, radio and television engagements.

mens

2.1.3. Indicative action plan for implementing the action (max 4 pages)

Year 1

Islsiww11—M 1 ĮBĮĮ1

fftSi' ШШ ШШ ЦЦ ■■-ISS

Preparatory acutes J ^ į r

Project launch mí® щ4Ш 3 4 5 6 7 8 9 10 11 12 CAREProject start-up workshop at national level 1 ШШ. 3 4 5 6 7 8 9 10 11 12 CAREAdvocacy strategy 1 4 5 6 7 8 9 10 11 12 OxfamMonitoring framework 1 ЩЩ щ$ 4 5 6 7 В 9 10 11 12 CAREQuarterly project coordinstion/reflection meetinqs 1 2 WÈm 4 5 шт 7 8 шт 10 11 ШШ CAREBaseline survey 1 2 3_ ШШЩ 6 7 8 9 10 11 12 CARE, Oxfam, FoNM&E system setup 1 2 шШШ Шм шт 7 8 9 10 11 12 CARE and FoNSemi-annual FAO meeting in Ethiopia 1' 2 3 4 5 Ш 7 8 9 10 11 IÍ11 CARE, Oxfam, GovQuarterly informal coordination meeting between ongoingfisheries projects 1 2 li 4. 5 §¡¡j 7 8 Г 10 11 12 ConsortiumAnnual review meeting 1 2 3 4 5 6 7 8 9 1 ЩЩ 11 12 CAREVisibility plan 1 IM 3 4 5 6 7 8 9 10 11 12 CARE

ER1 Empowered smallholcer fishery associations take active part in f

1.1. Develop information, education and communicationmaterials, and trainers manual on VGGT Guidelines, co­management, lUUs and other fisheries policies & laws

1 2 3 ш¡Él co:W,SЬ&

ШЖ

Ä 8 9 10 11 12 CARE

1.2. Assess and develop organisational capacity of smallholder Fisheries Associations and -rie CSO Fisheries Alliances 1 2 4 ¡¡¡¡j - ш il j¡¡fи в CARE

1.3. Train selected (45) media orqanisations/iournalists on fisheries qovernance 2 3 4 5 6ïfiZ&f' ш 8 9 10 11 12 CARE

1.4 Advocate for equitable co-management models 2 юНжЙЬ' И! 5 щШ[ Шт ш ш ш ШШ ШШ CARE1.4.2. Develop policy briefs, position papers and fact sheets 1 2 3 4 5 6 Ш ш ш ш Щ ШШ. CARE1.4.3. Co-organize annual sector review 1 2 3 4 5 6 1 8 9 10 ШШ 12 CARE

Page 21

HR2 Effective lUU morvtonng and grievance mechanisms piloted 111 SillIII Ull Шшк !1р г:-Жîl

2.1. Form and train Community-based Monitoring Groups(CMGs) on IUU monitoring, reporting and documentation, in line with the VGGT ard relevant laws and policies, in 4 coastal fishing regions and 11nland fishinq district

1 2 3 4 5 ¡¡¡jщ ’ @ 10 11 12 FolM

2.2. Develop and operationalize an ICT tool for monitoring and reporting on ÍÜU fishing 1 2 3 4 ļļļļШщ ¡Ищ 10 11 12 FoN2.3. Develop an online open platform for collecting and analysing IUU reports 1 2 3 4 5 6Ш(3>'и ¡Uн§ 10 11 12 FoN2.4, Form local IUU grievance committees for immediate followup to cases reported 1 2 3 4 5 ИщJÜш¡и 11 !§§§ Fon

2.5. Institute bi-annual multi-stakeholder platforms on lUUs and fishery governance 1 2 3 4 5 6 1 8 9 10 11 вя Fon

2.6. Train the Private Sector Fishers on IUU compliance in the context of the VGGT 1 2 3 4 5 6 7 8 9 10 11 12 FoN

ĚR3 Social aad economic safeguards contribute to improving livelihoods and nutnfionai status of smallholder fishers and other users of fishery resources

3.1. Conduct Analysis of adverse impacts of capacity reduction strategies on the liveihoods T 2 3 Щ ш 8 9 10 11 12 Oxfam, CARE

3.2.1. Conduct Gendered Enterprise and Market Analysis 1 2 §!Й WĚÄt е 7 8 9 10 11 12 Oxfam3.2.2. Rollout community-managed saving and loans schemes 1 2 i®H!Üi в 7 8 9 10 11 12 CARE3.2.3. Business development training for VSLAs/interest groups 1 2 3 4 5 в 7 8

it,

шш. ш 111 шя Oxfam3.3. Apply community scorecard methodology to improve government services to fishery communities 1 2 3 4 5 в 7 8 9 10 ilÜll- CARE

3.4. Ensure access to nutrition ffiformation in collaboration withGhana Health Services

1 2 3 . 4 5 6 7 8 9 10 11 Bi CARE, Oxfam

Page. 22

агй5.1«вйглп*^

Years 2-4

вшадимв KS2ł;:·*··TKv

Iliiéi iÉÍIieiBSiili iili ¡lifÉliiil Iili 1|1|1||р1шЙ1рfllíllll lipe· ШШШ lilKËшшщш ΐϋϋ

cmss-outang activées : ^

Semi-annual FAO meeting in Ethiopia pillili ИНИ llltlllg CARE, Oxfam,Government rep

Project start up and staff training workshops 4Nr~S!;3ßfiii5fii IpligliHiillSOutcome Monitoring ;¿:·(4 » ;¡¡ :işs: ts йЙйШШЩ lillil! 1 CAREMid-term Evaluation CAREAnnual and bi-annual partner cross-learning events andreporting IlJIiilf

1111insiii CARE

Quarterly informal coordination meeting between ongoingfisheries proiecte CAREProject close workshop CAREFinal evaluation шшшш CAREAudit CARE

ÈRI- Empowered smallholder fishery associations take active part in fisheries governance

1.2. Develop organisational capacity of smallholder FisheriesAssociations and the CSO Fishery Alliances.

giɧÍ| lliÄÉil įįįėmįįįįp CARE

1.4 Advocate for equitable co-management models. НИНИ CARE1,4.1. Develop two citizen report cards on “the state of fisheries governance in Ghana" with fisheries stakeholders.

WĚéĚ№žÍ CARE

1,4.2. Develop policy briefs, position papers and fact sheets. ájIsížjsÉpШцЩ± illil® ШШШШ CARE1.4.3. Co-orqanize annual sector review. §illli§¡|£ üll CARE

ER£; Effectue ÏUU monitoring and grievance rriechartisms piloted

2.1. Support OMGs to monitor and report IUU iilil!!! FoN2.3. Develop an open platform for collecting and analysing IUU reports

FoN

2.4. Support local IUU grievance committees for immediate follow up to cases reported 1ШЩШ. FoN

Page 23

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ршшрш•asaSlí. í*!. í «!S r i tmmm 11 11! ■IIS2.5 Institute platforms for bi-annual multi-stakeholder on lUUs FoN2.6. "rain the Private Sector Fishers on IUU compliance in thecontext of the VGGT FoN2.7. Support the Private Sector fishers association indeveloping a '‘Code of Conduct for IUU” for self-compliance, in line with VGGT principles

Bíliü : ¡Ì Ηί> : !i :-^ípippil

il líiiij ni iili lillFoN

rR3 Sočia I and economic sa||!i

eg mji IS!ihjliiili

ÉiÍŠÉlÍs!Í!!Í!Íu!iirpÍÍ:|ontnhu^tp'ļ rprovtng livrз ihoods at đ ntifräianaTstatus ôf smallholder fishers and other users of fishery resources

3.1. Rollout community-managed saving and loans schemes Silili CARE3.2. Business development training for VSLAs/nterest groups ¡¡¡¡lilpBHill *:;:С OXFAM3.3. Apply community scorecard methodology to improvegovernment services to fishery communities !m!1IS13?í|1híÍí'igjuis SUlliU 1щщш

шшшш CARE3.4. Ensure access to nutrition information in collaboration with Ghana Health Services Illil!ШщшШ м||Ш1 Síiľiä Oxfam, CARE3.5 support for mapping demarcation and documentation of

I Fish Landing sites Iplllllll -тт ’įbįįįįį·

Page 24

|)Μ·η^ qnnHVid

2.1.4.1 Expected impactThe Action will contribute to sustainable fisheries resources management to improve food security and nutrition and livelihoods of smallholder fishers and other users of fishery resources (i.e. the overall objective). The final beneficiaries amount to 2 million Ghanaians that depend directly on the sustainability of the fisheries sector for their food and nutrition security. The Action will have different technical, socio-economic and policy level impacts:

ER1 impacts: The Action will empower the smallholder fishery associations to be more effective, representative, inclusive, legitimate and accountable. Links between associations will be strengthened, which will contribute to creating a social movement of smallholder fishers in Ghana (social impact). The organisations will be empowered to carry out evidence-based advocacy, and participate in the multi-stakeholder platforms and annual sector review (technical and policy impact). This process will strengthen the technical capacity of the fishery associations and CSOs as well as the Government, while simultaneously benefitting the final beneficiaries through information availability and awareness raising.ER2 impacts: Technical impact will be achieved by strengthening capacity for IUU monitoring and grievance reporting and handling in collaboration with smallholder fishery groups and associations, private sector and government stakeholders. The Action is contributing to reduce IUU cases in the IEZ, which will lead to replenished fish stocks (environmental impact), and thereby also economic impact for smallholder fishers and processors dependent on fishery resources. Knowledge created from experiences with the community monitoring groups, and the Multi-stakeholder Platforms, all contribute towards more effective IUU regulation based on active citizenship and dialogue. The inclusion of private sector actors will lead to longer lasting solutions to Ghana's fisheries sector challenges, e.g, through the development of an IUU Code of Conduct and private sector engagement in the IUU Multlstakeholder Platforms.ER3 impacts: The implementation of social and economic safeguards will have socio-economic impact on the final beneficiaries. The saving and credit, value chain upgrading and alternative livelihood activities will contribute to improved livelihoods and better food and nutrition security for smallholder fishers, and among them women and vulnerable groups. The gendered approaches respond directly to the needs for financing and increased production and marketing facilities of fish processors and traders. These activities are expected to have a significant multiplier effect on food and nutrition security as women continue to play a key role in fishery communities’ households. .

2.1.4.2 Dissemination and multiplicationThe Action provides value for money in maximising the above impacts through our partnership methodology and evidence-based advocacy. Of particular importance are the IUU pilot initiatives that all feed into the co­management learning base and, if successful, can be upscaled by the government and development partners. Lessons learnt will be disseminated widely, and the consortium will use national sector reviews and national and global media networks for outreach. CARE, OXFAM and FoN are well positioned to replicate lessons learnt and models piloted in food security interventions across Ghana. Also, CARE and Oxfam offer access to programmes in 94 and 90 countries, respectively, and to transnational advocacy networks and food security communities of practice. In addition, CARE runs an annual Multiplying Impact Challenge through which unrestricted resources have been set aside for replication of pilots

2.1.4.3 Preconditions and assumptionsPreconditions: The main preconditions for impact and sustainability of the Action have been met and include; (a) the project deliverables meets the expressed demands of beneficiaries, especially women processors and traders; (b) the project design reflects government priorities; and (c) CARE, OXFAM and FoN have complementary areas of influence and have agreed to a unified implementation framework that integrates thematic expertise and organisational capacity across the activities.Assumptions: The success of the Action rests on the following assumptions: ER1 rests on the main assumption that fishery associations are willing to engage, collaborate, and represent the interests and demands of their constituents; ER2 rests on the main assumptions that communities will engage in IUU monitoring, because they see benefits of having a grievance mechanism that can rèduce infringements on IEZ which contribute to replenish fish stocks. It is also an assumption that community-based IUU monitoring is more effective in the Ghanaian context than relying only on FEU monitoring capacity, and that co-management will lead to increased accountability, which in itself becomes an incentive mechanism to comply with iUU

2.1.4. Sustainability of the Action (max 3 pages)

tLK

Page 25

ííj

regulations; ER3 rests on the main assumption that social and economic safeguards hold the potential to improve livelihoods by mitigating adverse impacts from capacity reductions and climate change. VSLAs will be self-replicated as experiences show elsewhere to achieve impact at scale.

2Л.4Л Risks and contingency planCategory Risk Probability Severity Mitigation Strategy

Economic

IUU economic incentives perceived as higher than the benefits of IUU compliance

High High

Through information availability, outreach and awareness raising, change knowledge, attitudes and practices among smallholder fishers and private sector (ER1); incentives created through grievance mechanisms and effective IUU enforcement (ER2); alternative and diversified livelihood options for smallholder fishers (ER3).

Social

Gender injustice challenge women’s influence High High

To encourage self-reflection and self­criticism among partners and government to ensure women's influence through change in knowledge, attitudes and practice, among men and women alike. Train and encourage women leaders of fishery associations to take up leadership positions and gain influence.

Social

Community conflicts from increased IUU monitoring and enforcement

Medium Medium

To ensure broad-based local ownership; to sensitise communities on the effects of IUU on community livelihoods; to pilot IUU grievance mechanisms in communities with monitoring groups; to increase legal, judiciary and executive accountabilities throuqh IUU Multi-stakeholder Platforms.

Program-matíc

Loss ofknowledge and capacity from staff turnover in government agencies

Medium Medium

To embed knowledge and capacity through institutional relationships and cross- institutional learning, not individual relationships and learning. Also, lessons are documented and disseminated widely.

PofiticalBipartisan favouritism in wake of 2016, elections

High LowTo avoid target communities with government interventions similar to those of the Action; to clearly raise the visibility and fundinq of the EU to avoid confusion.

Financial

Fraud in award of contracts for purchased goods and services

Low High

To continue good record of high procurement transparency and accountability standards in line with AnnexIV to the standard grant contract and CARE Global Accounts Manual. .

2.1.4.5 SustainabilityWe seek to ensure that the Action leads to profound changes, with deep transformations in the relationships and policies on which the sustainability of the Ghanaian fisheries sector and the livelihoods of its smallholder Ashers and processors directly depend.Financial sustainability: The Action is designed around approaches that are self-sustained beyond the Action itself. Smallholder fishers can realise their livelihoods potential through better social and economic safeguards in government policies and programmes, such as improved social protection programmes. Target communities can build their financial capacity and resilience through access to VSLA micro credit and savings and increase income from value addition activities and smali enterprises. Especially women processors and traders who are the economic cornerstone of fishery households will benefit from value addition and alternative livelihood activities. The government wili receive recommendations from the partners on how to replicate and scale up pilot initiatives through increased budget allocations to the Regional Council Fisheries Directorates through the Fisheries Development Fund. .

Page 26

Institutional sustainability: Through the strengthening of organisational and institutional capacity of the fishery associations and the Fishery Alliance, the Action will lead to more representative, inclusive, transparent and accountable CSOs that have the capacity to effectively respond to the demands and interests of their constituents. By working closely with government authorities, including the enforcement units, the Action also embeds new knowledge, changed attitudes and innovative practices in institutional structures, rather than individuals.

Policy level sustainability: The strong focus on evidence-based and collaborative advocacy will help inform policy makers, leading to informed policy-making and implementation of fishery policies, specifically related to co-management and socio-economic safeguards, beyond the lifespan of the Action. Ä stronger and more diversified civil society provides an accountability safeguard as they can ensure that policy implementation is monitored, and that sustainable and equitable fishery governance remain on the agenda.Environmental sustainability: Improved IUU enforcement and compliance will lead to improved environmental sustainability beyond the duration of the Action, with supportive practices such as enforcement of closed seasons and decreased use of illegal fishing equipment and methods, leading to replenished marine stocks. In addition, through improved rights tenure and sustainable use of fisheries resources, in line with the VGGT, fishermen, processors and traders will have increased access to and control over fish resources and productive facilities such as landing sites. This reduces their vulnerability and resilience to costal erosion, tidaf waves, reduced catch from rising sea temperatures, and other direct and indirect consequences of climate change and variability. .

2.1.5. Logical FrameworkPlease refer to Annex C.

2.1.6. Budget, amount requested from the Contracting Authority and other expected sources of funding .

Please refer to Annex B.

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2.2. Experience

The below information will be used to assess whether you have sufficient and stable experience of managing actions in the same sector and of a comparable scale to the one for which a grant is being requested.

(i) Experience in similar actions in the past 3 years (Maximum 1 page per action)

Lead applicant Co-applicant I I Affiliated entity

[ Project title: KASA Poverty Reduction through Civil ; Society Advocacy in Natural Resource and Environmental i Governance in Ghana

• j Sector (ref. list of sectors in Sectorial experience in PADOR): 151 Government and civil societv. ! 410 General Environmental Protection

LocationifCost of the

action (EUR)

Role: Coordinator, co-beneficiary, affiliated entity

Donors to the action i (name)6

Amount contributed (by donor)

Dates (from..to) dd/mm/yyyy

į Ghana ■ 3,222,824. Coordinator

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

,\ Netherlands Government CARE Denmark

;! ICCO :| SNV

1,689,5211,149,303356,70037,300

į Ia August 2008 to 28'" February

į Objectives and results of the action [ Specific objective:ļ Civil society and media organisations, in a concerted effort, advocate for equitable access, accountability, and transparency in natural resource and environmental j governance. Results includes: 1) instituted Civil society platform for annual performance review of the natural resources and environment sector linked with the I Government-led annual Environment and natural resources sector performance reviews from 2009 to 2014. (2) Established Civil society platform for coordinated ! citizens engagement on natural resources and environment governance issues; this involved broad based CSOs thematic advocacy Coalitions/networks on Fisheries,! Water, Oil and Gas, Forestry, Mining, Climate change & environment. 3) Supported evidence-based advocacy through research and publication of citizens reports

I on the ‘State of the Environment*, media production of video documentaries on environment and natural resource issues. 4) Contributed to increase national media : : coverage on NRE sector issues from 1% in 2008 to 6% in 2012.

*‘ö^íV»ívv"':t^IS:;ácKÜ

If the donor is the European Union or an EU Member State, please specify the EU budget line, EDF or EU Member State

tkik

a ши»·»

: pB>in.WÍ-=Í!?iHi¡sn^Ir»ea¡ii >у311Ш1№а!ИИЧ«Штаакайвиш1И№1»»т1Я1№!вязяяя1шмва»1^^: Namc ofthē-ei^ariisatioiļ;:;CAREļI^nma^ (implernêntéclÍthroúgri QÂâS jnternatióngíijh^hâríâ7) '■ V.-į

Lead applicant X CòiàppHçàjitlöiAffiliated Įėhtity! Project title: !

: ; YEN SORE: Support to Civil Society in the extractives I Sector <"* "st of sec‘ors in Sutoria! experience in PADOR): 151 Government and civil society, :l and forest sector ofGhtwa j 410 General Environmental Protection, 312 Forestry

j Location

I Ghana

Cost of the action

(EUR)

j EUR 1,776,149

Role: Coordinator, co-beneficiary, affiliated entity

Donors to the Amount j action (name)8 1 contributed í

(by donor) í

Dates (from..to) dd/mm/yyyy

j Coordinator į DA14IDA/ j EUR 1 Is1 January2014to31stDecember2017i j CARE Danmark į 1,776,149 ļ

i; í Objectives and results of the actionj Program goal: Civil society able to provide an effective and legitimate voice around forest, mining and oil and gas and promote the rights of affected ?

:.| communities, and environmental justice at international, regional, national and local level.:■ j The program is ongoing with expected results around: 1) Strategic partners apply new knowledge and skills in their interaction with the affected communities: 2) ?

j CSO in collaboration with affected communities have a voice around forest, mining and oil and gas extraction, 3) Evidence-based advocacy and networking is - ;; ļ carried out by CSOs at international, national and sub-national level in collaboration with local communities. :

! CARE’s strategic partners in Ghana namely: UCSCJND in (Oil & Gas producing) coastei districts; WACAM, mobilising communities affected by mining across ■} ! Ghana, Civic Response & Forest watch Ghana on forest governance; KASA, a CSO platform of 7 NRE sector coalitions/networks for coordinated policy ; ! engagements and concerted advocacy.

7 CARE Denmark is Member of CARE International (Cl) which is a confederation composed of twelve national Members, each being an autonomous non-govemmental organisation (NGO) in its own right. We share common systems, structures and expertise as well as an integrated operational presence in more than 65 countries in Africa, Asia, Latin America, the Middle East and Eastern Europe. As such, the CARE office in Ghana is part of the operational structure of CARE International.

8 If the donor is the European Union or an EU Member State, please specify the EU budget fine, EDF or EU Member State¿щщавбшаиИЕ5ИЯВ8ияа8ЯМиир|

Page 29tesu

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r¿^^Д[a¡!a^я¡яι^я¡n=гiд^ц!luяи!i^»н^^lщι^¡μJm^!i^κi^:li^;n^■i^ιиπ·Jlawali^κaΐ■ι¡^шtrιi»lДiiugЯ!«l!>ļlяaĮg=^i^a^^^^ί^ιяtг^^;иr!вrwnnя^;v!^»ly«м^n-^πreяv..^~U~^^-kг^ή^,oта'^■^..'. ¡_______ ,... .________ ___Name oftheorgánisätioň: CARE Dànbarfc(iiriplementeà tHrouàħ i&AŔE íhtémátÍQñM'ih1 ĠhknaV:/;;Lead applicant ^ Co-applicant 1 I Affiliated entity__

Project title: į ........... ............ .Governance Initiative for Rights & Accountability ¡n Í Sector (re£ list of sectors in Sectorial experience in PADOR): 312 Forestry, 151 Govemmentand

• į Forest Management (GIRAF ) 1 civil society

Location Cost of the ! Role: Coordinator, action co-beneficiary,

(EUR) affiliated entity

Donors to the ! Amount action (name)9 ■ contributed (by

Ì donor)

Dates (ÍTom..to) dd/mm/yyyy

I Ghana 1,249,966 ; Coordinator ! EU (80%) Į EUR 999,973 ! Ist Jan. 2009 toI CARE Denmark | EUR 249,993 | 3 Is' Dec. 2012

į Objectives and results of the action

> Evidence from end of project evaluation shows results including:I · 45Q00 people in 90 communities in 30 Districts in 6 Regions in Ghana implementing forest forums as platforms for holding duty bearers accountable, with

linkages from the community level forums to the Districts, Regional and national forest dialogue forums, í · Transparency in forest sector has improved in 30 districts through utilisation of public audits, community transparency scorecards and making results publicly j available;i · Increased public awareness of the value of forest resources and of FLEGT in Ghana and dissemination of Ghana’s experiences to other potential VP A

countries;• Non Governmental Organisations (NGOs) and Civil Society Organisations (CSOs) have demonstrated increased capacity to undertake advocacy for improved

forest governance at district, national, and international levels.11 w* m m«sH mnsv 9 пишгшшгишмм мия к ¡квдшздя ucHjwffM nf ¡ншюлп rawwssfiiní^eatfiRH^mTOHSHHíiíUsfeiROiaíiKwaaítasípwiwtfcpís •?=«4<%?Sw?.íí?í<5^S?JrS5ía2*SS2

9 If the donor is the European Union or an EU Member State, please specify the EU budget line, EOF or EU Member State

Page 30

kí ry

i

«in.tum-.aiwramiCWÜ· 2 ¡

i«minrø.nsirøiram^!B3S1*ii!røiiiIUtt4^ww»»M!^wKiiii»iaisaiiii«ro»mø!i^^Į Nante òf the organisation: CARL Ghana į Lead applicant _2£ Co-applicant ľ I : Affiliated entity F j

ļ Project title: j Sector (ref. list of sectors in Sectorial experience in PADOR):\ · ' i: i Pathways to Secure and Resilient Livelihoods for 1151 (Government and civil society), 1.5170 (Women’s equality organisations and instititions),

ļ Women ļ 43040 (Rural Development), 311 (Agriculture)

Location ļ Cost of the | Role: Coordinator, j Donors to the | Amount Dates (from.-io)į action j co-beneficiary, affiliated j action (name)10 | contributed (by dd/mm/yyyyj (EUR) I entity į donor)

Ghana j 915,831 USD | Coordinator j Bill and Melinda } 915,831 USD j Nov. 2G13-Oct20I6! I ! Gates Foundation 1 !! ! Í!)

Objectives and results of the action

The Pathways to Secure and Resilient livelihoods project seeks to empower poor women· smallholder farmers through their more productive and equitable : \ engagement in sustainable agriculture. Pathways employs 5 strategic approaches

l) Nurturing collectives and community groups: 2) Promoting intensified and sustainable agriculture, 3) Developing more inclusive mid efficient markets and services, 4) Engaging Elites and Power Holders including men and boys m shifting social norms, and 5) Supporting Advocacy and Policy Change.

. To date project reached 8,082 smallholder farmers( 7,014 women and l,068men). Key results are: Improved skills, better access to extension, use of improved technologies leading to 63% increase in yield and income and increased household diversity. Communities developing by laws to enable women access land. Gender dialogues and sensitization enable women participation in decision making in the household and communities. The initiative influenced increase in 1 number of women appointees in the targeted district assemblies from 1 woman to 5 women. In addition, 18 women project participants successfully context and elected as unit committee members in district Assemblies.

тшг«ш№ггш№№ад«1плн!шяа1п шдемршншшгшцмк : : * a ; k грл“ æt к â sc-a sa » чзд r seü un uytpííS n. ■ re л n <i<* *^<т- — j .Λνν.^- .ч*-·. ..... ··.

10 If the donor is the European Union òr an EU Member State, please specify the EU budget line, EDF or EU Member State

Page 31

fiSSBEBSS

1:iaS4i!ní®n^!íaiiíiiV4aiHlJ!;!HiiR№n!!:5M!^r)í!i!/\!iHiÍWn!;nr."!a33:>íeíí(í!iniH4!iHiesn!>n!!anfiľrK1ÄiÄ:ii:u;n^iRna»j~^í;!L!»;!KŤ.nn!^aif/ňa^Bn(;iwnbíraraJsa»:asj!isr!is

ļ Name of the organisation: СА1Ж Danmark

Ί Lead applicant Xu », ^ ллш ii au uiai aCo-applicanť I í Affiliated entity! I

i Project title: FOREST

I Location Cost of the action ; Role: Coordinator,(EUR) ! co-beneficiary, affiliated entity

;j Uganda 3.289.723 EUR ! Coordinator

! Sector (ref. list of sectors in Sectorial experience in PADOR):Į 312 Forest, 151 Government and civil society

Į Donors to the action | Amount contributed ; Dates (from..to) Į (name)11 (by donor) dd/mm/yyyy

Į Danida 3.289.723 EUR 1st Apr 2013-31st December 2017

į Objectives and results of the action• Overall Objective: To support civil society and media in Uganda in combating deforestation and promoting sustainable natural resource management to the : benefit of poor citizens whose livelihood depend on the forest.

Specific Objectives:• 01 : Civil society coordination, networking and multi stakeholder collaboration leading to inclusive management of forest resource• 02: Civil Society effectively monitoring and advocating for appropriate forestry laws and regulations• 03: Civil society organizations empower poor and vulnerable citizens to participate in governance of forest resources in specific areas under threat• 04: Civil society organizations have increased own legitimacy, accountability and transparency through capacity building.

Results:• Coalitions and networks have been established developing joint position papers and conducting quarterly meetings discussing harvesting and forestry»

í license. This has brought national attention to local forestry issues working in collaboration with media.• ICT platform has been established, and Community Based Monitors are reporting illegal forestry practices through the ICT platform using mobile phones

! with photo documentation and GPS location. This has increased the number of cases followed up by authorities and reduced incidences of illegal logging.• 3 · Î 466 people have received information on rights to forest resources, 5 coalitions were formed to influence forestry» policies at district level reporting a total

j of 493 cases.I · The number and level of partners and CSO members meet the QuAM standards and have a clear strategic plan on forest governance.I The project is implemented in partnership with Advocates Coalition for Development and Environment, Anti Corruption Coalition Uganda, Panos Eastern Africa,

Ί Joint Efforts to Save the Environment and Environmental Alert.

If the donor is the European Union or an EU Member State, please specify the EU budget line, EDF or EU Member State

Page 32

?»UlTSn!Sl>i;liei«mñÍniUHBÜH(«i;«fi0iUIUI]111íí«!l!il!¡i!S>S!SU*!iaíÍI!nSriaB«l¡Ilr!1^i¡bBná :«--SSK33ES«ía=E=5W5Name of the organisation: CARE Danmark {implemented through GARE International in Kenya)

Lead applicant Y Co-applicantF ľ Affiliated entitvl 1Į Project title: Kilimo Biashsra - Responsible Sourcing from Africa

Location

j Sector (ref. list of sectors in Sectorial experience in PADOR): SECTOR: į Agriculture (311),

ļ Cost of the action ļ (EUR)

Role: Coordinator, Į Donore to the actionco-beneficiary, affiliated entity ļ (name)12

Amount contributed (by donor)

Dates (from..to) dd/mm/yyyy

ļ Kenya į 700.520 EUR j Coordinator į Danida Business [ Partnerships j (Denmark) and the j largest retailer in j Denmark; COOP i (private sector)

350.260 EUR 350.260 EUR

1st Jan 2012 - 31st Dec :· 2016

Objectives and results of the actionObjective: To address bottlenecks in value chains for sugar snaps, green beans and baby corn with the purpose of increasing sector competitiveness of the value chains and livelihoods of the participating outgrowerş.

: j Results: In collaboration with a buyer and exporter of vegetables, the project supported the organisation of seven farmers’ groups with 294 outgrower farmer i members. The capacity of groups was built on group governance and production, data management. A simplified format for outgrower contracts was developed

: I and farmers signed contracts with the buyer.; Households increased their income by 39% over two years. The level of rejects due to quality problems was reduced. A total of 3,235 farmers joined savings and I loans groups and gained access to capital. By 2014, groups had accumulated the equivalent of €32,500.

I Since inception of phase II, the project has rolled out a new scorecard system to assess outgrower-buyer relations. Challenges of the seven supported outgrower I farmer groups were assessed and plans made to address them in the course of the project. Farmers were trained in grading of vegetables.

: j The project has been implemented in partnership with business partners COOP (Denmark) and Sunripe (Kenya)

12 If the donor is the European Unien or an EU Member State, please specify the EU budget line, EDForEU Member State

Page 33

; Naftié of lhe-organisation: CARE Danmark ··.·.. :Co-applicant 1 1 Affiliated ċntitvl ILead applicant У

ļ Project title: Adaptation Learning Programme (ALP) j Sector (ref. list of sectors in Sectorial experience in PADOR):I j SECTOR: Agriculture (311)

Location

I Kenya, Mozambique, Ghana, Niger

Cost of the action (EUR)

j Role: Coordinator,j co-beneficiary, affiliated entity

i Donors to the action j (name)13

j Amount contributedI (by donor)

Dates (from..to) dd/mm/yyyy

11,673.987 EUR j Coordinator

į

í

j DFID ļ Danida? Ministry of Foreign ï Affairs Finland ! ADA

! 7.003.801 EURÍ 2.383.931 EUR ! 1.934.244 EUR í 352.010 EUR

j 1st Jan 2010-31st : June 2015

I Objectives and results of the actionI Overall Objective: To increase the capacity of vulnerable families to adapt to new climatic conditions and make them able to survive catastrophes occurring more

. j frequently as a consequence of climate change, į Specific Objectives:

• Develop and apply innovative approaches to Community-Based Adaptation (CBA) to generate lessons and good practice modelsi · Strengthen the voice of local communities and civil society organisations in decision-making on adaptationj · Promote gooc practice models for CBA among adaptation practitioners and in local development planning

• Influence adaotation policies and plans at national, regional and international levels to respond to the differential vulnerability of poor and marginalised people, in particular rural women

• Support networks, disseminate results and learning globally.I Results: ALP has had a strong influence on: Financial resources available for CBA and adaptation at country level in Kenya, Ghana and Niger through ! mainstream adaptation finance sources targeted to CBA. At global level resources have been increased for CBA, as well as policy guidance on approaches to I addressing populations especially vulnerable to the impacts of climate change. Integration of CBA into policies and plans in Kenya, Ghana, Mozambique and

Nige*. Improved quality and results of civil society inputs to the development of the Africa Common Position for the United Nations Framework Convention on Climate Change (UNFCCC) process, working with the Pan Africa Climate Justice Alliance (PACJA) and others. The practice of CBA as a highly-effective approach to adaptation in Kenya, Ghana, Mozambique and Niger, and outreach to a range of other countries in West, East and Southern Africa.

If the donor is the European Union or an EU Member State, please specify the EU budget line, EDF or EU Member State

Name of ţheprgânisaltioii: CÁRÉ Danmark

Lead,applicant Co-applicant□ Affiliated entity□fI Project title: Ardhi Yetu (our lands) ļ Sector (ref. list of sectors in Sectorial experience in PÄDÖR):

I 15ľGovemmentand civil society, 15160 Human rights

Location Cost of the action Role: Coordinator, j Donors to the action ! Amount contributed Dates (from..to)! (EUR) į co-beneficiary, affiliated entity Í (name)14 (by donor) dd/mm/yyyy

Tanzania ! 2.050.530 EUR 1 Coordinator j Danida i 2.050.530 EUR : 1st Jan 2014-Slst11 : December 2017

Objectives and results of the actionOverall Objective: To support and advocate for the right to land for small scale farmers, women and pastoralists through capacity building in civil society on local and national level.Specific Objectives;

; · Local/district levei: mobilising and raising awareness among farmers, pastoralists and civil society actors to engage politically and through media in theį tight for right to land .į · National level: raising awareness nationally on issues of rightto land, right to food and gender issues in collaboration with national media and human į rights organisations

* Regional/mtemational level: The program will facilitate political debate and shared learning across borders through global connections to private and I public actors and through peer review reporting.I The project will be implemented in partnership with three national civil society organisations: Journalists Environment Association of Tanzania (JET), The Land l Rights Research and Resources Institute (LARRI) and Tanzania Natural Resources Forum (TNRF).

14 If the donor is the European Union oran EU Member State, please specify the EU budget line, EDFor EU Member State

"ИЛИ II...ly

Niilin· «f 1ho ·>ι "Jinis,ilion: ( \UI DsinnisirkLeadapplicantļ ^ļv; · ; Co-applicant I \łtlli:iTcil entityI I Affiliated entity! I

кгаагда^д^ЕЕйгйаг:

ļ Project title: Fair management of natural resources and strengthening of civil J society (PROGRES l-II)

Sector (ref. list of sectors in Sectorial experience in PADOR):

151 Government and civil society, 15160 Human rights

Location

; Niger, Diffa and : Niamey regions

Cost of the action(EUR)

Í : 5Тз 55. 96 i" EUR

И: 2.633.555 EUR

ļ Role: Coordinator,í co-beneficiary, affiliated entity

j Coordinator

I Donors to the action (name)15

1 Danida

; Amount contributed (by donor)

; I: 5.355.961 EUR i II: 2.633.555 EUR

Dates (from..to) dd/mm/yyyy

I: Is' Jan 2006 - 3 Г! Dec 2012И: 1st Jan 2013-31st Dec 2017

i I Objectives and results of the action

; ļ Overall Objective: To contribute to the promotion of a strong, diverse, and committed civil society which represents and defends the rights of pastoralists.; Specific Objectives:

• 01: By 2017 civil society partners will have improved governance and management practices; ! · G2: By 2017 civil society organisations are influencing the institutional and political environment for developing pastoral activity on national and local

I level.

Expected Results:• R1 : Four criteria have been prioritised to evaluate improvements in governance practices: legitimacy, transparency, responsibiiity/accountability, and

participation. It is expected that the civil society organisations will havs improved their operational and technical performance and that representation within the organisations has improved.

; · R2; Key actors will be influencing politically and practically cm national and cross-border level and will be mobilising activity through ECOWAS.Advocacy strategies for pastoralists are developed and implemented by strategic partners.

! The project is implemented in partnership with AREN, RBM and DEMI-E.

15 If the donor is the European Union or an EU Member State, please specify the EU budget line, EDF or EU Member State

Vin> .1.1 'm*

Page 36

ряяшгиа!1!|11ип1ТО1т!Пдврда1а1и?1вяш!1Цждпда1|.;!1,;«1|в1зди|;^11!8ми1^^^дои^^1д^1впа1гр1ж;а-дя№--а1-а1^^ьа^ —j Name oř the organisation : CÁRÉ Йай тагк¡ Lead applicant Л Co-applicant [ I Affiliated entityQ

ļ Project title: Insecure Lands-New Alliances for the Promotion of Universal į Values

I Sector (ref. list of sectors in Sectorial experience in PA0OR):

[151 Government and civil society* 15160 Human rights

Location Cost of the action (EUR)

į] Role: Coordinator,ļ co-beneficiary, affiliated entity

Donors to the action (name)16

! Amount contributed ! j (by donor)

! NigerIĪ 403.718 EUR į Coordinator

1Danida

• 4Ö3.718 EUR

! Objectives and results of the action

Dates (from, .to) dd/mm/yyyy

PrJ un 20 Í4 -31^М ay- 2017

ļ Overall Objective: To protect pastoral lands against illegal occupation and land grabbing I Specific Objectives:! · 01: Illegal occupation of pastoral land is being denounced by the local leaders of pastoral civil society organisation AREN,į · 02: Civil society actors undertake evidence based advocacy against illegal pastoral land grabbing in national and international spaces.

• 03 : The judicial system, political lobby and local agreements are used to try and claim back occupied land.Expected Results:

• R.Ì : Legal literacy of local AREN groups on land rights are reinforced and land rights institutions in pastoral zones are strengthened thus enhancing the voice of AREN.

• R2: Regional learning and lobby at ECOWAS level is reinforced and access to information is improved through the creation of a common database. The UPR process is prepared through the development of a parallel report on land grapping in Niger and a link will be facilitated to pastoral groups in Kenya and Tanzania for improved south-South learning.

• R3: Dialogue with non-convetitional actors (e.g. extractive industries) is improved to advocate for voluntary adoption of international standards. The capacity of local AREN groups to use the judicial systém is reinforced .as ís the capacity of lawyers to defend the right of pastoralists. Pastoral land grabbing is monitored and documented.

The project is implemented in partnership with AREN and RBM (Billital Maroobe)

16 If the donor is the European Union or an EU Member State, please specify the EU budget line, EQF or EU Member State

Page 37

Page 38

1 Nainŕ· of tlir!ftrnani<i«.»łinn· ñYPiM ßli :■■ :

Affiliated entity Į Į; Name of the,organisation: OXFAIVľ GJ5

Lead applicant Со-йррИЩй! У

! ļ Project title: Enhancement : I access to markets by small

= į producers especially women

Sector (ref. list of sectors in Sectorial experience in PADOR): Sector: Agriculture: 31130- Agricultural land resources; 31140- Agricultural water resources; 31150-Agricultural inputs; 31161- Food crop production; 31162- Industrial crops/Export crops; 31163- Livestock; 31166- Agricultural Extension; 31181-Agricultural Education/Training; 31192- Plantând post-harvest protection and pest control; 31193-Agricultural financial services; 31194-Agricultural cooperatives (25) Business and other services: 25010- Business support services and institutions. (43) Other multisector: 43040- Rural development

Location

Salima District,.

Malawi

I Cost of the action I (EUR)

! GBP 731,956 (EUR 956,432)

Role: Coordinator, co-beneficiary, affiliated entity

Coordinator

Donors to the action (name)17 j Amount contributed = Dates (from..to)j (by donor) dd/mm/yyyy

Ί IFAD 1 GBP 731,956 (EUR \ 01/04/2012 - 31/03/2015 į 956,432)

Objectives and results of the action Objectives of this project are:

1. ‘To contribute to poverty reduction through enhanced resilience capacity to climate change in a fair, just and equitable manner’2. To build the resilience capacity of smallholder farmers especially women by reducing vulnerability and increasing adaptation to climate change and its

impacts’3. ‘To advocate for the formulation of the Malawi Climate Change Policy that integrates views from CSOs and smallhoder farmers especially women.14. To orient the Malawi Disaster Risk management Policy to the wider CSO community and smallholder producers especially women'

Expected Results:Result 1.1: Capacity of farmers to reduce vulnerability and adapt to climate change and.its impacts builtResult 1.2: A Malawi Climate Change Policy that incorporates views from CSOs and smallholder fanners especially women developed and implemented: Result 1.3: Understanding of the Malawi Disaster Risk Management among CSOs and smallholder farmers especially women enhanced;Result 1.4: A fair and equitable deal on climate change policy and legal frameworks at national and international levels reached.

17 If the donor is the European Union oran EU Member State, please specify the EU budget líne, EDF or EU Member State

IЮИИШТПЛЯ Щ№)Я mftÍÍUHfltm ЛЯ ftflil« JB КЙШЯВГЛМва «ttí j ШШРПЛ«Ш»пГЙ1*;*| bnin Hl« ПП*«! üiirri *№!Я» яшяшжкгая

Name of the organisation: OXFAMGB Lead applicant 1 I Co-appliċant У Affiliated ėntityOProject title: Restoring Coastal Livelihood in South Sulawesi, Indonesia Sector (ref. list of sectors in Sectorial experience in PADOR):

Rural Development (43040)

Location

Indtanesia: Pangkajene, I Kepulauan, Barru,I Marcs, and Takaiar I Districts. South ļ Sulawesi

Cost of the action (EUR)

3,798,816.93

Role: Coordinator, co-beneficiary, affiliated entity

Coordinator

j Donors to the action I (name)18 j Oxfam Canada í (DFATD as back ! donor) and The j Waterloo Foundation

Į Amount contributed (by donor)

I 3,798,816.93

Dates (from..to) dd/mm/yyyy

18/02/2010 to

31/03/2014

I Objectives and results of the actionI Objectives of the project is It aims to enhance the livelihood seciaïty of 5,400 vulnerable coastal communities on the west coast of South Sulawesi using a j multi-stake holder, collaborative approach to improved management of the inter-tidal region, including sustainable utilization of resources and ecological ! mangrove restoration (EMR). A special focus will be placed upon empowering women, securing their rights and enhancing the well-being of coastal í communities.Í Result of the action: Mangrove rehabilitation for 50 ha out of 70 ha targeted area, local government in village and district levels has issued local bills Į (peraturan daerah) related to coastal natural resources management and regulation, vulnerable groups (women, children) has increased their access to ļ participation in the decision making process'th-ough village meeting for development (Musrembang) mechanism, and revolving fund (money and in-kind) I has revolved and has reached more vulnerable groups in targeted areas.

18 If the donor is the European Union or an EU Member State, please specify the EU budget line, EDF or EU Member State

Name of the organisation: OXFAMLead applicant |___| Co-applicant _Jţ_ Affiliated entity! |-

: j Project title: Improving governance in the fishery sector as an entry point for í enhanced small-scale livelihood security and the capacity of non-state actors to

; Į engage in rights-based advocacyį Sector (ref. list of sectors in Sectorial experience in PADOR): Į Agriculture, Forestry and Fishing; 31310,31320

Location

! j Myanmar (Ayeryarwadv '·; í Division, Dedaye and į\ PyaponTownships)

į Cost of the j Ŕole: Coordinator, Donors to the action \ Amount contributedaction co-beneficiary, affiliated entity (name)19 (by donor)

I (EUR) II 568,018.90 j Coordinator j United Nations office f568,018 90

j j for project services

Dates (from..to) dd/mm/yyyy

"01/04/2017- 31/08/2014

! I Overall Objective: Improved governance in the fishing sector improves income and sustainability of fishing livelihoods at community level for small fishermen j and associated livelihoods in Pyapon and Dedaye and demonstrates the positive role of non state actors in facilitating pro-poor change.

• j Specific Objective: Strengthening the capacity of civil society organisations and fishing communities to engage more productively in the fisheries sector in• j southwest Myanmar.

j Results: l. Organisation of fisher folk around identified priority issues supports access to fishing rights. 2. Fish production, marketing chains and 1 i alternative/complementary income opportunities are enhanced for the benefit of small producers. 3. The capacity of the national partner Network Activities Group

■ į to influence positive change in structural blockages is enhanced and as recognised by other non state actors, increases their confidence to tackle local governance į issues. To achieve the above results, the project carried out the following main activities: Organisation of fishing groups, establish links with Department of

j. j Fisheries, advocacy training and workshops at village and township level, Market analysis, establishing the role of women in the sector, organisation & training of ί j community-based fish collector group, establishment of revolving fund, piloting aquaculture micro-projects, formation of processors’ groups & identification of 4 ÏGA opportunities, establishment of market information systems. National partner training and capacity building, analysis of key brokers/targets, alliance building : į or collaboration, project orientation with key stakeholders and coordination of activities, engagement with MFF at national level, documentation of process and f i production of communications materials including newsletters, monitor and documentation of the progress of the approach and disseminate lessons learnt.

If the donor is the European Union or an EU Member State, please specify the EU budget line, EDF or EU Member State

Page 41

1 -л.гу?т* ̂».-,- —o . .^-V > c™.'*. >-w.

ittmniuuji'fteuw Í~?R5 Πί ÜTЛ ! îl 5 Ü i ft ftftTrS Ги’ £ö*rJÏÏ i iłt *' íít* P ?? ?î 4r&5¿ Й2: «Sn jSflt« : í “fcíü ?7łJTi

Name of the organisation: ÖXFAMCffi Lead applicant 1 I Co-applicant X AffiliatedentityDProject title: Promotion of community rights on coastal resource management for sustainable livelihoods of coastal communities

Į Sector (ref. list of sectors in Sectorial experience in PADOR): ļ 410 General Environmental Protection, 313 FISHING

Location ¡ Cost of the action j Role: Coordinator, i Donors to the action Į Amount contributed Dates (from..to)i (EUR) 1 co-beneficiary, affiliated entity (name) 1 (by donor) dd/mm/yyyy

Thailand ! 667,000 į Coordinator į EU (NSA) Ī 500,000 02/01/2012-01/01/2015¡ ; ! Oxfam GB1 ; i67,ooo

Objectives and results of the actionOverall objective: Increase recognition and awareness of the rights and demands of coastal fisherfolk communities in Thailand, and contribute to the sustainable use of coastal resources. Specific objective: Ensure marginalised coastal fisherfolk communities have increased rights and participation in decision-making over their coastal resources and livelihoods,

ļ Results:.11. Fisherfolk communities have increased awareness of community rights to resource management and have the skills to demand and exercise them.

2. 10 replicable model communities apply community rights in sustainable coastal resources management and livelihood.! 3. Strengthened fisherfolk networks have increased knowledge and capacity to better represent communities and advocating their community rights, į 4. There is increased public awareness and policy advocacy in support of community resource management rights, j Achievements:

158 activities were completed, reaching an estimated 3,249 people in the target groups. 20 fisherfolk communities increased their awareness of community rights. 8,600 fisherfolk endorsed the revised Fishery Bill. 10,198 fisherfolk endorsed the Coastal and Marine Resource Bill. At least 6 local administrative organisations showed signs of moving towards enacting community rules on coastal resource management. 3 fisherfolk networks are more engaged at the policy level. 3 representatives of traditional fisherfolks were included in the Fishery Bill parliamentary screening committee. The Association of Thai Fisherfolk Federations

i (ATFF) has increased its profile through lobbying and negotiating with state agencies and commercial fishery organisations. This led to ATFF co-hosting with the ! Thai Department of Fisheries (DoF) the 2012 annual assembly of traditional fisherfolk. Long-term ATFF-DoF cooperation is being discussed. The project ļ contributed to (1) the retreat of Chevron Thailand Exploration and Production Limited’s shore base project, and (2) an order by the Thai Marine Department to ; review its EIA report for Pak Bara industrial deep sea port in Satun.

Rage 42

«xsææ&KBsssæs:

Į Nąineofthe órganisatÍQH: Friends òf tiré Nation (ВоЩ

Lead applicant Go-applķahtüR'· Affiliated; entityDí Project title: Sustainable Fisheries Management Project (SFMP) j Sector (ref. list of sectors in Sectorial experience in

I PADOR): 313 FISHING........................................................ .................... ............................ . _____ _______________·_________________ _____________ __________ i__ ________ _______________ __________________

Location : Cost of the action į Role: Coordinator, j Donors to the action į Amount contributedj (EUR) ! co-beneficiary, affiliated entity j (name)20 (by donor)

j Ghana: National j 25 million euros ! Co-beneficiary ! USAID/Ghana ¡ 21 million euros: j Marine Fisheries ļ J \ í

! Areas;-Western j í j j: j Region, Central ļ [

Region, Greater į j jAccra Region and j ; ļ ļVolta Region 1 j lí

Dates (from..to)

dd/mm/yyyy

From01/10/2014

To

30/09/2019

j Objectives and results of the action The main goal cfthe project is to contribute to rebuilding of marine fish stocks (small pelagics) through the i adoption of responsible fishing practices. Key actions and expected results include: National and local level fisheries policy dialogue to improve

participation of about 2000 fishers in legislative formulation, planning and decision making. Research and science-based information sharing to stakeholders for improves fisheries, planning and decision making. Training of 250 Fisheries Enforcement Officers (Navy, Marine Police, MCS, etc)

. i and prosecutors for improved enforcement of fisheries law. Tracking of fisheries prosecution cases and provision of logistical support (4 Vehicles, j computers, furniture, etc) to FEU/Marine Police for enhance enforcement. Two (2) Community Resilience plans and demersal management plans to be

: ! developed for enhanced fisheries management. Enhance Communication (using; Radio, Community Durbar, drama, etc) to fisher folks about I sustainable fishing. Establishment of two media WhatsApp communication Platforms with about 70 journalists contributing to increased fisheries news I and publicity.

į ц ■ re ш гга t ц ts ̂ ! н í i premiss ssm t ţggy ? sti .¿-у y ;; z-JK^r.

2Q If the donor is the European Union or an EU Member State, please specify the EU budget line, EDF or EU Member State

Page 43

XJeädiäjißUbirit Co-appHcant L^_ Affiliated entity 1 I

j Project title: Strengthening CSOs participation in Oil and Gas Policy; \ Sector (ref. list of sectors in Sectorial experience ini Formulation í PADOR): 41Ü General environmental protection, 150

’ ! Government and Civil society

Location j Cost of the action į Role: Coordinator, | Donors to the action į Amount contributed j Dates(EUR) 1. co^beneficiary, affiliated entity ļ (name)21 (by donor) (from..to)

. . ! !.................. ..........................í j dd/mm/yyyy

I Ghana: Western ! euros j Coordinator Į Oxfam j 295,000.00 Į From! Regl0n ¡300,000.00 I ! : 01/08/2010

I I I ļ ; το:i I I ! ! : 01/05/2016

; Objectives and results of the actioni The project has contributed to community participation in local monitering and tracking of impacts of OH and Gas on fisheries livelihoods. Six (6); Community Environmental Monitoring Groups (CEMAGs) have been formed in the Western Region, who are actively monitoring, reporting and : engaging oil companies and stakeholders. Key results include the documentation of about 65 key cases of destruction of fishing gears by oil vessels, 5

: ! cases of minor oil spill, 6 cases of fatal accidents (collision between oil vessels and fishing vessels) and 15 successfully compensation packages secured ■ I from oil companies for affected smallholder fishers

!ва*аач!гч1*ивйв18и>вш1»>йжВД®мдам1КФа!»!1!1»>га*!мйят))И(!кта!ппшиадч«1Ш:!ая«г!3‘ййда^ ·

21 If the donor is the European Union or an EU Member State, please specify the EU budget line, EDF or EU Member State«mnWMľUini'Pť

Page 44

'1 Г Viliin i lumi um1 ... .............. .. WWWWWW*

Name of the organisation: Friends of the Nátibh (Fdtčį/■iiiiuníImi!aií^a-^Í:u¿r^i.f),4.;h4fwv4vaíin¿=íu.iiI««l««uí«:!áKK¿ π,,,«-un uswîîn^ci^^iijPitţ.^a^a^ii, ̂г.л u

Lead applicant|_J Čo-äpplicant ^| Affiliated entitya'

Project title: Advocacy for the Enhancement of Fisheries Sector Governance Į Sector (ref, list of sectors in Sectorial experience inļ PADOR): 313 FISHING

Location ! Cost of the action (EUR)

i

EUR

Role: Coordinator, co-beneficiary, affiliated entity

55,413.34

Ghana: "National marine areas;- W estem Region,Central Region, !

I Greater Accra ;j Region and Volta ļ Region į

: Objectives and results of the action

I Coordinator

Donors to the action(name)22

I DANID A, USAID .1 and EU

Amount contributed (by donor)

50,375.58

Dates (from..to)

dd/mm/yyyy

From01/07/2014

To

28/02/2016

The project contributed to a participatory development of fisheries enforcement strategy for improved enforcement of the Fisheries laws to contribute towards the regularization of the sector. Also about 1200 fisheries Stakeholders were informed to participate in compliance and enforcement of fisheries laws through the development and communication of policy briefs on fisheries enforcement Improved

; participation of fishers especially 240 smallholder fishers and 60 women in fisheries governance through series of national policy j dialogues and post-dialogue engagements. Established communication platforms to allow regular information interaction and į communication between enforcement officers and smallholder fishers for improved communication, compliance and effective i enforcement.

ntwtiw uû ягге.игдо пя η »ятоод&кздтгптод t ηππ uno т ш κ»»!«ι i%Kfc:i&u№i*!»r*№s№ г&ттгзу&дошнзпийц!! догзсзздрьояз

22 If the donor is the European Union or an EU Member State please specify the EU budget line, EDF or EU Member State

Page 45

1

Logframe matrix of the project

The logframe matrix will evolve during the lifetime of the project: neu lines wID be added for listing the activities as well as new columns for intermedian»' targets (milestones) when it is relevant and for reporting purpose (see "‘current value”) on the achievement of results as measured by indicators.iiiliiiiililįliį

ipillitll1

[î: ł*i · j· >t:it ij.: ~· i »5 i;p,yГлímoution logic Curi cut value

02.1J.2IH6

rSqurces.àndmeabsof'.;;-;:y-.:-;.v'verificä[tibn

Assumptions

¡ OO. 1To contribute to sustainable fisheries resources management to improve food security and nutrition and livelihoods of smallholder fishers and other users of fishery resources

00. 1.1% change ic InlandExclusion Zone (IEZ) fish stock levels

00. 1.2% increase in mean annua! household income in coastal districts

00. 1.1To be determined from February 2017stock

• assessment report by USAID-UCC Fisheries Project and Stock Assessment Data by Fisheries Commission (FC) Research Division

00. 1.2Ghs'H,351.13 (2014)

OO. 1.1Not available .

00. 1.2Ncs ¡available

00. u10% increase in IEZ fish stock levels

00.1.25% increase in household food security

00. u2020 Annual Stock Assessment Data byFisheries Commission (FC) Research Division

00. 1.2Ghana Living Standards Survey by GhanaStatistical Service

' SO. 1 SO. 1.1 SO. 1.1 SO. I.l SO. l.i SO. u SO. 1.1Smallholder fishers # of women and men · 0 women and men 0 women mid men 12,000 women and Annual project report, mid- Co-manaaement models areand processors smallholder fishers, men term review, finai successfully implemented.benefit from processors and traders SO. 1.2 SO. 1.2 evaluation (MoV: Analysis benefittina also womenequitable and benefiting from co- To be collected during Not available SO. 1.2 of impact in 5 tarsef

i \?д:‘¿'.'V ľ/jV I'-; į :''i sustainable rights- management schemes baseline survey 10% increase in communities) SO. 1.2- based fisheries SO. 1.3 prosecution by FC. Marine Police. IUU

resources SO. 1.2 SO. u Non applicable authorities of SO. 1.2 Committee and CSO reps are. management % change in prosecution by To be established based reported IUU cases Annual Project Report willing to cooperate andz authorities ofreported IUU on baseline survey (MoV: Comparing committed to principles ofi cases SO. 1.3 enforcement unit registry' transparency-

10% increase with # of arrests and·- SO. 1.3 prosecutions) SO. 1.3_ % change of fish processors Targeted women have/ and traders enaasina in SO. 1.3 sufficient financiai capital

alternative livelihood- Annual project report and are willing to investactivities (MoV:

Ex-ante randomised surveyk' (focus group interviews) of';V participants from gendered

market trainings)

15 July 2015FBB IOgframe..doc

Pase l of 1

% :íÍ?í!?['*í?;íS

Inplil'

!ļ;|Iļļiļļj

lill!·ί'-ίΠ;!:»-

1 1lì:15 k ►]·< ¡¿į r ;j : )5 ; ;?¿j ! .;!> i i jíj ( ţi·!·j ìndie nors

(20lf¡)

Curren* vidne

02 1J 2ftl<ī

Pargets

(2020)

^■^агсй^)йп$тЙп8:0Т;::'!|·-r--į -:44i 5: ¡vért fl ťat ¿-¿¡ΐ

Assumptions

Sii Op. 1 Op. 1.1, Op- 1.2 Op. 1.1,0p. u Op. 1.1, Oo. 12 Op. Ι.Ι,Ορ. 1.2 Op. Ι.Ι,Ορ. 1.2 Op. 1.1,Op. 1.2í;·)!,:«::: Smallholder fishery % increase in organisational To be based on baseline Non applicable 50% increase in Annual Project Report Tlie fisher.· associations andassociations and capacity of NAFPTA, Ghana survey capacity (MoV: alliances engase and take

r civil society National Canoe Fishermen Op. 1.3 CARE Strategic Partner ownership of their ownalliancesare Council (GNCFC), National Op. 1.3 Non applicable Op. 1.3 Organizational Self- development processpi;;:«;: empowered and take Inland Canoe Fishermen’s To be established based 10% increase in Assessment Tool)

\ active part in Association (N1CFA), and on baseline survey Os. 1.4.1 · media reports on Op. 1.3¿¡¡Ш&п? lii·!;®; fisheries governance Ghana Inland Fisheries 0% women’s fisheries governance Op. 1.3 Journalists and editors are

ii: Association (GÍFA) Op. 1.4.1 contributions Annual Project Report willing to run stories from'j 0% women’s Op. 1.4.1 (MoV; Media tracking bv fisheries governance sector

:';!гШКУ- Op. 1.3 contributions Op. 1.4.2 50% women’s Centre for Media Analysis)¡lįliijliįi: % increase in media reports 0 policy- briefs, contributions Op. 1.4.1

on fisheries governance Op. 1.4.2 position papers and Op. 1.4.1 Women are wilting, and have0 policy briefs, position fact sheets Op. 1.4.2 Annual Project Report time, to contribute

Wú$ Op. 1.4.1 papers and fact sheets 7 policy briefs, (MoV; Documented by meaningfully% women's meaningful Op. 1.4.3 position papers and citizen report cardcontributions to citizen -eport Op. 1.4.3 1 draft Co- tact sheets consultant) Op. 1.42card questionnaires and focus l draft Co-Management Management Policy developed and Op. 1.4J

i ΨΜ·. group discussions, in line Policy presented to FC published Op. 1.4.2 Members of smallholderiii··!:;!;· with VGGT principles on and Ministry of Fisheries Annual Project Report, associations and civil society

gender equality and Aquaculture Op. 1.4.3 copies alliances willing toίη^Η1 DevelopmentfMOFAD) Co-Management participate in process

policy adopted and Op. 1.4.3íiiiiiiiir implemented in line Annual Project Reportiiļiijļsi Op. 1.4.2 with VGGT (MoV:

if of policy brief, position principles FC Annual Report)papers and fact sheets (all toinclude gender perspective)developed and published.

ш Op. 1.4.3•Status of drali Cc-

liįll'iįUiri Management poimy adc-ption- rľf/ŕľsV and implementation in line

HIwith VGGT principles

15 July 2015FBB logframe..doc

Page 2 of2

Y/yi

yi

yreywţga«?·»·« t¿££S¿¿Ko

lllillll

fíSí! ilsi ÍHíi Й !Sn p! ¡1 н: ií;Š 'r^ !š;í !ÖríÉ|i|í®ôô((j1Í!íl©^E; Basili™. Current vainc

02 11.2(116

Targets

(202(1)

^vťSptirěíS^nrwiBanŠOf','·'?Ш-К\; iv^Hň&fídh:’'ľ;!';

Assumptions

Op. 2 Op. 2.1 Op. 2.1 Ch. 2.1 Op. 2.1 Op. 2.1 Op. 2.1Effective Illegal, § of community-based No CMGs No CMGs • 5 CMGs Annual project report. Tarse! communities continueUnregulated and Monitoring Groups (CMGs) (MoV: “functional” = to appreciate collectiveUnréported(lUU) functional in target Op. 2.2 Od. 2.2 . Op. 2.2 when IUU cases are benefit from participation inmonitoring and communities No IUU cases reported No IUU cases 350 ÎUU cases uniformly documented and the Actiongrievance by the CMGs resorted by Urn reported by the reported).mechanisms piloted Op. 2.2 CMGs CMGs Op. 2.2

';:!:ί;Ι·ί!Γί!\Ί·; ;:l;.:5's tt of IUU cases reported by Op. 2.3 Op. 2.2 CMGs uniformly record and;Η^·ίΐιΓ;;ίι:;ί:·! li: CMGs No online knowledge Op. 2.3 Op. 2.3 Annual Project Report document IUU cases■'.VriìV:*AVįV' Y « » :; ’ ŕ: -ľ management platform Noon.ine 60 IUU cases (MoV: Grievances

Op. 2.3 knowledge reported to 1UU registries) Op. 2.2lii I;!··?: # of IUU cases reported Op. 2.4 management knowledge Community monitorina.

through online knowledge No complaints processed platform management Op. 2.3 media follow up andmanagement platform. •through IUU platform Annual Project Report multistakeholder platformsincluding IUU tracking Committees Op. 2.4 (MoV: § of data entries) will provide sufficient

No complaints Op. 2.4 incentives for FisheriesOp. 2.4 Op. 2.5 processed through 175 complaints Op. 2.4 Enforcement Unit (FEU) toU of complaints processes 0% female CSO IUU Committees processed through Annual Project Report follow up on casesthrough IUU Committees representatives IUU Committees (MoV: Grievance

Op. 2.5 registries) Op. 2.3Op. 2.5 Op. 2.6 % female CSO Op. 2.5 IUU Committees gain the

:ί:Γ!·:ΐ1·ΐ;:ί?ιΐ'!Η:ί!;ιί %offeina!e CSO No NAFAG executive representatives 30% female CSO Op. 2.5 knowledge and interesti »r': ' í¿: :ľ; 2: : f LtJ ϊ- : i= representatives in biannual members representatives Annual project report. necessary to contribute to the

multistakeholder platform Op. 2.6 (MoV: Training reports. online platformdialogues Op. 2.7 No NAFAG Op. 2.6 sender disaggregated lists

No IUU Code of executive members At least x% of of participants) Op. 2.4Op. 2.6 Conduct NAFAG members IUU Committees uniformlyÜ % ot'National Feheries Op. 2.7 who learnt and are Op. 2.6 record and document casesAssociation of Ghana No IUU Code of applying FAO code Annual Project Report

•iiii5 -.vL:!ļUi:;:^:rļv, (NAFAG) members who Conduct of conduct fot (MoV: Training reports. Op. 2.5, learnt and are applying the responsible fisheries list of participants) FC, Marine Police. IUU

FAO· Cede of Conduct for in line with VGGT Committee and CSO reps arcResponsible Fisheries in line in IUU prevention Op. 2.7 willing to cooperate and

:iłV i·;ľí^::í-ϊ'Î:5 : :::H with the VGGT principles in Annual Project Report committed to principles ofIUU prevention Op. 2.7 (MoV: GITA and GIFA transparency

1 IUU Code of endorsement of IUU CodeConduct adopted of Conduct) Op. 2.6

Op. 2.7 Willingness of NAFAG. Status of NAFAG adoption executive members.

of IUU Code of Conduct especially GITA and GIFA.to participating

Op. 2.7Willingness of NAFAGexecutive members.especially GITA and GIFA.to participate in self-

Í;'ÍÍrlv*?!^1ÍI-Í Ϊ!Ι':'\ monitoring and compliance

15 July 2015 Page 3 of 3FBB bgframe..doc

НШ1Ш Bii slil i !=i’íl! ! ä iūĮi'SSsiūĮiiį"!Basdiiic tuirentvaluo largeb . Sources andShcans of : 1 Assumptions

Iliiül ¡IllISSISlillllllilll (2036) 02 112016 (2020)verification

Op. 3 Op. 3.1 Op. 3.1 Cto.3.1 Op. 3.1 Op. 3.1 Op. 3.1Social and economic # of economically No models identified and No models 5 models identified Annual Project Report, Stakeholders arc motivated tosafeguards sustainable, alternative analysed identified and and analysed copy of analysis invest their time incontribute to livelihood models identified analysed participatinc in informineiroprov ng and analysed Op. 3.2.1 Op. 3.2.1 Op. 3.2.1 and developing the analysislivelihoods and No analysis conducted Op. 3.2.1 1 gendered market Annual Project Reportnutritional status oí Op. 3.2.1 No analysis analysis conducted Op. 3.2.1

'•iįi*.:'·! v*;! !;'??;/-ÍÍi smallholder fishers H of gendered market Qp. 3.2.2 ccnducted Op. 3.2.2 Stakeholders are motivated toand other users of analyses conducted in target No VSLAs established Op. 3.2.2 Annual Project Report invest their time infishery resources communities under the Action yet Op. 3.2,2 50% ofVSLA (MoV: Ex-ante survey participatinc

Op. 3.2.2No VŞLAs members perceive (focused group interviews)

:!:.!!;ΐ:!:ί!·ΐ!ΗΊίί;.!··! Op. 3.2.3 established under “significant ofVSLA members from Op. 3 Л2¡¥ of VĐlage Savings and None benefittįng the Action yet improvement” in 10 randomlv selected The Community Based

iS:-v;:j:î j ;ΐ;:*Τ·.:;| j ř· Loans Associations (VSLAs) personal savings and VSLAs during Year 1 and Trainers (CBTs) si veestablished under the Action Op. 3.3 Op. 3.2.3 loans opportunities Year 4) sufficient trainine and followwhich arc functioning To be established based None benefitting up and members are

on baseline survey Op. 3.2.3 Op. 3.2.3 committed to save reeularlvOp. 3.2.3 Op. 3.3 30U beneficiaries Annual Project Report in the group and trust each# of people benefitting from Op. 3.4 Non applicable (min. 245 women) (MoV: Training reports) other.business development To be established basedtrainings (min. 70% women) on baseline survey Op. 3.4 Op. 3.3 Op. 3.3 Op. 3.2.3

Non applicable 20% improvement Annua! Project Report Motivation of participants toOp. 3.2 Op. 3.5.1 in district assembly (MoV: Mean community participate actively

;?.?Σ ji % improvement in scores of Land tenure security of Op. 3.5.1 services delivery score card matrix resultsdistrict assembly basic smallholder fishers. Same as baseline aggregated annually across Op. 3.3service» delivery processors and traders value Op. 3.4 target communities) District assemblies are

Op. 3.4# of poor and marginalised smallholder fishers and

not part of national 15% increase ín willing to seek to improvepolicy discussions

Op. 3.5

Op. 3.5Non applicable

levels of social protection

Op. 3.4Annual Project Report, copy of analysis (MoV:

upon their perceived levels of accountability

processors benefit from social protection schemes

To be established during Op. 3.5.1 Quantitative analysis of Op. 3.4

¡¡IÍIĚ|!1| baseline survey; 5 fish landing sites mapped, demarked

government policies, including simple set

Civil society recommendations are

;!şS; %ШаШ Op. 3.5.1 and documented criteria for selection) adopted by the governmentStatus of mapping larding sites Op. 3.5.1 Op. 3.5 Op. 3.5

■Μ !Ф! iríü·:! i 3,661 women and Annual Project Report Government authorities are''SIÎîIÎÎÂæV:

Op. 3.5.2Ц of smallholder women and men fishers, fish traders and

men fishers, fish (MoV: Simplebaseline and responsive and willing totraders and endline surveys) address land tenure across

.i:. ;V^;:r.·;·:";;

processors get access to secured fish landing sites

government sectors

processors get access to secured -fish landing sites

;& #¿¡$$¡¡*‘11;$

15 July 2015FBßbgframe..doc

Page 4 of 4

ΙΙιΙΙι

Activity Ì.1 - Develop 10,500 copies of information, education and communication materiais, and trainers ' manual on VGCT Guidelines, co-management, ¡UUs and other fisheries policies and laws

Means:

Staff time, consultant, materials for printing

Costs

€53,378 EUR

Refer to output level assumptions

Activity J.2 - Develop organisational capacity of Means:smallholder fisheries associations and CSOalliances Staff time, training venue package, consumables, office facilities, vehicle

¡lili! Costs

€7,000 EUR

Activity Ì.3 - Train selected (45) journalists on Means:fisheries governance

iïSMlii Stafftime, training venue package,· consumables, qffice.facüities, vehicle

Costs

§iiipi§p$ €29,370 EUR

¡lilli! Activity 1.4.1 - Develop two citizen report cards Means:on "The State of Fisheries Governance inGhana” together with fisheries stakeholders Consultant, stafftime, training venue package, office facilities, vehicle,

¡lillil materials for printing '

■¡$?:$$|!!· Tiį$įįlįjį Costs

llllįllll €20,900 EUR

iActivity 1.4.2 - Develop policy briefs, position Means:

Jľ papers and fact sheetsStaff time, training venue, office facilities, vehicle, materials for printing

iili!!!! Costs¡IÜ

€11,952 EUR

15 July 2015 FBBlogframe..doc

Page 5 of 3

mm

Activity 1.4.3 - Co-organise ammal sector review Means:

Staff time, training venue package, consumables, office facilities, vehicle

Costs

€51,632 EUR

Activity 2.1 - Form and train Community-based Monitoring Groups on IUU monitoring, reporting and documentation

Means:

Staff time, training venue package, consumables, office facilities, vehicle

Costs

€59,700 EUR

Activity 2.2. - Develop and operationalise an 1CT tool for monitoring and reporting on IUUfishing

Means:

Staff time (CARE IT Officer), office facilities

Costs

€11,750 EUR

Activity 2.3 - Develop an online platform for collecting and analysing IUU reports

Means:

Staffarne (CARE IT Officer), consultants, office facilities

Costs

€11,960 EUR

Activity 2.4 - Form local IUU grievance committees for immediate follow up to cases reported

Means:

Staff time, consumables, vehicles, office facilities

Costs

€0 EUR (integrated with cost of Activity 2.1)

15 July 2015FBB !ogframe..doc

Page 6 оГ6

;iü:iä

IB

' · ' - ---------- ------ —1—Activity 2.5 - Institute bi-annual multi- stakeholder platforms on JUVs and fishery governance

Means:

Staff time, training venue package, consumables, office facilities, vehicle

Costs

€39,920 EUR

Activity 2.6. - Train private sector fishers on iUV Means:compliance in line with VGGT

' Staff time, training venue package, consumables, office facilities, vehicle

Costs

€7,296EUR

Activity 2.7 - Support private sector fishers Means:association in developing “JJU Code ofConduct" for self-compliance in line with VGGT Staffarne, training venue package, consumables, office facilities, vehicle

\ Costs

. €3,324 EUR

Activity 3.1 - Conduct analysis of adverse Means:impacts of capacity reduction strategies on the livelihoods of smallholder fishers, especially Staff time, consultant, officefacilities, vehicle, materials for printingwomen

Costs

€15,000 EUR

Activity 3.2.1 - Conduct Gendered Enterprise and Means:Market Analysis

il

Staff time, office facilities, vehicle, materials for printing

Costs

€13,000 EUR

15 July 2015FBB logframe..doc

Page 7 of

¡*¡111!!

Activity 3.2.2 - Rollout community-managed savings, and loans schemes

Means:

Staff' time, savings boxes and passbooks, office facilities, vehicle

Costs

€39,300 EUR

Activity 3.2.3 - Business development training for Means:enterprise groups, tncl. value addition and marketlinkages and access Staff time, back office facilities, consumables, vehicle

Costs

lilii €19,472 EUR

iiiilí Activity 3.3 - Apply community scorecard Means:methodology to improve government services to

lillil fishery communities Staff time, office facilities, ve hicle

Costs

¡¡¡¡¡lill €60,764 EUR

Activity 3.4- Train women's community groups Means:on nutrition and food security measures,

IiiSlllli including improved nutrition hygiene Staff time, office facilities, vehicle, materials for printing

Costs

Silil! €74,550 EUR

Sisi!!! Activity 3.5 - Support in mapping, demarcation Means:and documentation of landing sites

Staff time, consultancy, office facilities, vehicle

Costs

Stiili €17,500 EUR

as the activities described in this logical framework in accordance wilhArticle9.4ofthe General Conditions.15 July 2015FBB logframe..doc

Pase 8 of 8

Ujjn

yif

Definitions:

“Impact" means the primary and secondary, long term effects produced by the Action.

“Outcome ” means the likely or achieved short-term and medium-term effects of an Action !s outputs.

“Output“ means the products, capital goods and services which result from an Action ’s activities.

"Indicator " is the quantitative and/or qualitative factor or variable that provides a simple and reliable means to measure the achievement of the Results of an Action.

'‘Baseline " means the starting point or current value of the indicators.

“Target" (or results Goal) means the quantitatively or qualitatively measurable level of expected output, outcome or impact of an Action.

A “logical framework matrix” (or ‘‘logframe matrix”) is a matrix in which results, assumptions, indicators, targets, baselines, and sources of verification related to an action are presented.

The intervention logic tells how, in a given context, the activities will lead to the outputs, the outputs to the outcome(s) and the outcome(s) to the expected impact. The most significant assumptions developed in this thinking process are to be included in the logframe matrix.

I S July 2015 Page 9 of 9FBB logfrarne..doc

Annex Π:General Conditions applicable to European Union-financed

grant contracts for External Actions

ANNEX IIGeneral Conditions applicable to European Union-financed grant

contracts for external actions

CONTENTS

Explanations of the terms used throughout these General Conditions may be found in the ‘Glossary of terms’, Annex Alato the Practical Guide.

In case of operating grants, the term "Action" should be understood as "Work Programme".

The term "Coordinator" refers to the Beneficiary identified as the Coordinator in the Special Conditions.

The term “Beneficiary(ies)” refers collectively to all Beneficiaries, including the Coordinator, of the Action. When there is only one Beneficiary of the Action, the terms Beneficiary(ies) and Coordinator should both be understood as referring to the only Beneficiary of the Action.

The term "party(ies) to this Contract" refers to the party signatory of this Contract (i.e. the Beneficiary(ies) and the Contracting Authority).

All references to "days" in this Contract are to calendar days, unless otherwise specified.

15 July 2015e3h2_gencond_en.doc

Page 1 of 25

Table of content

1. Article I - General Provisions........................................................

2. Article 2 - Obligation to provide financial and narrative reports

3. Article 3 - Liability..........................................................................

4. Article 4 - Conflict of interests and good conduct.......................

5. Article 5 - Confidentiality..............................................................

6. article 6 - Visibility.........................................................................

7. article 7 - Ownership/use of results and assets...........................

8. Article 8 - Evaluation/monitoring of the Action........................

9. Article 9 — Amendment of the Contract.....................................

10. Article 10 — Implementation.....................................................

11. Article 11 - Extension and suspension.......................................

12. Article 12 — Termination of the Contract..................................

13. Article 13 — Applicable law and dispute settlement..............

14. Article 14 — Eligible costs.........................................................

15. Article 15 — Payment and interest on late payment...............

16. Article 16 — Accounts and technical and financial checks...

17. Article 17 — Final amount of the grant.......................................

18. Article 18 — Recovery...................................................................

...3

„4

..5

..6

..6

..6

..7

..8

..8

..9

..9

11

13

13

17

21

23

24

15 July 2015e3h2_gencond_en.doc

Page 2 of25

GENERAL AND ADMINISTRATIVE PROVISIONS

Article ï - General Provisions

General principles

1.1. The Beneficiary(ies) and the Contracting Authority are the only parties to this Contract. Where the European Commission is not the Contracting Authority, it is not party to this Contract, which confers on the European Commission only the rights and obligations explicitly mentioned in this Contract.

1.2. This Contract and the payments attached to it may not be assigned to a third party in any manner whatsoever without the prior written consent of the Contracting Authority.

Data protection

1.3. Any personal data will be processed solely for the purposes of the performance, management and monitoring of this Contract by the Contracting Authority and may also be passed to the bodies charged with monitoring or inspection tasks under European Union law. Beneficiaries will have the right of access to their personal data and the right to rectify any such data. If the Beneficiary(ies) have any queries concerning the processing of personal data, they shall address them to the Contracting Authority. The Beneficiary(ies) will have right of recourse at any time to the European Data Protection Supervisor.

1.4. The Beneficiaiy(ies) shall limit access and use of personal data to that strictly necessary for the performance, management and monitoring of this Contract and shall adopt all appropriate technical and organisational security measures necessary to preserve the strictest confidentiality and limit access to this data.

Role of the Benefìciarv(ies)

1.5. The Beneficiary(ies) shall:

a) carry out the Action jointly and severally vis-a-vis the Contracting Authority taking all necessary and reasonable measures to ensure that the Action is carried out in accordance with the Description of the Action in Annex I and the terms and conditions of this Contract.

To this purpose, the Beneficiary(ies) shall implement the Action with the requisite care, efficiency, transparency and diligence, in line with the principle of sound financial management and with the best practices in the field.

b) be responsible for complying with any obligation incumbent on them from this Contract jointly or individually;

c) forward to the Coordinator the data needed to draw up the reports, financial statements and other information or documents required by this Contract and the Annexes thereto, as well as any information needed in the event of audits, checks, monitoring or evaluations, as described in Article 16;

d) ensure that all information to be provided and requests made to the Contracting Authority arc sent via the Coordinator;

c) agree upon appropriate internal arrangements for the internal coordination and representation of the Beneficiary(ies) vis- a-vis the Contracting Authority for any matter concerning this Contract, consistent with the provisions of this Contract and in compliance with the applicable legislation(s).

Page 3 of 2515 July 2015e3h2_gencond_en.doc

Role oí the Coordinator

1.6. The Coördinator shall:

a) monitor that the Action is implemented in accordance with this Contract and ensure coordination with all Beneficiary(ies) in the implementation of the Action;

b) be the intermediary for all communications between the Beneficiary(ies) and the Contracting Authority;

c) be responsible for supplying all documents and information to the Contracting Authority which may be required under this Contract, in particular in relation to the narrative reports and the requests for payment. Where information from the Beneficiary(ies) is required, the Coordinator shall be responsible for obtaining, verifying and consolidating this information before passing it on to the Contracting Authority.

Any information given, as well as any request made by the Coordinator to the Contracting Authority, shall be deemed to have been given in agreement with ail Beneficiary(ies);

d) inform the Contracting Authority of any event likely to affect or delay the implementation of the Action;

e) inform the Contracting Authority of any change in the legal, financial, technical, organisational or ownership situation of any of the Beneficiary(ies), as well as, of any change in the name, address or legal representative of any of the Beneficiary(ies);

f) be responsible in the event of audits, checks, monitoring or evaluations, as described in Article 16 for providing all the necessary documents, including the accounts of the Beneficiary(ies), copies of the most relevant supporting documents and signed copies of any contract concluded according to Article 10.

g) have full financial responsibility for ensuring that the Action is implemented in accordance with this Contract;

h) make the appropriate arrangements for providing the financial guarantee, when requested, under the provisions of Article 4.2 of the Special Conditions

i) establish the payment requests in accordance with the Contract;

j) be the sole recipient, on behalf of all of the Beneficiary(ies), of the payments of the Contracting Authority. The Coordinator shall ensure that the appropriate payments are then made to the Beneficiary(ies) without unjustified delay;

k) not delegate any, or part of, these tasks to the Beneficiaiy(ies) or other entities.

Article 2 - Obligation to provide financial and narrative reports

2.1. The Beneficiary(ies) shall provide the Contracting Authority with all required information on the implementation of the Action. The report shall describe the implementation of the Action according to the activities envisaged , difficulties encountered and measures taken to overcome problems, eventual changes introduced, as well as the degree of achievement of its results (impact, outcomes or outputs) as measured by corresponding indicators. The report shall be laid out in such a way as to allow monitoring of the objective(s), the means envisaged or employed and the budget details for the Action. The level of detail in any report should match that of the Description of the Action and of the Budget for the Action. The Coordinator shall collect all the necessary information and draw up consolidated interim and final reports. These reports shall:

a) cover the Action as a whole, regardless of which part of it is financed by the Contracting Authority;

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b) consist of a narrative and a financial report drafted using the templates provided in Annex VI;

c) provide a full account of all aspects of the Action's implementation for the period covered, including in case of simplified cost options the qualitative and quantitative information needed to demonstrate the fulfilment of the conditions for reimbursement established in this Contract;

d) include the current results within an updated table based on the logical framework matrix including the results achieved by the Action (impact, outcomes or outputs) as measured by their corresponding indicators; agreed baselines and targets, and relevant sources of verification;

e) determine if the intervention logic is still valid and propose any relevant modification including regarding the logical framework matrix;

f) be drafted in the currency and language of this Contract;

g) include any update on the Communication plan as provided by Article 6.2

h) include any relevant reports, publications, press releases and updates related to the Action;

2.2. Additionally the final report shall:

a) cover any period not covered by the previous reports

b) include the proofs of the transfers of ownership as referred to in Article 7.5.

2.3. The Special Conditions may set out additional reporting requirements.

2.4. The Contracting Authority may request additional information at any time. The Coordinator shall provide this information within 30 days of the request, in the language of the Contract.

2.5. Reports shall be submitted with the payment requests, according to Article 15. If the Coordinator fails to provide any report or fails to provide any additional information requested by the Contracting Authority within the set deadline without an acceptable and written explanation of the reasons, the Contracting Authority may terminate this Contract according to Article 12.2 (a) and (f).

Article 3 - Liability

3.1. The Contracting Authority cannot under any circumstances or for any reason whatsoever be held liable for damage or injury sustained by the staff or property of the Beneficiary(ies) while the Action is being carried out or as a consequence of the Action. The Contracting Authority cannot, therefore, accept any claim for compensation or increases in payment in connection with such damage or injury.

3.2. The Beneficiary(ies) shall assume sole liability towards third parties, including liability for damage or injury of any kind sustained by them while the Action is being carried out or as a consequence of the Action. The Beneficiary(ies) shall discharge the Contracting Authority of all liability arising from any claim or action brought as a result of an infringement of rules or regulations by the Beneficiary(ies) or the Beneficiary(ies)’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 3 employees of the Beneficiary(ies) shall be considered third parties.

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Article 4 - Conflict of interests and good conduc i

4.1. The Beneficiary(ies) shall take all necessary measures to prevent or end any situation that could compromise the impartial and objective performance of this Contract. 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.

4.2. Any conflict of interests which may arise during performance of this Contract must be notified in writing to the Contracting Authority without delay. In the event of such conflict, the Coordinator shall immediately take all necessary steps to resolve it.

4.3. The Contracting Authority reserves the right to verify that the measures taken are appropriate and may require additional measures to be taken if necessary.

4.4. The Beneficiary(ies) 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 this Contract, the Beneficiary(ies) shall replace, immediately and without compensation from the Contracting Authority, any member of its staff in such a situation.

4.5. The Beneficiary(ies) shall respect human rights and applicable environmental legislation including multilateral environmental agreements, as well as internationally agreed core labour standards.

Article 5 - Confidentiality

5.1. Subject to Article 16, the Contracting Authority and the Beneficiary(ies) undertake to preserve the confidentiality of any information, notwithstanding its form, disclosed in writing or orally in relation to the implementation of this Contract and identified in writing as confidential until at least 5 years after the payment of the balance.

5.2. The Beneficiary(ies) shall not use confidential information for any aim other than fulfilling their obligations under this Contract unless otherwise agreed with the Contracting Authority.

5.3. Where the European Commission is not the Contracting Authority it shall still have access to all documents communicated to the Contracting Authority and shall maintain the same level of confidentiality.

article 6 - Visibility

6.1. Unless the European Commission agrees or requests otherwise, the Beneficiary(ies) shall take all necessary steps to publicise the fact that the European Union has financed or co­financed the Action. Such measures shall comply with the Communication and Visibility Manual for European Union External Actions laid down and published by the European Commission, that can be found at: https://ec.europa.eu/europeaid/funding/communication- and-visibility-manual-eu-external-actions_en

or with any other guidelines agreed between the European Commission and the Beneficiary(ies).

6.2. The Coordinator shall submit a communication plan for the approval of the European Commission and report on its implementation in accordance with Article 2.

6.3. In particular, the Beneficiary(ies) 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 annual reports, and in any dealings with the media. It shall display the European Union logo wherever appropriate.

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6.4. Any notice or publication by the Beneficiary(ies) concerning the Action, including those given at conferences or seminars, shall specify that the Action has received European Union funding. Any publication by the Beneficiary(ies), 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 < Beneficiary(ies)’s name > and can under no circumstances be regarded as reflecting the position of the European Union.’

6.5. The Beneficiary(ies) authorises the Contracting Authority and the European Commission (where it is not the Contracting Authority) to publish its name and address, nationality, the purpose of the grant, duration and location as well as the maximum amount of the grant and the rate of funding of the Action’s costs, as laid down in Article 3 of the Special Conditions. Derogation from publication of this information may be granted if it could endanger the Beneficiary(ies) or harm their interests.

ARTICLE 7 - OWNERSHIP/USE OF RESULTS AND ASSETS

7.1. Unless otherwise stipulated in the Special Conditions, ownership of, and title and intellectual and industrial property rights to, the Action's results, reports and other documents relating to it will be vested in the Beneficiary(ies).

7.2. Without prejudice to Article 7.1, the Beneficiary(ies) grant the Contracting Authority (and the European Commission where it is not this Contracting Authority) the right to use freely and as it sees fit, and in particular, to store, modify, translate, display, reproduce by any technical procedure, publish or communicate by any medium all documents deriving from the Action whatever their form, provided it does not thereby breach existing industrial and intellectual property rights.

7.3. The Beneficiary(ies) shall ensure that it has all rights to use any pre-existing intellectual property rights necessary to implement this Contract.

7.4. In case natural, recognizable persons are depicled in a photograph or film, the Coordinator shall, in the final report to the Contracting Authority, submit a statement of these persons giving their permissions for the described use of their images. The above does not refer to photographs taken or films shot in public places where random members of the public are identifiable only hypothetically and to public persons acting in their public activities.

7.5. Unless otherwise clearly specified in the Description of the Action in Annex I, the equipment, vehicles and supplies paid for by the Budget for the Action shall be transferred to the final beneficiaries of the Action, at the latest when submitting the final report.

If there are no final beneficiaries of the Action to whom the equipment, vehicles and supplies can be transferred, the Beneficiary(ies) may transfer these items to:

- local authorities- local Beneficiary(ies)- local affiliated entiy(ies)- another action funded by the European Union- or, exceptionally, retain ownership of these items.

In such cases, the Coordinator shall submit a justified written request for authorisation to the Contracting Authority, with an inventory listing the items concerned and a proposal concerning their use, in due time and at the latest with the submission of the final report.

In no event may the end use jeopardize the sustainability of the Action or result in a profit for the Beneficiary(ies).

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7.6 Copies of the proofs of transfer of any equipment and vehicles for which the purchase cost was more than ISUR 5000 per item, shall be attached to the final report. Proofs of transfer of equipment and vehicles whose purchase cost was less than EUR 5000 per item shall be kept by the Beneficiary(ies) for control purposes.

Article 8- Evaluation/monitoring of the Action

8.1. If the European Commission carries out an interim or ex post evaluation or a monitoring mission, the Coordinator shall undertake to provide it and/or the persons authorised by it with the documents or information necessary for the evaluation or monitoring mission.

Representatives of the European Commission shall be invited to participate in the main monitoring and in the evaluation missions relating to the performance of the Action performed by the Beneficiary(ies).

8.2. If either the Beneficiary(ies) or the European Commission carries out or commissions an evaluation in the course of the Action, it shall provide the other with a copy of the evaluation report.

Article 9—Amendment of the Contract.

9.1. Any amendment to this Contract, including the annexes thereto, shall be set out in writing. This Contract can be modified only during its execution period.

9.2. The amendment may not have the purpose or the effect of making changes to this Contract that would call into question the grant award decision or be contrary to the equal treatment of applicants. The maximum grant referred to in Article 3.2 of the Special Conditions may not be increased.

9.3. If an amendment is requested by the Beneficiary(ies), the Coordinator shall submit a duly justified request to the Contracting Authority thirty days before the date on which the amendment should enter into force, unless there are special circumstances duly substantiated and accepted by the Contracting Authority.

9.4. Where the amendment to the Budget or Description of the Action does not affect the basic purpose of the Action and the financial impact is limited to a transfer between items within the same main budget heading including cancellation or introduction of an item, or a transfer between main budget headings involving a variation of 25% or less of the amount originally entered (or as modified by addendum) in relation to each concerned main heading for eligible crisis, the Coordinator may amend the budget or Description of the Action and inform the Contracting Authority accordingly, in writing and at the latest in the next report. This method may not be used to amend the headings for indirect costs, for the contingency reserve, for in-kind contributions or the amounts or rates of simplified cost options defined in the Contract.

9.5. Changes of address, bank account or auditor may simply be notified by the Coordinator. However, in duly substantiated circumstances, the Contracting Authority may oppose the Coordinator’s choice.

9.6. The Contracting Authority reserves the right to require that the auditor referred to in Article 5.2 of the Special Conditions be replaced if considerations which were unknown when this Contract was signed cast doubt on the auditor’s independence or professional standards.

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Article 10 — Implementation

Implementation contracts

10.1. If the Beneficiary(ies) have to conclude implementation contracts with contractors in order to carry out the Action, these may only cover a limited portion of the Action and shall respect the contract-award procedures and rules of nationality and origin set out in Annex IV of this Contract.

10.2. To the extent relevant, the Beneficiary(ies) shall ensure that the conditions applicable to them under Articles 3, 4, 5, 6, 7, 8 and 16 of these General Conditions are also applicable to contractors awarded an implementation contract.

10.3. The Coordinator shall provide in its report to the Contracting Authority a comprehensive and detailed report on the award and implementation of the contracts awarded under Article 10.1, in accordance with the reporting requirements in section 2 of Annex VI.

Financial support to third parties

10.4. In order to support the achievement of the objectives of the Action, and in particular where the implementation of the Action requires financial support to be given to third parties, the Beneficiary(ies) may award financial support if so provided by the Special Conditions.

10.5. The maximum amount of financial support shall be limited to EUR 60 000 per each third party, except where the main purpose of the Action is to redistribute the grant.

10.6. The Description of the Action, in conformity with the relevant instructions given in this regard by the Contracting Authority, shall define the types of entities eligible for financial support and include a fixed list with the types of activity which may be eligible for financial support. The criteria for the selection of the third parties recipient of this financial support, including the criteria for determining its exact amount, shall also be specified.

10.7. The Coordinator shall provide in its report to the Contracting Authority a comprehensive and detailed report on the award and implementation of any financial support given. These reports should provide, amongst other, information on the award procedures, on the identities of the recipient of financial support, the amount granted, the results achieved, the problems encountered and solutions found, the activities carried out as well as a timetable of the activities which still need to be carried out.

10.8. To the extent relevant, the Beneficiary(ies) shall ensure that the conditions applicable to them under Articles 3, 4, 5, 6, 7, 8 and 16 of these General Conditions are also applicable to third parties awarded financial support.

Article 11 - Extension and suspension

Extension

11.1. The Coordinator shall inform the Contracting Authority without delay of any circumstances likely to hamper or delay the implementation of the Action. The Coordinator may request an extension of the Action's implementation period as laid down in Article 2 of the Special Conditions in accordance with Article 9. The request shall be accompanied by all the supporting evidence needed for its appraisal.

Suspension by the Coordinator

11.2. The Coordinator may suspend implementation of the Action, or any part thereof, if exceptional circumstances, notably of force majeure, make such implementation

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excessively difficult or dangerous. The Coordinator shall inform the Contracting Authority without delay, staling the nature, probable duration and foreseeable effects of the suspension.

11.3. The Coordinator or the Contracting Authority may then terminate this Contract in accordance with Article 12.1. If the Contract is not terminated, the Beneficiary(ies) shall endeavour to minimise the time of its suspension and any possible damage and shall resume implementation once circumstances allow, informing the Contracting Authority accordingly.

Suspension by the Contracting Authority

11.4. The Contracting Authority may request the Beneficiary(ies) to suspend implementation of the Action, or any part thereof, if exceptional circumstances, notably of force majeure, make such implementation excessively difficult or dangerous. To this purpose, the Contracting Authority shall inform the Coordinator stating the nature and probable duration of the suspension.

11.5. The Coordinator or the Contracting Authority may then terminate this Contract in accordance with Article 12.1. If the Contract is not terminated, the Beneficiary(ies) shall endeavour to minimise the time of its suspension and any possible damage and shall resume implementation once circumstances allow and after having obtained the approval of the Contracting Authority.

11.6. The Contracting Authority may also suspend this Contract or the participation of a Beneficiary(ies) in this Contract if the Contracting Authority has evidence that, or if, for objective and well justified reasons, the Contracting Authority deems necessary to verify whether presumably:

a) the grant award procedure or the implementation of the Action have been subject to substantial errors, irregularities or fraud;

b) the Beneficiary(ies) have breached any substantial obligation under this Contract.

11.7. The Coordinator shall provide any requested information, clarification or document within 30 days of receipt of the requests sent by the Contracting authority. If, notwithstanding the information, clarification or document provided by the Coordinator, the award procedure or the implementation of the grant prove to have been subject to substantial errors, irregularities, fraud, or breach of obligations, then the Contracting Authority may terminate this Contract according to Article 12(2) h.

Force majeure

11.8. The term force majeure, as used herein covers any unforeseeable events, not within the control of either party to this Contract and which by the exercise of due diligence neither party is able to overcome such as acts of God, strikes, lock-outs or other industrial disturbances, acts of the public enemy, wars whether declared or not, blockades, insurrection, riots, epidemics, landslides, earthquakes, storms, lightning, floods, washouts, civil disturbances, explosion. A decision of the European Union to suspend the cooperation with the partner country is considered to be a case of force majeure when it implies suspending funding under this Contract.

11.9. The Beneficiary(ies) shall not be held in breach of its contractual obligations if it is prevented from fulfilling them by circumstances of force majeure.

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Extension of the implementation period following a suspension.

11.10. In case of suspension according to Articles 11.2, 11.4 and 11.6, the implementation period of the Action shall be extended by a period equivalent to the length of suspension, without prejudice to any amendment to the Contract that may be necessary to adapt the Action to the new implementing conditions. This Article 11.10 does not apply in case of an operating grant.

Article 12 — Termination of the Contract

Termination in case of force majeure

12.1. In the cases foreseen in Article 11.2 and 11.4, if the Coordinator or the Contracting Authority believes that this Contract can no longer be executed effectively or appropriately, it shall duly consult the other. Failing agreement on a solution, the Coordinator or the Contracting Authority may terminate this Contract by serving two months written notice, without being required to pay indemnity.

Termination by the Contracting Authority

12.2. Without prejudice to Article 12.1, in the following circumstances the Contracting Authority may, after having duly consulted the Coordinator, terminate this Contract or the participation of any Beneficiary(ies) in this Contract without any indemnity on its part when:

a) a Beneficiary(ies) fails, without justification, to fulfil any substantial obligation incumbent on them individually or collectively by this Contract and* after being given notice by letter to comply with those obligations, still fails to do so or to furnish a satisfactory explanation within 30 days of receipt of the letter;

b) a Beneficiary(ies) is bankrupt or being wound up, is having its affairs administered by the courts, has entered into an arrangement with creditors, has suspended business activities, is the subject of proceedings concerning those matters or is in any analogous situation arising from a similar procedure provided for in national legislation or regulations;

c) a Beneficiary(ies), or any related entity or person, have been found guilty of an offence concerning their professional conduct proven by any means;

d) a Beneficiary(ies), or any related entity or person, have committed fraud, corruption, or are involved in a criminal organisation, money laundering or any other illegal activity detrimental to the European Union’s financial interests;

c) a change to a Bcncficiary(ics)’s legal, financial, technical, organisational or ownership situation or the termination of the participation of a Beneficiary(ies) substantially affects the implementation of this Contract or calls into question the decision awarding the grant;

f) a Beneficiary(ies) or any related person, are guilty of misrepresentation in supplying the information required in the award procedure or in the implementation of the Action or fail to supply - or fail to supply within the deadlines set under this Contract - any information related to the Action required by the Contracting Authority;

g) a Beneficiary(ies) has not fulfilled obligations relating to the payment of social security contributions or the payment of taxes in accordance with the legal provisions of the country in which it is established;

h) the Contracting Authority has evidence that a Beneficiary(ies), or any related entity or person, has committed substantial errors, irregularities or fraud in the award procedure or in the implementation of the Action;

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i) a Beneficiary(ies) is subject to an administrative penalty referred to in Article 12.8;

j) the Contracting Authority has evidence that a Beneficiary(ies) is subject to a conflict of interests;

k) the European Commission has evidence that a Beneficiary(ies) has committed systemic or recurrent errors or irregularities, fraud, or serious breach of obligations under other grants financed by the European Union and awarded to that specific Beneflciary(ies) under similar conditions, provided that those errors, irregularities, fraud or serious breach of obligations have a material impact on this grant.

12.3. In the cases referred to in points (c), (d) (f) (h) and (k) above, any related person means any physical person with powers of representation, decision-making or control in relation to the Beneficiary(ies). Any related entity means, in particular, any entity which meets the criteria laid down by Article 1 of the Seventh Council Directive No 83/349/EEC of 13 June 1983.

Termination of a Beneficiarv(ies) participation by the Coordinator

Ì2.4. In duly justified cases, the participation of a Beneficiary(ies) in this Contract may be also terminated by the Coordinator. To this purpose, the Coordinator shall communicate to the Contracting Authority the reasons for the termination of its participation and the date on which the termination shall take effect, as well as a proposal on the reallocation of the tasks of the Beneficiary(ies) whose participation is terminated, or on its possible replacement. The proposal shall be sent in good time before the termination is due to take effect. If the Contracting Authority agrees, the Contract shall be amended accordingly in conformity with Article 9.

End date

12.5. The payment obligations of the European Union under this Contract shall end 18 months after the implementation period laid down in Article 2 of the Special Conditions, unless this Contract is terminated according to Article 12.

The Contracting Authority shall postpone this end date, so as to be able to fulfil its payment obligations, in all cases where the Coordinator has submitted a payment request in accordance with contractual provisions or, in case of dispute, until completion of the dispute settlement procedure provided for in Article 13. The Contracting Authority shall notify the Coordinator of any postponement of the end date.

12.6. This Contract will be terminated automatically if it has not given rise to any payment by the Contracting Authority within two years of its signature.

Effects of Termination

12.7. Upon termination of this Contract the Coordinator shall take all immediate steps to bring the Action to a close in a prompt and orderly manner and to reduce further expenditure to a minimum.

Without prejudice to Article H, the Beneficary(ies) shall be entitled to payment only for the part of the Action carried out, excluding costs relating to current commitments that are due to be executed after termination.

To this purpose, the Coordinator shall introduce a payment request to the Contracting Authority within the time limit set by Article 15.2 starting from the date of termination.

In the event of termination according to Article 12.1, the Contracting Authority may agree to leiinbuise the unavoidable residual expenditures incurred duiing the notice period, provided,the first paragraph of this Article 12.7 has been properly executed.

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In the cases of termination foreseen in Article 12.2 a), c), d), i), h) and k) the Contracting Authority may, after having properly consulted the Coordinator and depending on the gravity of the failings, request full or partial repayment of amounts unduly paid for the Action.

Administrative and Financial penalties

12.8. Without prejudice to the application of other remedies laid down in the Contract, a Beneficiary(ies) who has made false declarations, substantial errors, irregularities and fraud or was in serious breach of its contractual obligations may be excluded from all contracts and grants financed by the EU for a maximum of five years from the date on which the infringement is established, to be confirmed after an adversarial procedure with the European Commission, in accordance with the Financial Regulations applicable to the contracts covered by the Budget or the EDF. The period may be increased to ten years in the event of a repeated offence within Eve years of the Erst infringement.

12.9. In addition or in alternative to the administrative sanctions laid down in Article 12.8, a Beneficiary(ies) may also be subject to Enanciai penalties representing 2-10% of the total value of this Contract. This rate may be increased to 4-20% in the event of a repeated offence within Eve years of the first infringement.

12.10. The European Commission shall formally notify the BeneEciary(ies) concerned of any decision to apply such penalties.

Article 13—Applicable law and dispute settlement

13.1. This Contract shall be governed by the law of the country of the Contracting Authority or, where the Contracting Authority is the European Commission, by the European Union law supplemented as appropriate by Belgian law.

13.2. The parties to this Contract shall do everything possible to settle amicably any dispute arising between them during the implementation of this Contract. To that end, they shall communicate their positions and any solution that they consider possible in writing, and meet each other at either's request. The Coordinator and the Contracting Authority shall reply to a request sent for an amicable settlement within 30 days. Once this period has expired, or if the attempt to reach amicable settlement has not produced an agreement within 120 days of the first request, the Coordinator or the Contracting Authority may notify the other part that it considers the procedure to have failed.

13.3. In the event of failure to reach an amicable agreement, the dispute may by common agreement of the Coordinator and the Contracting Authority be submitted for conciliation by the European Commission if it is not the Contracting Authority. If no settlement is reached within 120 days of the opening of the conciliation procedure, each party may notify the other that it considers the procedure to have failed.

13.4. In the event of failure of the above procedures, each party to this Contract may submit the dispute to the courts of the country of the Contracting Authority, or to the Brussels courls where the Contracting Authority is the European Commission.

FINANCIAL PROVISIONS

Article 14 — Eligible costs

Cost eligibility criteria

14.1. Eligible costs are actual costs incurred by the Beneficiary(ies) which meet all the following criteria:

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a) they are incurred during the implementation of the Action as specified in Article 2 of the Special Conditions. In particular:

(i) Costs relating to services and works shall relate to activities performed during the implementation period. Costs relating to supplies shall relate to delivery and installation of items during the implementation period. Signature of a contract, placing of an order, or entering into any commitment for expenditure within the implementation period for future delivery of services, works or supplies after expiry of the implementation period do not meet this requirement. Cash transfers between the Coordinator and/or the other Beneficiary(ies) and/or affiliated entity(ies) may not be considered as costs incurred;

(ii) Costs incurred should be paid before the submission of the final reports. They may be paid afterwards, provided they are listed in the final report together with the estimated date of payment;

(iii) An exception is made for costs relating to final reports, including expenditure verification, audit and final evaluation of the Action, which may be incurred after the implementation period of the Action;

(iv) Procedures to award contracts, as referred to in Article 10, may have been initiated and contracts may be concluded by the Beneficiary(ies) before the start of the implementation period of the Action, provided the provisions of Annex IV have been respected.

b) they are indicated in the estimated overall budget for the Action;

c) they are necessary for the implementation of the Action;

d) they are identifiable and verifiable, in particular being recorded in the accounting records of the Beneficiary(ies) and determined according to the accounting standards and the usual cost accounting practices applicable to the Beneficiary(ies);

e) they comply with the requirements of applicable tax and social legislation;

f) they are reasonable, justified and comply with the requirements of sound financial management, in particular regarding economy and efficiency.

Eligible direct costs

14.2. Subject to Article 14.1 and, where relevant, to the provisions of Annex IV being respected, the following direct costs of the Beneficiary(ies) shall be eligible:

a) the cost of staff assigned to the Action, corresponding to actual gross salaries including social security charges and other remuneration-related costs; salaries and costs shall not exceed those normally bome by the Beneficiary(ies), unless it is justified by showing that it is essential to carry out the Action;

b) travel and subsistence costs for staff and other persons taking part in the Action, provided they do not exceed those normally bome by the Beneficiary(ies) according to its rules and regulations, or the rates published by the European Commission at the time of such mission if reimbursed on the basis of simplified cost options;

c) purchase costs for equipment (new or used) and supplies specifically for the purposes of the Action, provided that ownership is transferred at the end of the Action when required in Article 7.5;

d) costs of consumables;

e) costs entailed by contracts awarded by the Beneficiary(ies) for the purposes of the Action referred to in Article 10.

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f) costs deriving directly from the requirements of the Contract (dissemination of information, evaluation specific to the Action, audits, translation, reproduction, insurance, etc.) including financial service costs (in particular the cost of transfers and financial guarantees where required according to the Contract);

g) duties, taxes and charges, including VAT, paid and not recoverable by the Beneficiary(ies), unless otherwise provided in the Special Conditions:

h) overheads, in the case of an operating grant.

Simplified cost options

14.3. In accordance with the detailed provisions in Annex III, eligible costs may also be constituted by any or a combination of the following cost options:

a) unit costs;b) lump sums;c) flat-rate financing.

14.4. The methods used by the Beneficiary(ies) to determine unit costs, lump sums or flat-rates shall be clearly described and substantiated in Annex III and shall ensure compliance with the no-profit rule and shall avoid double funding of costs. The information used can be based on the Beneficiary(ies)'s historical and/or actual accounting and cost accounting data or on external information where available and appropriate.

Costs declared under simplified cost options shall satisfy the eligibility criteria set out in Article 14.1 and 14.2. They do not need to be backed by accounting or supporting documents, save those necessary to demonstrate the fulfillment of the conditions for reimbursement established in Annex I and III.

These costs may not include ineligible costs as referred to in Article 14.9 or costs already declared under another costs item or heading of the budget of this Contract.

The amounts or rates of unit costs, lump sums or flat-rates set out in Annex III may not be amended unilaterally and may not be challenged by ex post verifications.

14.5. The total amount of financing that may be awarded on the basis of simplified cost options may not exceed EUR 60 000 per each Beneficiary, unless otherwise provided for in the Special Conditions.

Contingency reserve

14.6. A reserve for contingencies and/or possible fluctuations in exchange rates not exceeding 5 % of the direct eligible costs may be included in the budget for the Action, to allow for adjustments necessary in the light of unforeseeable changes of circumstances on the ground. It can be used only with the prior written authorisation of the Contracting Authority, upon dulyjustified request by the Coordinator.

Indirect costs

14.7. The indirect costs for the Action are those eligible costs which may not be identified as specific costs directly linked to the implementation of the Action and may not be booked to it directly according to the conditions of eligibility in Article 14.1. However, they are incurred by the Beneficiary(ies) in connection with the eligible direct costs for the Action. They may not include ineligible costs as referred to in Article 14.9 or costs already declared under another costs item or heading of the budget of this Contract.

A fixed percentage of the total amount of direct eligible costs of the Action not exceeding the percentage laid down in Article 3 of the Special Conditions may be claimed to cover

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indirect costs for the Action. Flat-rate Funding in respect of indirect costs does not need to be supported by accounting documents. This amount shall not be taken into account with regard to the maximum amount of simplified cost options.

Indirect costs shall not be eligible under a grant for an action awarded to a Beneficiary who already receives an operating grant financed from the European Union budget during the period in question.

This Article 14.7 does not apply in the case of an operating grant.

In kind contributions

14.8. Any contributions in kind, which shall be listed separately in Annex III, do not represent actual expenditure and are not eligible costs. Unless otherwise specified in the Special Conditions, contributions in kind may not be treated as co-financing by the Beneficiary(ies).

If contributions in kind are accepted as co-financing, the Beneficiary(ies) shall ensure they comply with national tax and social security rules.

Notwithstanding the above, if the Description of the Action provides for contributions in kind, such contributions have to be provided.

Non-eligible costs

14.9. The following costs shall not be considered eligible:

a) debts and debt service charges (interest);

b) provisions for losses, debts or potential future liabilities;

c) costs declared by the Beneficiary(ies) and financed by another action or work programme receiving a European Union grant (including through the European Development Fund);

d) purchases of land or buildings, except where necessary for the direct implementation of the Action and according to the conditions specified in the Special Conditions; in all cases the ownership shall be transferred in accordance with Article 7.5, at the latest at the end of the Action;

e) currency exchange losses;

f) credits to third parties, unless otherwise specified in the Special Conditions

g) in kind contributions

h) salary costs of the personnel of national administrations, unless otherwise specified in the Special Conditions and only to the extent that they relate to the cost of activities which the relevant public authority would not carry out if the Action were not undertaken.

Affiliated entities

14.10. Where the Special Conditions contain a provision on entities affiliated to a Beneficiary, costs incurred by such entity may be eligible, provided that they satisfy the same conditions under Articles 14 and 16, and that the Beneficiary ensures that Articles 3, 4, 5, 6, 8, 10 and 16 are also applicable to the entity.

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Article 15 — Payment and interest on late payment

Payment procedures

15.]. The Contracting Authority must pay the grant to the Coordinator following one of the payment procedures below, as set out in Article 4 of the Special Conditions.

Option I : Actions with an implementation period of 12 months or less or grant ofEUR 1QQ 000 or less

(i) an initial pre-financing payment of 80% of the maximum amount referred to in Article 3.2 of the Special Conditions (excluding contingencies);

(ii) the balance of the final amount of the grant.

Option 2: Actions with an implementation period of more than 12 months and grant ofmore than EUR 100000

(i) an initial pre-financing payment of 100% of the part of the estimated budget financed by the Contracting Authority for the first reporting period (excluding contingencies). The part of the budget financed by the Contracting Authority is calculated by applying the percentage set out in Article 3.2 of the Special Conditions;

(ii) further pre-financing payments of 100% of the part of the estimated budget financed by the Contracting Authority for the following reporting period (excluding not authorised contingencies):

- the reporting period is intended as a twelve-month period unless otherwise provided for in the Special Conditions. When the remaining period to the end of the Action is up to 18 months, the reporting period shall cover it entirely;

- within 60 days following the end of the reporting period, the Coordinator shall present an interim report or, if unable to do so, it shall inform the Contracting Authority of the reasons and provide a summary of progress of the Action;

- if at the end of the reporting period the part of the expenditure actually incurred which is financed by the Contracting Authority is less than 70 % of the previous payment (and 100 % of any previous payments), the further pre-financing payment shall be reduced by the amount corresponding to the difference between the 70 % of the previous pre­financing payment and the part of the expenditure actually incurred which is financed by the Contracting Authority;

- the Coordinator may submit a request for further pre-financing payment before the end of the reporting period, when the part of the expenditure actually incurred which is financed by the Contracting Authority is more than 70% of the previous payment (and 100% of any previous payments). In this case, the following reporting period starts anew from the end date of the period covered by this payment request;

- in addition, for grants of more than EUR 5 000 000, a further pre­financing payment may be made only if the part financed by the Contracting Authority of the eligible costs approved is at least equal to the total amount of all the previous payments excluding the last one;

- the total sum of prc-financing payments may not exceed 90 % of the amount referred to in Article 3.2 of the Special Conditions, excluding not authorised contingencies;

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(iii) the balance of the Hnal amount of the grant.

Option 3: All Actions

(i) the final amount of the grant.

Submission of final reports

15.2. The Coordinator shall submit the final report to the Contracting Authority no later than three months after the implementation period as defined in Article 2 of the Special Conditions. The deadline for submission of the final report is extended to six months where the Coordinator does not have its headquarters in the country where the Action is implemented.

Payment request

15.3. The payment request shall be drafted using the model in Annex V and shall be accompanied by:

a) a narrative and financial report in line with Article 2;

b) a forecast budget for the following reporting period in case of request of further pre­financing;

c) an expenditure verification report or a detailed breakdown of expenditure if required under Article 15.7;

For the purposes of the initial pre-financing payment, the signed contract serves as payment request. A financial guarantee shall be attached if required in the Special Conditions.

Payment shall not imply recognition of the regularity or of the authenticity, completeness and correctness of the declarations and information provided.

Payment deadlines

15.4. The initial pre-financing payment shall be made within 30 days of receipt of the payment request by the Contracting Authority.

Further pre-financing payments and payments of the balance shall be made within 60 days of receipt of the payment request by the Contracting Authority.

However, further pre-financing payments and payments of the balance shall be made within 90 days of receipt of the payment request by the Contracting Authority in any of the following cases:

a) one Beneficiary with affiliated entity(ies);

b) if more than one Beneficiary is party to this Contract;

c) if lhe Commission is not the Contracting Authority

d) for grants exceeding EUR 5 000 000

The payment request is deemed accepted if there is no written reply by the Contracting Authority within the deadlines set above.

Suspension of the period for payments

15.5. Without prejudice to Article 12, the time-limits tor payments may be suspended by notifying the Coordinator that:

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a) the amount indicated in its request of payments is not due, or;

b) proper supporting documents have not been supplied, or;

c) clarifications, modifications or additional information to the narrative or financial reports are needed, or;

d) there are doubts on the eligibility of expenditure and it is necessary to carry out additional checks, including on-the-spot checks to make sure that the expenditure is eligible, or;

e) it is necessary to verify whether presumed substantial errors, irregularities or fraud have occurred in the grant award procedure or the implementation of the Action, or;

f) it is necessary to verify whether the Beneficiary(ies) have breached any substantial obligations under this Contract, or;

g) the visibility obligations set out in Article 6 are not complied with.

The suspension of the time-limits for payments starts when the above notification is sent to the Coordinator. The time-limit starts running again on the date on which a correctly formulated request for payment is recorded. The Coordinator shall provide any requested information, clarification or document within 30 days of the request.

If, notwithstanding the information, clarification or document provided by the Coordinator, the payment request is still inadmissible, or if the award procedure or the implementation of the grant proves to have been subject to substantial errors, irregularities, fraud, or breach of obligations, then the Contracting Authority may refuse to proceed further with payments and may, in the cases foreseen in Article 12, terminate accordingly this Contract.

In addition, the Contracting Authority may also suspend payments as a precautionary measure without prior notice, prior to, or instead of, terminating this Contract as provided for in Article 12.

Interest on late payment

15.6. If the Contracting Authority pays the Coordinator after the time limit, it shall pay default interest as follows:

a) at the rediscount rate applied by the central bank of the country of the Contracting Authority if payments are in the currency of that country;

b) at the rate applied by the European Central Bank to its main refinancing transactions in euro, as published in the Official Journal of the European Union, C series, if payments are in euro,

c) on the first day of the month in which the time-limit expired, plus three and a half percentage points. The interest will be payable for the time elapsed between the expiry of the payment deadline and the date on which the Contracting Authority’s account is debited.

By way of exception, when the interest calculated in accordance with this provision is lower than or equal to EUR 200, it will be paid to the Coordinator only upon demand submitted within two months of receiving late payment.

The default interest is not considered as income for the purposes of Article 17.

This Article 15.6 does not apply if the Coordinator is a European Union Member State, including regional and local government authorities or other public body acting in the name and on behalf of the Member State for the purpose of the Contract.

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15.7. The Coordinator must provide an expenditure verification report for:

a) any request for further pre-financing payment in ease of grants of more than EUR 5 000 000;

b) any final report in the case of a grant of more than EUR 100000.

The expenditure verification report shall conform to the model in Annex VII and shall be produced by an auditor approved or chosen by the Contracting Authority. The auditor shall meet the requirements set out in the Terms of Reference for expenditure verification in Annex VII.

The auditor shall examine whether the costs declared by the Beneficiary(ies) and the revenue of the Action are real, accurately recorded and eligible under this Contract. The expenditure verification report shall cover all expenditure not covered by any previous expenditure verification report.

If no expenditure verification is required with requests for pre-financing payments, a detailed breakdown of expenditure covering the preceding reporting periods not already covered, shall be provided for every other request for further pre-financing payment and starting with the second request for further pre-financing payment (i.e. 3rd, 5th,7th... pre­financing payment).

The detailed breakdown of expenditure shall provide the following information for each cost heading in the financial report and for all underlying entries and transactions: amount of the entry or transaction, accounting reference (e.g. ledger, journal or other relevant reference) description of the entry or transaction (detailing the nature of the expenditure) and reference to underlying documents (e.g. invoice number, salary slip or other relevant reference), in line with Article 16.1. It shall be provided in electronic form and spread sheet format (excel or similar) whenever possible.

The detailed breakdown of expenditure shall be supported by a declaration of honour by the Coordinator that the information in the payment request is full, reliable and true and that the costs declared have been incurred and can be considered as eligible in accordance to this Contract.

The final report shall in all cases include a detailed breakdown of expenditure covering the whole Action.

Where the Coordinator is a government department or a public body, the Contracting Authority may accept to substitute the expenditure verification with a detailed breakdown of expenditure.

The expenditure verification report shall not be provided by the Coordinator if the verification is directly done by the Contracting Authority's own staff, by the Commission or by a body authorised to do so on their behalf, according to Article of 5.2 of the Special Conditions.

Financial guarantee

15.8. If the grant exceeds EUR60000 the Contracting Authority may request a financial guarantee for the amount of the initial pre-financing payment.

The guarantee shall be denominated in euro or in the currency of the Contracting Authority, conforming to the model in Annex VIII and, unless the Contracting Authority agrees otherwise, provided by an approved bank or financial institution established in one of the Member States of the European Union. This guarantee shall remain in force until its release by the Contracting Authority when the payment ofthe balance is made.

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This provision shall not apply if the Coordinator is a non-profit organisation, an organisation which has signed a framework partnership agreement with the European Commission, a government department or public body, unless otherwise stipulated in the Special Conditions.

Rules for currency conversion

15.9. The Contracting Authority shall make payments to the Coordinator to the bank account referred to in the financial identification form in Annex V, which allows the identification of the funds paid by the Contracting Authority. The Contracting Authority shall make payments in the currency set in the Special Conditions.

Reports shall be submitted in the currency set out in the Special Conditions, and may be drawn from financial statements denominated in other currencies, on the basis of the Beneficiary(ies)'s applicable legislation and applicable accounting standards. In such case and for the purpose of reporting, conversion into the currency set in the Special Conditions shall be made using the rate of exchange at which each Contracting Authority's contribution was recorded in the Beneficiary(ies)'s accounts, unless otherwise provided for in the Special Conditions.

15.10. Unless otherwise provided for in the Special Conditions, costs incurred in other currencies than the one used in the Beneflciary(ies)'s accounts for the Action shall be converted according to its usual accounting practices, provided they respect the following basic requirements: (i) they are written down as an accounting rule, i.e. they are a standard practice of the Beneficiary, (ii) they are applied consistently, (iii) they give equal treatment to all types of transactions and funding sources, (iv) the system can be demonstrated and the exchange rates are easily accessible for verifications.

In the event of an exceptional exchange-rate fluctuation, the Parties shall consult each other with a view to amending the Action in order to lessen the impact of such a fluctuation. Where necessary, the Contracting Authority may take additional measures such as terminating the Contract.

Article 16 — Accounts and technical and financial checks

Accounts

16.1. The Beneficiary(ies) shall keep accurate and regular accounts of the implementation of the Action using an appropriate accounting and double-entry book-keeping system.

The accounts:

a) may be an integrated part of or an adjunct to the Beneficiary(ies)’s regular system;

b) shall comply with the accounting and bookkeeping policies and rules that apply in the country concerned;

c) shall enable income and expenditure relating to the Action to be easily traced, identified and verified.

16.2. The Coordinator shall ensure that any financial report as required under Article 2 can be properly and easily reconciled to the accounting and bookkeeping system and to the underlying accounting and other relevant records. For this purpose the Beneficiary(ies) shall prepare and keep appropriate reconciliations, supporting schedules, analyses and breakdowns for inspection and verification.

Right of access

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16.3. The Beneficiary(ies) shall allow verifications to be carried out by the European Commission, the European Anti-Fraud Office, the European Court of Auditors and any external auditor authorised by the Contracting Authority. The Beneficiary(ies) have to take all steps to facilitate their work,

16.4. The Beneficiary(ies) shall allow the above entities to:

a) access the sites and locations at which the Action is implemented;

b) examine its accounting and information systems, documents and databases concerning the technical and financial management of the Action;

c) take copies of documents;

d) carry out on the-spot-checks;

e) conduct a full audit on the basis of all accounting documents and any other document relevant to the financing of the Action.

16.5. Additionally the European Anti-Fraud Office shall be allowed to carry out on-the-spot checks and inspections in accordance with the procedures laid down by the European Union legislation for the protection of the financial interests of the European Union against fraud and other irregularities.

Where appropriate, the findings may lead to recovery by the European Commission.

16.6. Access given to agents of the European Commission, European Anti-Fraud Office and the European Court of Auditors and to any external auditor authorised by the Contracting Authority carrying out verifications as provided for by this Article as well as by Article 15.7 shall be on the basis of confidentiality with respect to third parties, without prejudice to the obligations of public law to which they are subject.

Record keeping

16.7. The Beneficiary(ies) shall keep all records, accounting and supporting documents related to this Contract for five years following the payment of the balance and for three years in case of grants not exceeding EUR 60 000, and in any case until any on-going audit, verification, appeal, litigation or pursuit of claim has been disposed of.

They shall be easily accessible and filed so as to facilitate their examination and the Coordinator shall inform the Contracting Authority of their precise location.

16.8. All the supporting documents shall be available in the original form, including in electronic form.

16.9. In addition to the reports mentioned in Article 2, the documents referred to in this Article include:

a) Accounting records (computerised or manual) from the Benericiary(ies)’s accounting system such as general ledgei, sub-ledgers and payroll accounts, fixed assets registers and other relevant accounting information;

b) Proof of procurement procedures such as tendering documents, bids from tenderers and evaluation reports;

c) Proof of commitments such as contracts and order forms;

d) Proof of delivery of services such as approved reports, time sheets, transport tickets, proof of attending seminars, conferences and training courses (including relevant documentation and material obtained, certificates) etc;

e) Proof of receipt of goods such as delivery slips from suppliers;

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f) Proof of completion of works, such as acceptance certificates;

g) Proof of purchase such as invoices and receipts;

h) Proof of payment such as bank statements, debit notices, proof of settlement by the contractor;

i) Proof that taxes and/or VAT that have been paid cannot actually be reclaimed;

j) For fuel and oil expenses, a summary list of the distance covered, the average consumption of the vehicles used, fuel costs and maintenance costs;

k) Staff and payroll records such as contracts, salary statements and time sheets. For local staff recruited on fixed-term contracts, details of remuneration paid, duly substantiated by the person in charge locally, broken down into gross salary, social security charges, insurance and net salary. For expatriate and/or European-based staff (if the Action is implemented in Europe) analyses and breakdowns of expenditure per month of actual work, assessed on the basis of unit prices per verifiable block of time worked and broken down into gross salary, social security charges, insurance and net salary.

Article 17 — Final amount of the grant

Final amount

17.1. The grant may not exceed the maximum ceiling in Article 3.2 of the Special Conditions either in terms of the absolute value or the percentage stated therein.

If the eligible costs of the Action at the end of the Action are less than the estimated eligible costs as referred to in Article 3.1 of the Special Conditions, the grant shall be limited to the amount obtained by applying the percentage laid down in Article 3.2 of the Special Conditions to the eligible costs of the Action approved by the Contracting Authority.

17.2. In addition and without prejudice to its right to terminate this Contract pursuant to Article 12, if the Action is implemented poorly or partially - and therefore not in accordance with the Description of the Action in Annex I - or late, the Contracting Authority may, by a duly reasoned decision and after allowing the Beneficiary(ies) to submit its observations, reduce the initial grant in line with the actual implementation of the Action and in accordance with the terms of this Contract. This applies as well with regards to the visibility obligations set out in Article 6.

No profit

17.3. The grant may not produce a profit for the Beneftciary(ies), unless specified otherwise in Article 7 of the Special Conditions. Profit is defined as a surplus of the receipts over the eligible costs approved by the Contracting Authority when the request for payment of the balance is made.

17.4. The receipts to be taken into account are the consolidated receipts on the date on which the payment request for the balance is made by the Coordinator that fall within one of the two following categories:

a) income generated by the Action, unless otherwise specified in the Special Conditions;

b) financial contributions specifically assigned by the donors to the financing of the same eligible costs financed by this Contract and declared by the Beneficiary(ies) as actual costs under this Contract. Any financial contribution that may be used by the Beneficiary(ies) to cover costs other than those eligible under this Contract or that are not due to the donor where unused at the end of the Action are not to be

Page 23 of 2515 July 2015e3h2_gencond_en.doc

considered as a receipt to be taken into account for the purpose of verifying whether the grant produces a profit for lite Beneficiary(ies).

] 7.5. In case of an operating grant, amounts dedicated to the building up ofreserves shall not be considered as a receipt.

17.6. Where the final amount of the grant determined in accordance with the Contract would result in a profit, it shall be reduced by the percentage of the profit corresponding to the final European Union contribution to the eligible costs actually incurred approved by the Contracting Authority.

17.7. The provisions in Article 17.3 shall not apply to:

a) actions the objective of which is the reinforcement of the financial capacity of a Beneficiary, if specified in Article 7 of the Special Conditions;

b) actions which generate an income to ensure their continuity beyond the end of this Contract, if specified in Article 7 of the Special Conditions;

c) other direct support paid to natural persons in most need, such as unemployed persons and refugees, if specified in Article 7 of the Special Conditions;

d) study, research or training scholarships paid to natural persons;

e) grants of EUR 60.000 or less.

Article 18 — Recovery

Recovery

18.1. If any amount is unduly paid to the Coordinator, or if recovery is justified under the terms of this Contract, the Coordinator undertakes to repay the Contracting Authority these amounts.

18.2. In particular, payments made do not preclude the possibility for the Contracting Authority to issue a recovery order following an expenditure verification report, an audit or further verification of the payment request.

18.3. If a verification reveals that the methods used by the Beneficiary(ies) to determine unit costs, lump sums or flat-rates are not compliant with the conditions established in this Contract, the Contracting Authority shall be entitled to reduce the final amount of the grant proportionately up to the amount of the unit costs, lump sums or flat rate financing.

18.4. The Coordinator undertakes to repay any amounts paid in excess of the final amount due to the Contracting Authority within 45 days of the issuing of the debit note, the latter being the letter by which the Contracting Authority requests the amount owed by the Coordinator.

Interest on late payments

18.5. Should the Coordinator fail to make repayment within the deadline set by the Contracting Authority, the Contracting Authority may increase the amounts due by adding interest:

a) at the rediscount rate applied by the central bank of the country of the Contracting Authority if payments are in the currency of that country;

b) at the rate applied by the European Central Bank to its main refinancing transactions in euro, as published in the Official Journal of the European Union, C series, where payments are in euros;

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on the first day of the month in which the time-limit expired, plus three and a half percentage points. The default interest shall be incurred over the time which elapses between the date of the payment deadline set by the Contracting Authority, and the date on which payment is actually made. Any partial payments shall first cover the interest thus established.

Offsetting

18.6. Amounts to be repaid to the Contracting Authority may be offset against amounts of any kind due to the Coordinator, after informing it accordingly. This shall not affect the Parties’ right to agree on payment in instalments.

Other provisions

18.7. The repayment under Article 18.4 or the offsetting under Article 18.6 amount to the payment of the balance.

18.8. Bank charges incurred by the repayment of amounts due to the Contracting Authority shall be borne entirely by the Coordinator.

18.9. The guarantee securing the prefinancing may be invoked in order to repay any amount owed by the Beneficiary(ies), and the guarantor shall not delay payment nor raise objections for any reason whatsoever.

18.10. Without prejudice to the prerogative of the Contracting Authority, if necessary, the European Union may, as donor, proceed itself to the recovery by any means.

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Annex III:Budget for the Action (worksheets 1, 2 and 3)

CTR 379-240

1. Budget for the Action1 Ali Years Yearl2

CostsUnit13 W ФП

units :i Ünitvâhie

(in EUR)Total Cost(in EUR)3

Unit № of units Unit value (in EUR)

Total Cost (in EUR)

1. Human Resources1.1 Salaries (gross salaries including social security charges andother related costs, local staff)4

1.1.1 TechnicalCAREProiect Coordinator (100%) Per month 48.00 2,100 100,800 Per month 12.00 2,100 25,200Proiect Officer (100%) Per month 48.00 1,300 62,400 Per month 12.00 1,300 15,600M&E Officer (100%) Per month 48.00 1,600 76,800 Per month 12.00 1,600 19,200Grants and Finance Manager (50%) Per month 24.0 1,600 38,400 Per month 6.00 1,600 9,600Driver (100%) Per month 48.00 500 24,000 Per month 12.00 500 6,000Programmes Director (quality assurance) 8% Per month 3.84 4,800 18,432 Per month 0.96 4,800 4,608

1.1.2 Administrative/ support staffCARE HR Administration and Finance Per month 48.00 1,039 49,872 Per month 12.00 1,039 12,468

OXFAMProgrammes and Campaigns Manager (35%) Per month 16.80 2,429 40,807 Per month 4.20 2,429 10,202Advocacy, media and communications officer (100%) Per month 48.00 1,144 54,920 Per month 48.00 1,144 54,920The Business Services Manager (10% ) Per month 4.80 2,393 11,484 Per month 1.20 2,393 2,871Research and Programme Quality Manager (10%) Per month 4.80 1,900 9,120 Per month 1.20 1,900 2,280Driver and operations officer (50%) Per month 24.00 263 6,309 Per month 6.00 263 1,577FRIENDS OF THE NATIONProject Coordinator (30%) Per month 14.40 3,353 48,289 Per month 3.60 3,353 12,072Advocacv/IUU Monitoring Coo'dinator (45%) Per month 21.60 1,313 28,360 Per month 5.40 1,313 7,090Community facilitators (100) Per month 48.00 780 37,440 Per month 48.00 780 37,440Community facilitators (100) Per month 48.00 780 37,440 Per month 48.00 780 37,440Community facilitators (100) Per month 48.00 780 37,440 Per month 48.00 780 37,440Community facilitators (100) Per month 48.00 780 37,440 Per month 48.00 780 37,440Finance Administration Manager (22%) Per month 10.56 1,031 10,887 Per month 2.64 1,031 2,722Admin Support (22%) Per month 10.56 821 8,664 Per month 2.64 821 2,166Account officer (40%) per month 19.20 693 13,298 Per month 4.80 693 3,324

1.2 Salaries (gross salaries including social security charges and other related costs, expat/int. staff)1.3 Per diems for missions/travel5

1.3.1 Abroad (staff assiqned to the Action) Per diem 24 183 4,392 Per diem 6 183 1,0981.3.2 Local (staff assiqned to the Action) 0

2014FBB - budgct.xls 1/17

CTR 379-240

1. Budget for the Action1 All Years Year 12

CostsUnit13 № of

unitsUnit valdei Total Gost

(in EUR)3Unit № of units Unit value

(in EUR)Total Cost

(in EUR)1.3.2.1 CARE proiect Staff Per diem 304 96 29,184 Per diem 89 96 8,5441.3.2.2 FON proiect Staff Per diem 200 56 11,200 Per diem 80 56 4,4801.3.2.2 OXFAM project Staff Per diem 216 40 8,640 Per diem 70 40 2,8001.3.3 Seminar/conference participants Per diem 0 0

Subtotal Human Resources 806,020 358,5832. Travel62.1. International travel Per flight 24 1,000 24,000 Per flight 2 1,000 2,0002.2 Local transportation 0 0 0CARE local air ticket Per month 15 207 3,105 Per month 6 207 1,242OXFAM -local air ticket Per flight 15 207 3,105 Per flight 6 207 1,242FON -local air ticket Per flight 15 207 3,105 Per flight 5 207 1,035Subtotal Travel 33,315 2,0003. Eauioment and supplies73.1 Purchase of vehicle Per vehicle 1 35,000 35,000 per vehicle 1 35,000 35,0003.1.1 Vehicle rentals Per month 48 708 33,984 per month 10 708 7,0803.2 Furniture, computer equipment3.2.1 Office furniture per item 9 400 3,600 per item 9 400 3,6003.2.2 Laptop computers per item 7 900 6,300 per item 7 900 6,3003.2.3 Printers per item 3 400 1,200 per item 3 400 1,2003.2.5 Digital camera per item 2 320 640 per item 2 320 6403.2.6 Phones per item 25 160 4,000 per item 25 160 4,0003.2.7 PA System per item 5 400 2,000 per item 5 400 2,0003.3 Machines, tools... 03.4 Spare parts/equipment for machines, tools Per Item 03.5 Other (please specify) 0 0Subtotal Equipment and supplies 86,724 67,3394. Local office4.1 Vehicle Running Cost (fuel & maintenance)- CARE/FoN/OXFAM Per month 48 859 41,232 Per month 12 859 10,3084.2 Office rent (contributions for CARE, FON and Oxfam) Per month 48 665 31,902 Per month 12 665 7,9754.3 Consumables - office supplies (CARE/FON/OXFam) Per month 48 750 36,000 Per month 12 750 9,0004.4 Other services (tel/fax, electricity/heating, maintenance)- CARE/FON/OXFam Per month 48 750 36,000 Per month 12 750 9,000Subtotal Local office 145,134 36,283

2014FBB - budget.xls 2/17

CTR 379-240

1. Budget for the Action1 All Years Year 12

CostsUnit13 N° of Ųnitvaluė

(in EUR)Total Cost(in EUR)3

Unit № of units Unit value (in EUR)

Total Cost (in EUR)

5. Other costs, services85.1 Publications3 05.2 Studies, research9 05.3 Expenditure verification/Audit per audit 4 12,000 48,000 1 12,000 12,0005.4 Evaluation costs 0

5.4.1 Baseline costs Perevaluation 1 20,000 20,000 1 20,000 20,000

5.4.2 Mid-Tern Review Perevaluation 1 15,000 15,000 0

5.4.3 Final Evaluation Perevaluation 1 20,000 25,000 0

5.5 Translation, interpreters 05.6 Financial services (bank guarantee costs etc.) 05.7 Costs of conferences/seminars9 05.8 Proiect Launch (sub-national level in 5 diff project areas) lump sum 5 5,000 25,000 5 5,000 25,0005.9 Project Start-up workshop per

workshop 1 4,500 4,500 1 4,500 4,5005.10. Project closeout meeting per meeting 1 3,064 3,064 05.11. Training of Project Tean on VGGT and others per

workshop 4 2,188 8,752 1 2,188 2,1885.12. Project Management/oversight Committee meetings bi-annual 8 1,300 10,400 2 1,300 2,6005.13. Visibility actions10 Per year 4 22,551 90,204 1 22,551 22,551Subtotal Other costs, services 249,920 76,8396. OtherOrganisational ańd institutional capacity development support to smallholder fishery associations and civil society alliances.

Activity 1.1 Develop information, education and communication materials, and also Trainers Manual on VGGT Guidelines, Co­management, lUUs and other Fisheries Policies & laws forSecuring Suste nable Fisheries practices in Gnana. per activity 1 37,324 37,324 1 37,324 37,324Activity 1.2 Assess and development organisational capacity of smallholder Fisheries Associations and the CSO Alliances in the fisheries sector per activity 4 7,000 I 28,000 2 7,000 I 14,000

2014FBB - budget.x.s 3/17

i»XS«SüiS»y»ü.

CTR 379-240

1. Budget for the Action1 All Years Year 12

CostsUnit13

unitsUnit value(in EUR)

Total Cost(in EUR)3

Unit № of units Unit value (in EUR)

Total Cost (in EUR)

Activity 1.3 Train selected (45) media organisations/journalists on fisheries governance in the context of the VGGT for securing sustainable fisheries Per year 2 9,301 18,601 1 9,301 9,301Advocate for equtable co management modelsActivity 1.4.1 Develop two citizen report cards on "the state offisheries governance in Ghana” with fisheries stakeholders per brief 2 10,000 20,000 0Activity 1.4.2 develop policy briefs, policy papers and fact leads

per region 4 2,988 11,952 1 2,988 2,988Activity 1.4.3 Co organise annual sector review 4 12,908 51,632 1 12,908 12,908EffeetNeJIUU Monitoring and Grievance Mechanisms Piloted

Activity 2.1 Form and train Community-based Monitoring Groups (CMGs) on IUU monitoring, reporting and documentation, in line with the VGGT and relevant laws and policies, in 4 coastal fishing regions and 1 inland fishing district per

community 75 796 59,700 15 796 11,940Activity 2.2 Develop and operationalize an ICT tool for monitoring and reporting on IUU fishing.

percommunity 5 2,350 11,750 5 2,350 11,750

Activity 2.3 Develop an online knowledge management platform for collecting and analysing IUU reports

4 2,990 11,960 2 2,990 5,980Activity 2.5 Institute platforms for bi-annual multi-stakeholder on lUUs

per semi annual 8 4,990 39,920 2 4,990 9,980

Activity 2.6 Train the Private Sector Fishers (NAFAG, especially GITA and GIFA) on IUU compliance in the context of the VGGT

semi annual 8 912 7,296 2 912 1,824Activity 2.7 Support the Private Sector fishers (especially GITA and GIFA) in developing a “Code of Conduct for IUU” for self­compliance, in line with VGGT principles per activity 2 1,662 3,324 1 1,662 1,662Activities tp Deliver Result 3: Social and Economic Safeguards Contribute to Improving Livelihoods and Nutritional Status ofįSmallholder Fishers and other lisļerš of Fishery Resources

Activity 3.1 Conduct Analysis of adverse impacts of capacity reduction strategies on the livelihoods lump sum 1 15,000 15,000 1 15,000 15,000

2014FBB - budget.xls 4/17

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CTR 379-240

1. Budget for the Action1 All Years Year 12

Costs=i';:;Uhît;13:ţ:: į №|of

: uniteUnit value(in EUR)

Total Cost(in EUR)3

Unit № of units Unit value (in EUR)

Total Cost (in EUR)

Support to livelihood diversification for affected fishers in taráét communities 0 0 0Activity 3.2.1 conduct gendered enterprise and market analysis lump sum 1 13.000 13,000 1 13,000 13,000Activity 3.2.2 Rollout community-managed saving and loansschemes: this include forming and training small holder fisher groups on financial literacy, savings, credit and money management per group 30 1,310 39,300 6 1,310 7,860Activity 3.2.3 Business (local enterprises) development training forenterprise groups, including value addition and market linkages and access

bi-annual 8 2,434 19,472 2 2,434 4,868Activity 3.3 Train commun ty groups in use of scorecard method and facilitate annual community scorecard exercises and subsequent interface meetings with duty-bearers and service providers Per year 2 30,382 60,764 1 30,382 30,382Activity 3.4 Train women's community group on nutrition and food and security measures, including improved nutrition hygiene

per activity 30 2,485 74,550 10 2,485 24,850Activity 3.5 support for mapping,demacation and documentation of fish landing site. per loc. 5 3,500 17,500 2 3,500 7,000Subtotal Other 541,045 215,6167. Subtotal direct eligible costs of the Action (1-6): 1,862,157 756,6618. Indirect costs (maximum 7% of 7, subtotal of direct eligible costs of the Action) 130,351 52,9669. Total eligible costs of the Action (7+ 8) 1,992,508 809,62710. Provision for contingency reserve (maximum 3.51% of 7, subtotal of direct eligible costs of the Action) 69,987 0ЩШШШШе costs (9+10) 2,062,495 809,62712.-Taxes11

- Contributions in kind 12 0 013. Total acceoted11 costs of the Action (11+12) 2,062,495 '.["'r; ч:' 809,627

2014FBB - budget.xls 5/17

CTR 379-240

1. Budget for the Action1 All Years Year 12

COStS Unit13 № ofunits

Unit value(in EUR)

Total Cost (in EUR)3 V

Unit № of units Unit value (in EUR)

Total Cost (in EUR)

1. The description of items must be sufficiently detailed and a l items broken down into their main components. The number of units and the unit value must be specified for each item depending on the indications provided. The budget has to include costs related to the Action as a whole, regardless the part financed by the Contracting Authority.

2. This section must be completed if the Action is to be implemented over more than one reporting period (usually 12 months).3. The budget may be established in euro or in the currency of the country of the Contracting Authority. Costs and unit values are rounded to the nearest euro cent.4. If staff are not working full time on the Action, the percentage should be indicated alongside the description of the item and reflected in the number of units (not the unit value).5. Indicate tie country whe*e the per diems are incurred.Per diems are not considered a simplified.cost option for the purposes of Union financing when the Grant Beneficiary reimburses a fixed amount to its staff according to its staff rules and asks for the reimbursement of that same amount in the action budget. That is an actual cost.Otherwise, if the Beneficiary proposes a reimbursement on the basis of simplified costs option (for instance a "unit cost"), it must specify "UNIT COST per diem" in the "unit value" column and the applicable rates (in any case the final eligible cost may not exceed the rates published by the E.C. at the time of such mission).

6. Costs for C02 offsetting of air travel may be included. C02 offsetting shall in that case be achieved by supporting CDM/Gold Standard projects (evidence must be included as part of the supporting documents) or through airplane company programmes when available. Indicate the place of departure and the destination. If information is not available, enter a global amount.

7. Please separate cost for purchase or rental.8. Specify the typology of costs or services. Global amounts will not be accepted.9. Only indicate here when fully subcontracted.10. Communication and visibility activities should be properly planned and budgeted at each stage of the project implementation.11. Only to be filled in when provided for in the Call for Proposal (i.e. taxes are not eligible and the beneficiary(ies) can show they cannot reclaim them). Please see glossary of terms (Annex A 1 ) of the Practical Guide to contract procedures for EU external actions for the definition of taxes. Please note that direct taxes are not included (such as taxes on salary of staff working for the action which are part of the gross salary). Note: Where the Call for Proposal does not exclude the coverage of taxes and the beneficiary can show it cannot reclaim, taxes may be eligible and should oe ncluded in each relevant heading. Taxes that can be reclaimed are not considered as eligible nor accepted costs.12. Only to be filled in when contributions in kind as may be accepted as co-financing. The amount indicated must be identical to the one indicated in worksheet 3 "expected sources of funding"

13. Use "UNIT COST per flight/month/kit etc..." or "LUMPSUM" or "FLAT RATE" in case of simplified cost options. Use different lines for each type of simplified cost options and per beneficiary. In worksheet 2 the methods used to determine and calculate them must be clearly described and substantiated and the Beneficiary proposing and using them must be univocally identified, (for more guidance see Annex K - Guideiines-Checklist for simplified cost options).

NB: The Beneficiary(ies) alone are responsible for the correctness of the financial information provided in these tables.

2014

CTR 379-240

2. Justification of the Budget for the Action

Costs Clatiftcaiion ;of the budget items > УProvide* nanative.claďicationoheach budget itemdemonstratingthe necessity of the costs and . how tbeļ. relate to the action (e.g.ithrough references to;the.activities and/or.results in the -■Dećcrinfhn of the Antiani ..ŕ:,-. - Л::Т:: -'i\

Justification of the.estimated costsProvide a justification ofthe calculation of the estimated costs. Note that the esb'mation should be based on real costs bron simplified cost opb'ohs if allowed, as described in section 2.1.5 ofthe Guidelines for GrantsArinfínàhtX:.: '

1. Human Resources1.1 Salaries (gross salaries Including social security charges and other related costs, local staffi

1.1.1 Technical1.1.2 Administrative/ suDDort staff

Project Coordinator (100%) Project cycle management; budget management; donor compliance and reporting; contractual arrangements between CARE partners; financial management and procurement; linkages with other CARE projects when relevant.

Estimation is based on current experience with similar actions.this includes percentage of his cost base on 100% LOE, and other benefit.

Project Officer (100%) He/She is to provide technical support to the various component of the project and ensuring day-to-day management of project implimentation and budget monitoring to ensure spent is within budget, tra/sie will provide technical capacity building and monitoring support to the community level imp ementers, collaborate closely with technical team and community animators and ensure that implementation is aligned with the program strategies.

Estimation is based on current experience with similar actions.

M&E Officer (100%) Project montoring, evaluation and learningj capacity building of partners; lessons learned; technics inputs to field studies, methodologies, and research and documentation team; des gn and implement M&E framework

Estimation is based on current experience with similar actions.

Grants and Finance Manager (50%) Finance & Grants Manager, based in Accra and reports to the project coodinator - will coordinate all financial, contract, and grants management of the project. S/he will ensure financial and operational compliance and cost efficiencies in service delivery. This position will also monitor expenses against program budget. The F&G Manager will maintain up-to-date donor manual and rules while ensuring compliance to these rules,. Another important responsibility of this position is tc provide financial management support to FoN, and OXFAM (where applicable)

Estimation is based on current experience with similar actions.cos! includes salary and othe benefit (47%)

Driver (100) This position is fully dedicated to the project. S/He is responsible for driving the project team to project sies and meetings, in addition to ensuring vehicle maintenance and other basic administration and logistics support to the project.

Estimation is based on current experience with similar actions.

Programme Director (quality assurance) 8% Program Director, based in Accra, with with 8% LOE over a period of 48 months: responsible for overaeeŕg ell programs at CARE and ensuring quality controls. The PD provides technical and strategic guidance to project and also maintains higher level interaction with donors and oartners. The PD is responsible for overall program consistency and strategy, cross-program coordination and synergy, mobilization of technical assistance, dissemination of lessons learned and best practices!. The PD also oversees proper start-up and closeout of all projects in the country office and plays a role in influencing policies at national level through participation in Sector working group meetings. The PD further handles the contractual relationships with the partners and consultants where necessary.

Estimation is based on eumeni experience with similar actions.this includes percentage of his cost base on LOE, and other benefit

CARE FR Administration and Finance CARE’S budget also includes other Country Office program support staff time as shared costs which are included as direct costs in the budget as per CARE policy. These costs include salaries of pooled staff in finance, human resources and administration who will be responsible far overall management of staff performance, payroll, procurement, sub grants, financial management, production o; financial reports and other in-country support services. These pooled services are critical to ensuring an efficient and effective implementation of the program activities and available resources. Costs of these services are collected into one or more shared cost pools then distributed tc projects based on a methodology defined to provide a fair allocation of the costs to

Estimation is based on current experience with similar actions.

CTR 37B-240

2. Justification of the Budget for the Action

Costs Clarification of the budget items ·,Α ý:Provide, a narrative clarification of.each budge! item demonstrating the recessity of the costs'and how they relate to the action (e.g. through, references to the activities ard/or.results in ¡he : DescriBfion of the Ar.tinni ·' :Av AA. УУ ? ;АЩАА.:у r- - 'r;-·: : i·'.'·'■

Justification of-the estimated costs.Provide a justification of the calculation of the estimated costs. Note ihat the estimation should be based on real costs or on simplified cost options ¡f allowed, as described in section 2.1.5 of the Guidelines for GrantsAnniinani*

OXFAM

Programmes and Campaigns Manager (35%; provides strategic oversight and leadership to the project and has a key role in ensuring 0>ramquality standards are met and maintained. She/he provides direct line management to project staff teams and will be closely involved with regular monitoring and support tc the project as it cuts across Oram's agriculture and food security governance programmes and will thus require more effort than other projects of a similar size. The role provides support in communicating with contractual arrangements between CARE and Oxfam. The Program and Campaign Manager also facilitates cross learning between Oxfam projects and other NGOs to eresure the project is as efficient and effective as possible. She /he will provide technical support to project activities aimed at developing advocacy strategy and the knowledge and skills of partner staff and associations in advocacy.She/he will provide technical input into baseline and other research tools, and will provide feedback and recommendations on how to address advocacy issues including gender and women's rights. This position will ensure incorporation of a gender analysis as part of the eapectec

The budget line includes a base salary and benefits calculated at 35% level of effort.

Advocacy media and communications officer(100%)

he/she will be responsible for the advocacy,media and commun cation function of the team.He/she will provide media and communications technical support to project activities aimed at developing knowledge and skills of staff to address communication and visibility of the project as well as the development of communication products. This position will also provide technical inputs into training packages and modules on media and communication. Other important roles include: provide technical direction, liaise with relevant local and national media cutlets and journalisås. She will provide technical support in the establishment of a nutrition and hygiene education materials and media monitoring tools. Undertake field visits to monitor project imp ementation and caoture change stories and case studies for publication.

The budget line includes a base salary and benefits calculated at100% level of effort. This estimation is based on Oxfam current salary grid for the position of Media and Communications Officer role. This is also based on the annual Birches Salary Survey report which Oxfam and other INGOs operating in Ghana use as basis for pay reviews and setting salary bands.

The Business Services Manager (10% ) provides financial and administrative oversight to the project, ensuring that internal administrative and financial controls are in line with Oxfam and donor guidelines and policy. The BSM is also responsible for preparing all financial reports to CARE and the EU. She/he wiil assist in the recruitment of project staff, processing of the payroll, procurement of project materials, preparation of financial project reports and subsequent internal audits, managing data on the financial system and ensuring compliance with EC and Government of Ghana requirements. Periodic field visits with CARE Finance Team for financial monitoring and technical support is expected to 3-4 time a year to ensure that compliance is being met at al levels.

The budget line indudes a base salary and benefits calculated at 10% level of effort. This estimation is based on Oxfam current salary grid for the position of Business Service Manager role, which indude Finance.Grant/Contract Management, HR and Administration. This is also based on the annua! Birches Salary Survey report which Oxfam and other INGOs operating in Ghana use as basis for pay reviews and setting salary bands.

Research and Programme Quality Manager (10%)

The Programme Quality Management Specialist manages Oxfam's Monitoring, Evaluation Accountability and Learning systems and structures and will be supporting the project monitoring and evaluation by managing data, providing analysis and reportiig of results. She/he will be providing direct and technical support to consultants involved in base line, mid-term, and final evaluations. Support the establishment of baseline data base in collaboration with partners and community structures. She/he will set up the M&E, Accountability and Learning Framework for the project and support preparation of learning workshops and events such as project steering committee meetings. He will provide hands on technical advice and support to the CSOs selected for sub grants on basic M&E processes.

The budget line Includes a base salary and benefits calculated at 10% level of effort. This estimation is based on Oxfam current salary grid for the position of Research and Programs Quality Manager. This is also based on the annual Birches Salary Survey report which Oxfam and other INGOs operating in Ghana use as basis for pay reviews and setting salary bands.

■v^nnvvmvm-T·—‘>···’·“· ^srrr. 4ŽWďSď'¿¿íii&&fMiii£№&ir¡yfiZ¡Sú$SSÍÍí£i&ái iüC-Ä : ·< УЛ', ·

CTR 379-24Ū

2. Justification of the Budget for the Action

Costs ¿tarification of the budget items į . ; ::Provide a narrative clarification oñeach budget item demonstrating thè necessity cf ine costs arid how they relate to the action (e.g. through references to the activities and/or results m the

- 4;J':j.:Í4 :Γ;·ΐ4!ί l-Щ. Гг/Г

Justification.of the estimated costsProvide a justification of the calculation of the estimated costs. Note that the estimation should be based on real costs or on simplified cost options if allowed, as described in section 2.1.5 of the Guidelines for GrantsArinlir.ants

Driver and operations officer (50%) The budget line includes a base salary and benefits including health, social security, and incometax as required by law. Costs are shared with other projects supported by Oxfam in. Ghana.

The budget line includes a base salary and benefits calculated at 50% level of effort. This estimation is based on Oxfam current salary grid for the position of Driver and Operations Officer. This is also based on the annualBirches Salary Survey report which Oxfam and other INGOs operating In Ghana use as basis for pay reviews and settino salarv bands

FRIENDS OF THE NATIONProject Coordinator (30%) He will coordinate FoN project activities and ensure timely delivery and reports are submitted. He

will participate in project management meetings with partners and EU and provide strategic input for overall project planning and management. He will provide technical support to project activities aimed at developing advocacy strategy and the knowledge and skills of partner staff and associations in advocacy. He will provide technical for CMGs concept development and formation. He will provide strategic leadership for IUU monitoring and documentation. He will work directly with partners and allies to advise on advocacy and campaign strategies and tactics to influence decision makers or publics. He will spent 45% of time of the project. The budget line includes a base salary and benefits including health, social security, and income tax as required by law

Estimation is based on current experience with similar actions.this includes percentage of his cost base on 30%LOE, and other benefit.

Advocacy/lUU Monitoring Coordinator (45%) Will work directly with Community Animators to provide specific technical support and oversight for the IUU monitoring. He/She will provide technical guidance for the capacity development of the CMGs and facilitate the multi-stakeholder platforms at the two commands and ensure successful organization of the dialogue events, trainings for the CMGs. She/He will support the development of advocacy and strategic plans for the Associations and support the Implementations of the plans at the various nation, regional and local level. He/She will also provide technical support for linkages between the CMGs and Government and other stakeholders.The burinei ľne Indudes a base salarv arri benefits includine health social security and Income

The budget line includes a base salary and benefits calculated at45% level of effort. This estimation is based on FoN current salary grid for the position of Advocacy/lUU Monitoring Coordinators role in line with their HR policy.

Community facilitators (100) four (4) community facilitators will be engaged (One for Western Central, Greater Accra and Volta Region with an oversight of inland). They will be responsible for on the field mobilization, communication and formation of the CMGs. They will also provide capacity development support to the CMGs and support they to generate and maintain the local register. They role will include stakeholder networking and linkages are the various regions to ensure that project implementation at the local level is complimentary to other interventions.They wili be the key outlet for diffusion/ dissemination of communication products to beai stakeholders. They will also ensure the participation of key stakeholders from the local level to national level engagements and ensure that discussions and decisions at national level is communicated to local stakeholders. They will ensure the participation of local fisheries stakeholders in the implementation of national advocacy actions.The budget line includes a base salary and benefits including health, social security, and income tax as required by law.

The budget line includes a base salary and benefits calculated at 100% level of effort. This estimation is based on FoN current salary grid for the position of project Officer's role in line with their HR policy. And this inicudes base salary and other benefit, their LOE has been as a result of having all of them in one project office

Financc/Account Administration Manager (22%) Will provide oversight of Finance and administration for the project implementation in FoN and ensure proper book keeping. They will also guide project activity budgeting, spending and retirements. They will maintain books of accounts and provide regular and periodic financial reports to Care.The budget line Includes a base salary and benefits including health, social security, and Income tax as required by law

The budget line includes a base salary and benefits calculated at 13% ievel of effort. This estimation is based on FoN current salary grid for the position of Finance and Administration Manager's role in line with their HR policy. And this inicudes base salary and other benefit

Driver and Admin Support Staff (22%) Consists of driver and admin support staff. They will carry out administration and finance activities, logistics, travel arrangement, etc. they will assist inventory and transporting staff to field sites and meetings.The budget line includes a base salary and benefits including health, social security, and income tax as required by law.Responsible for day-to-day finance and administration of the project; ensure disbursements are line with donor rules and regulations, provide financial and administrative reports per project reporting requirement; monitor project financial disbursement in relation to agreed burn rate

The budget line includes a base salary and benefits calculated at 22% level of effort. This estimation is based on FoN current salary grid for the of the driver and administrative support role in line with their HR policy. Aid this Inicudes base salary and other benefit

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CTR 379-240

2. Justification of the Bjdget for the Action:г;Ц: All Years rrr··

Costs GIárifič^ipn:ófjthé|b^geÉ!itórté;Í4iri:r[:;f:::i:.3'nr.^;Í:ÝÚ::P:;i!^!i!:'K::i'riiř:';ři.r;.::.:''ll:‘r':.::Provide a narrative clarification of each.budgetitem demonstrating the necessity of the costs and- how they relate to the action (e.g. through references to the activi!ie$īand/or results in the j:-·:·;.· Ďescrhfion nf Hie Actinnł rivi 'irl i: ' ŕ

Justification of the estimated costs..'^rövidé a justification of the calculation of the estimated costs. Note that the estimation should be based on real costs or on simplified cost options if allowed, as described in section 2.1.5 of the Guidelines for GrantsArinfínàhts

Account officer (50%) Win provide suppon to the Finance and administration for the project implementation in FoN andensure proper book keeping. They will also guide project activity budgeting, spending and retirements. They will maintain books of accounts and provide regular and periodic financial reports to Care.The budget line includes a base salary and benefits including health, social security, and income tax as reouired bv law

The budget line Includes a base salary and benefits calculated at 13% level of effort. This estimation is based on FoN current salary grid for the position of Finance and Administration Manager’s role in line with their HR policy.And this inlcudes base salary and other benefit

1.2 Salaries (gross salaries including social security1.3 Per diems for missiors/travel

1.3.1 Abroad (staff assigned to the Action) per diem for international trip semi annual a a year this cost includes 183 perdiem and lodging rate for 3 key staff for semi annual trip for 4 years

1.3.2 Local (staff assigned to the Action) allocation for local trip and this includes the cost of local transport (tad), perdiem and lodging cost Per Diem for meals & incidentals is budgeted as per CARE. FoN, Oxfam local per diem policy, this includes 304trips for the period for CARE at a current rate of 95 and 200 trips at 56 for FoN and 216 at 40 for Oxfam

1.3.3 Seminar/conference DarticioantsSubtotal Human Resources ■ \ T ΪΥ'ίΚΓ- V ' ”'V'* 'V:'4' '' : *· '// ·' . - * . '2. Travel2.1. International travei allocation for international trip that includes FAO trip this cost includes air ticket for e trips at 1000 each. 3 key staff attending workshop twice a year for the 4 year perio·

2.2 Local transportation the budget cost includes ground transport,taxi cost, lodging and perdiem according to each partner organization organization policy,

Airfare cost is based on prevailing market rate, based on CARE,FoN and Oxfam policy

Subtotal Travel3. Eauipmentand suooiies3.1 Purchase or rent of vehicles Allocation for Vehicle to support transport personnel in all the implimentatlon communities Vehicles at a unit cost €35,000 to be available to the key project staffs for all the implementing partners for all the

district. In addiction to this considering how spread the district and communities are, each partner budgeted 236 as vehicle rental to support the one officical vehicle for this projectthis rental is necessary for various meetings and monitoring if the vehicle is too occupied with other project activities.

3.2 Furniture, computer equipment this is the budget allocation for Ihe purchase funlture for project staff, and this includes cost of table and chair, this also Includes cost of laptop for key project staff, and printers, camera and phones

a desk at the unit cost of 400 is budgeted for project staff to allow them work effectively. This inlcudes chair and table. This line also includes the cost of laptop for some key staff, this includes laptop for project coodinator. project officer, M &E officer, the project also budget for 3 printers for the 4 years. 3 camera's at 320 for each partner accross the 3 regions will be purchased, this line also include cost of phones using mobile phones/SMS/apps linked to an open online platform to help report grevancee and monitoring 1UU activities, total of 25 pieces (5 per each coastal zone) at 160

3.2.7 PA System

3.3 Machines, tools...

3.4 Spare parts/equipment for machines, tools

3.5 Other (please specify)

Subtotal Equipment and supplies. .

4. Local office

4.1 Vehicle costs One vehicle will be purchased to support the running of the project in the 4 regions cost based on recent cost analysis in the market

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CTR 379-240

2. Justification of the Budget for the Action ШШЩЩЯвШгЖ·-·■ '·:··;·:'?·ν.ν· ■ ■ ·.Costs Clarification of the budget items

Provide a narrative-clarification of each-budget item demonstrating the-nècessity of thė.cgsts and how they relate to the action. (e:g:.‘.hrough references to the.activities ano/orresults in the Desóriòtiori of the Action). ; ·- Г-Х ? {:;-к

Justification of the estimated costsProvide a justification of thé calculation of the estimated costs. Note that the estimation should be based on real costs .ór on simplified cost options if allowed, as described in section 2.1.5 of the Guidelines for GrantsAnnlicants

4.2 Office rent (CARE, FoN, OXFAM) To cover the cost of the office space altocated specifically to the Project staff. The costs is based on historical monthly average of rent and running costs . CARE uses a Shared Program Cost(SPC) method, which is CARE ntemational and auditor approved to allocate these costs monthly based on the percentage of expenditure for the project against total expenditure for the month, cost of 665 is budgeted

4.3 Constinables - office supplies(CARE.FcN.OXFARM)

Allocation is the estimated amount of support required for this action. Costs include stationary,toner, mise supplies to the Oxfam nnance, admin. Program Quality and management staffi to support the project.

The costs is based on historical monthly average of the past year on consumables . CARE uses a SharedProgram Cost (SPC) method, which is CARE Internationa! and auditor approved to allocate these costs monthly based on the percentage of expenditure for the project against total expenditure for the month, this cost includes support to both FoN and OXFAM

4.4 Other services (fel/fax, etectridlylhealing,maintenareej-CARE.FoN, OXFARM

This line covers email, telephone, internet, fax to support provided by Oxfam finance, admin,Program Quality and management staff. It also covers monthly depreciation on equipment used to support the project and is based on Oxfam policy and procedures.

The cost is based on historical monthly average of the past year on communications and depredation. CARE uses a Shared Program Cost (SPC) method, which is CARE International and auditor approved to allocate these costs monthly based on the percentage of expenditure for the project against total expenditure for the month, total budget of 74,880 for 4 years. (1,560 for 48 months), this cost also indudes shared cost with Oxfam and FoN

Subtotal LOCJI office ..........5. Other costs, services

5.1 Publications

5.2 Studies, research

5.3 ExpenJture verification/Audit Cost for exoenditure verification of the project accountability each year o? the project (4 in total). This may extend to both a review cf the documentation as well as field visits, at the discredon of the aud ting firm.

totai of 12,000 euro is budgeted for audit

5.4 Evaluator costs

5.4.1 Baseline costs will be conducted as part of Initial activities on this project and this take piace in all project locations. The outcome will be used to refine and validate project indicators and help develop a comprehensive monitoring framework for implementation. Comparing baseline informaibr with mid-term and end-term evaluations will afford the partners the opportunity to assess the impact of the project, the kind and depth of changes which have taking as a results of the prcjecťs intervention. One baseline survey will be conducted and will take place during first year of :he project

Estimation is based on current experience with similar actions. A total budget of 20.000 consultancy is budgeted for this activity

5.4.2 Md'Term Review CARE will commission a Mid-term evaluation of the project with the view to ensuring that project implementation processes are goirg on as planned. There will also be an End-Term project evaluation and all these will be led cy independent external Consultants. This will be an opoortunity to review in depth the changes made as a direct result of the action, key challenges faced and how these have been addressed. Specie recommendations will be expected as part of the external evaluation. Along this line, a detailed audit will be carried out each year to verify expenditure carried out under the Action and certify the extent to which these comply with EC external action requirements. Medium-term evaluation will be implemented immediately after year 2

Estimation is based on current experience with similar actions.total amount budgeted is 15,000 euros as consultancy fee, for the researcher and the team of assistant and data collectors. This vail also include travel and perdiem cost.

П/18

CTR 379-240

2. Justification of the Budget for the Action

Costs Çtartfication of the budgeProjde a narrative darr,са how they ’siale tø the ache Oèicriotiòh nf the Adinn)

ΠΙ0ΤΙ8:;;ιΥ;:;ί||-=|:Υ HIŠtÍyY-Y‘ióňbf each budget item demons n įekj. throūgtyMerences to the

¡rating the necessity of the costs activities and/or results in the

hifiJustification of.the estimated costsProvide a justification of the calculation of the estimated costs. Note that the estimation should be based on real costs or on simplified cost options if allowed, as described in section 2.1.5 of the Guidelines for Grants

5.4.3 -iná Evaluation There will also be an End-Ten project evaluation and all these will be lec by independent externalConsultants. This will be an opportunity to review in depth the changes made as a direct result of the actior, key challenges faced and how these have been addressed. Specific recommendations will de expected as part of the external eva uation. an external audit will be conducted at the end of the project

Estimation is based on current experience with similar actions.total amount budgeted is 20,000 euros as consultancy fee, for the researcher and the team of assistant and data collectors. This will also include travel and perdiem cost.

5.5 Trans atioa, interpreters

5.6 Financial services (bank guarantee costsetc.)

5.7 Costs of corferences/saninars

5.8 Project Launch This will te one off preparatory activities that wiil be implemented following successful approvaland contracting of the Action. The Consorti.m formerly launch the project and this wili be one of the means of disseminating information atout the project. It will also be of the means of demonstrating the visibility of :~s projects. Consequently, materials for communicating and branding :he project will be developed with messages and logos of Consortium Member and EU. in line with conditions under E J Visibility framework and guidelines. It is expected this launch wili provide the media and stakeholders the first 'glimpse' of the project. This will be part of year one’s activities

Rates and costs are based current costs for these types of activities:■ luching materials: 1.5 Euro x 200 pax• Rent for venue: 300 Euro x 1 events■ News paper article: 250 Euro x 2 article■ Fuel and transportation for conterpart vehicles, pprox. 1500 Euro• Banners and locai radio: 200 x 10• Snacks 3 x200

5.9 Project Start-up workshop Pro ecf start up workshops have been rea ty useful and effective in ensuring all key stakeholders discuss the terms and conditions of the Action, agree on clear communication channels and clarify roles and responsibilities of key actors. This will be a national level activity. However, key stakeholders and representatives from Smallholder Fishers Associations, target CSOs and government agencies will participate in this workshop. Such workshops in the past have proven to be an effective medium for prenoting EC visibility in Ghana and to create increased awareness of the important work of the EC r the country It is expected that participants from this meeting will have better appreciation and ir.derstandinç of the rationale for the project, the technical details of the project and how it is linked io other on-going initiative in the locations. It is also expected that participant will be clear on how this project will contribute to enhancing the fisheries sector of the Coentry. This will be part of year one's act Vties.

Rales and costs are based current costs for these types of activities:■ workshop catering service: 10 Euro x 100 part• Worshop materials: 3 Euro x 100 part• Rent for venue: 400 Euro x 1 events■ News paper article and community radio: 250 Euro x 5 artide■ Fuel and t&t for conterpart vehicles, 1550

5.10. Prefect closeout meetiig As well as starting the project cn a commo* agreed note involving all stakeholders, there will be a project closure workshop which will provida an opportunity to present and discuss the key impact of the project on the target group and final teneficiaries, This will be an opportunity to further collect and show case key changes resulti^ from the project and oral testimonies from representatives of communities, Smallholder Fishers Associations, target CSOs and government agencies This platform will also be used to discuss potential next steps for continuing to sustain the benefits of the Action in the long-term. This will be part of year4's activities

This budget covers closeout activities to ensure compliance with final program and finandal reporting induding the proposed disposition of non-expendable equipment, as well as on knowledge, management and learning activities. We budgeted for a lump sum of €2,500 for this activity in Y4

5.11. Training of Project Team on VGGT and others

training with FAO on VGGT a*c other relevant policy frameworks. This inicudes project impdimemation team and representations f sheries associations and alliances

Project Nfenagement/oversght Committee meetings

An oversight meetings among partner organization establishment and regular coordinationmeetings held semi annually over the 4 yea- project period'.

we budgeted for a minima! amount of €1800 per meeting to cover lunch/refreshment and some fuel and transportation transportation allowance. To be heid semi annually over the 4 year project period for a total of €14,400.

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iaasaassss^

2. Justification of the Eudget for the Action ; All Years - : .

Costs ClarifKatioė Of the budget items ■'·. f:.; -Provide e narrative clarification of each budget item demonstrabng thenecessity of the costs and how. they retate lo the action (e.g..through references to the activities and/or results in the) ■:.. Oescrinfinn of the Antiani ]rś

Justification of the.estimated costs. :Provide, а justification of the calculation of .the estimated costs. Note that the estimation should be based on real costs or on simplified cost options if allowed, as described in section 2.1.5 of the Guidelines for GrantsAnniinani* : ■

5.13. Visibility actions To enable the project to communicate the contribution from the donor Id support thecommunity.These indude branding of banners with EC and CARE Ghana and partners logos and the key messages of the project.Media briefings will also highlight project visibility issues, especially during World Fisheries Day, International Day for Hand Waiting events using T-shirts, posters, pull outs, banners and key messages..

The incurred costs will include, signboards, T-shirts as well as donor visibility present at key national day events and any other public message, local drama and cultural performances branded in donor logo for local level visibility as well as news letters to policy makers (both soft and hard copies). Rates and costs are based eumeni costs for these types of activities:• T Shirt: Euro 6 x 3000• Signboard: Euro 491,34 x 2 per each district (2*30=60)• Stickers : Euro 6 x 900• Radio discussion: 1000 x 8 times (2*4)

Subtotal Other cosėii services ... · y; < V . ** ”· y"6. Other1.1 Develop information, education andcommunication materials, and also Trainers Manual on VGGT Guidelines, Co­management, ¡UUs and other Fisheries Policies & laws for Securing Sustainable Fisheries practices in Ghana.

This activity neiudes (a). Hold planning meetings with partners to develop communications strategy for tie entire project (b)Hold planning sessions with partners and the EU for branding rules and po icy incorporation in visibility.(c) Develop specific song sheets, detail communication activities to guide (radio, TV, community, Newspapers, etc) (d). Design and print well branded posters, banners, pull-ups for communications, community events, etc ¡e). Develop training manuals on VGGT, IUU etc. for the training of Associations, Media and CMGs, ( Three manuals are require crone (1) big manual with 3 main sections: one on advocacy and participation inVGGT operationalization by the Associations, 2nd one will concentrate an the role of media ir VGGT operationalization and IUU Monitoring, the 3rd one will be on Cfd-Gs concept, formation guide lines and operational manual) (f) Develop comic books on VGGT, IUU. Etc with illustrations in English and other local languages for mass communication.

Estimation is based on current experience with similar actions.a total budget of 7000 was allocated for this

Activity 1.2 Assess and cevelopmentorganisational capacity o' smallholderFisheries Associations an-tHhe CSO Alliances in the fisheries sector

1. Conduct desk top study of available information about the Associations from, reports, SFMP,SNV, GoG, etc.2. Hold meeting with executives of the associations to discuss gaps, SWOT, etc (2meetings oer association, there are 5 associations)3. Meet with larger association members to assess the key capacity needs (this could be done a one big national meeting with regional reps average of 70 participants per each of the 5 Association)4. Hold final validation meeting to develop strategic plans and action plans.5. Conduct monitoring visits to the association executive every six (norths tc check performance6. this also irdudes community needs assement

Rates and costs are based eumeni costs for these types of activities:• CBO meetings: Euro 150 x 40 meetings

Activity 1.3 Train setectec (45) media organisations/joumalists on fisheries governance in the context cf the VGGT for securing sustainaole fisheries

this acrivityy will inlclude; 1. Do a desk-top review of available data about capacity gaps of media.2. Develop questionnaires and pre-text3. Administer questionnaire to about 200 media organization across Ghana.4. Develop d'aft report and validate with selected media houses5. Develop capacity strengthening manual/cumculum for media training.6. Organized training for 45 media organizations every year from year 2.

Rates and costs are based cument costs for these types of activities:• constancy to dev. and adminster questionate·, 150x15 days• catering services of 850 erro• Rental of venue for events: Euro 400 x 1 events• Catering for events: Euro 30 x 50 participants.• T & T and fuel 4050 and printing of workshop materials including visibilliy materials at 740.

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2. Justification of the Budget for the Action

Costs Clarification of the budget items ;·:;η i- >Pipvidėįa narrative clarification of each budget/fem demonstrating the hęcessityof.thė costs and how they relate to the action (e g through references to the activities and/or results in the

Justification of the estimated costs , .Provide a justification of the calculation of the estimated costs.· Notethat the estimation should be based on real costs or on šimpfífíed cost options if allowed, as described in section 2.1.5 of the Guidelines for Grants

Activity 1.4.1 Develop two citizen report cards on 'the state of fisheries governance inGhana” with fisheries stakeholcers

Citizen's Report Card is a tool to capture citizens’ perception of issues or services Па: affect them. It involves the use of assessment tools like questionnaire and Focus Group Discussion for data ga'hering and analysis. This Action will conduct two (2) citizen report card processes, one in the 2nd and one In the 4th year, with a view to providing an alternative report on ”the State of Fisheries Governance in Ghana". CARE will outsource this service to a consultant with experience n the process. Information from this assessment will help in developing the policy briers, position papers and Facts Sheets for dissemination. The report from the analysis of the citizens’ perception will contain recommendations, which will target both locai and national level policy and decision­making processes.

consultant to be hired to conduct deskstop study and field visits to collate information of Ushering govenance and policy implimentation (draft report generated will be validated with stakeholders ). A lumb sum consultancy fee of 20,000 euro

Activity 1.4.2 develop policy briefs, policypapers and fact leads

this act i vity includessi ). Conduct desk top assessment of co-mgt policy documents (2\ Holdmeeting with associations to inform and review them. (3) Work with Associations to develop policy briefs, position papers, radio programmes to articulate their input especially concerns of women and sma Iholder fishers. (4.) Support them to participate in national dialogue meetings to articulate their viar/s. (including lodging, transportation, etc)

Rates and costs are based current costs for these types of activities:• Worshop materials: 3 Euro x 23 part• Rent for venue: 200 Euro x 1 events■ catering service 207 euro and policy brief (500x5) =2500

Activity 1.4.3 Co organise annual sectorreview

To advocate for co-management, the Consortium will: 1 ) Develop evidence-based poi cy briefswith recommendations and fact sheets together with smallholder fishery associations aid civil society iiliances, 2) Jointly follow up and lobby to encourage the adoption of the recommendations, give input to the policy framework development and advocate for the development of laws to institutionalise the model. 3) Sensitize the fisheries associations on the co­management models and strengthen the r capacity to engage in decision-making processes related :o the implementation of the models.

Rates and costs are based current costs for these types of activities:• luching materials: 1.5 Euro x 200 pax• Rent for venue: 600 Euro• consultancy/facilitation; 1250 (250*5)• Fuel and transportation for conterpart vehicles, aprox. 1200 Euro• lodging: 5400 (60x3x30)• Snacks/catering service 1728 (4x8x5x4)

Activity 2.1 Form and train Community-based Monitoring Groups (CMGs; on IUU monitoring, reporting and documentation, in line with the VGGT and relevant laws and policies, in 4 coastal fishing regions and 1 inland fishing district

tbs invcives formation of Community Monitoring Groups (CMG) among smallholder fisiers and support to document and report grievances regarding tenurial access and infringements onInshore Exclusion Zones (IEZ). A local register on grievances will be maintained. ICT systems for monitomg IUU wiil be piloted (using mobile phones/SMS/apps linked to an open on ine platform). The Action will involve supporting private fishing companies in self-monitoring and compliance initiatives through the National Fisheries Association of Ghana. Evidence will be discussed and reviewec between the smallholder fishers, the Fisheries Alliance, private fishing companies and the fisheries enforcement unit in the multi-stakeholder forums. All the stakeholders wilt benefit from training on compliance mechanisms and will be supported to implement voluntary compliance mecharisms. Community-based Groups which will be formed will have capacity to monitor IUU cases, record them and report on them to the enforcement agencies. Five (5) IUU CM3s will be formed as pilots and the lessons, experiences in IUU monitoring will be.documented aid shared wi

1. Selected specific locations (5-Districts/Communities not the same as other pilots by SFMP or GoG) and hoid local stakeholder consultative meetings to discuss and agree on the formation of CMGs and IUU Committees (Activity 2.4) and get local nominations.2. Training of CMGs and IUU Committees (Activity 2.4) on VGGT, ÜU monitoring the various CMGs in the locations.3. Organize vision building workshop with communities, including traditional authorities and chief fishermen and their committees, and work with them to develop local aclion plans and indicators for performance monitoring and tracking.4. Conduct period visits to monitor and review performance of CMGs and IUU Committees (Activity 2.4) as well as address any organizational challenges with them.5. Hold learn and share meetings for the various CMGs and IUU Committees (Activity 2.4) for cross learning and experience sharing.this cost includes 15 part by 5 community (5x15=75), cost of training vanue of 150 at the community level, catering service, and transportation cost (70 x 8) and training material (116)

Activity 2.2 Develop and operationalize anICT tool for monitoring and reporting on IUU fishing.

Simple smart phones will therefore be used to gather evidence such as pictures and ãiort videos of IUU practices. These smart phones will have in-built GPS that can give the coordinates of the actual location of the activity. The CMGs will be trained on how to use the Smart phones for accurata evidence gathering. The smart phone will have zoomed in/o.ut features that will allow the users to take the photographic evidence without been in close contact with the offendrg vessel. If visibility s poor the pictures could be worked on to reveal the names, registration numbers and other unique features that identify the vessels. The smart phones will be used by the CMGs to collate adequate evidence of IUU in line with section 121 of the Fisheries Act (Act 625; of 2002, that supports the used of photographic evidence for fisheries enforcement and prosecution.

this involves cost of training CMG's to operate smart phones to capture date and share. This involves cost of trainning materials (3x25), training vanue (300 ), trasportation cost of participant (30*25). development of picture book and material for demonstration (20*50),facilitator travel cost (225)

(|Ч"Ч»ЧГ~|—aj r~~n14/18

CTR 379-240

2. Justification of the Budget for the Action All Years

Costs Clarification of the budget ItemsProvide a narrative clarification of each budget item demonstrating the necessity ofthe costs and how.they relate to the action fe.g. through references to re activities and/or results in the ; T.

T?: ŕ, :r;

Justification of the estimated costsProvideä justification of the calculation of the estimated costs. Note that the estimation should be based on real costs or on simplified cost options if allowed, as described in section 2.1.5 ofthe Guidelines for GrantsAnn'hanls

Activity 2.3 Develop an onl ne xnwledgemanagement platfcrm for collecting and analysing IUU reports

A platform to collate all evidence and data collated by the CMGs and other IUU information fromother existing tools e.g. USAID/SFMP's Vodafone Fishers' Club, Citizen’s watch on the sea, as well the Monitoring for Environment and Security in Africa (MESA) Earth Observation (EO) toot.The Blog will have an application that can analyze and produce requested information e.c. Number of case of transship recorded by location, etc. The application will have map that will indicate the location of particular activities of IUU. It will also represent data on a dashboard in charts and other graphic illustrations. This blog would be advertised widely and linked to the websites, Facsbook pages, WhatsApp platforms and other social media platforms of partners and allies. Information for this application will be manually updated weekly to ensure up-to-date information. This blog could serve as a rich source of information on IUU for policy makers, Government, Fisheries Managers, Community folks, fishers, Journalist/media persons, Researchers, CSOs, and development partners

1. Hire a consultant to develop a simple online platform förstöring, processing, analyzing IUU reports andInformation, and exhibits results by location, frequency, nature of offense and other grievance noted, usage of platform will be tracked annually2. Host the platform for the entire period of the project3. Maintain the platform with regular information4. Conduct training of local staff for the operation of the platform beyond the project phaseRates and costs are based current costs for these types of activities:• hosting fee; 100• consultancy. Euro 5 x 300• Rental of venue (VTE) for events: Euro 300• Catering for events: Euro 400• transport and fuel cost :590 euro

Activity 2 5 Institute pïatforms for bi-annualmulti-stakeholder or iUUs

A multi stakeholder dialogue platform on IUU and fisheries enforcement will be established todiscuss and review the IUU data collated by the CMGs and other similar processes by other partners. The multi stakeholder dialogue platform will be a dialogue forum where the CMGs and other groups will present and discuss the evidence submitted and the foilow-up actions from the enforcement agencies (i.e. FEU), this platform will be used to review enforcement and prosecution challenges for IUU. This platform will also provide important feed back to the smallholder fishers so that they can know and understand the nature of punishment (fines, etc) imposed on the convicted vessels. This platform will be used to validate the accuracy of photographic evidence presented by the CMGs and the feedback will be used to revise the strategies for evidence gathering by the CMGs. This Dialogue platform will rope-in the fisheries prosecutorial cha n network, currently been held In Takoradi and Accra by the USAID/SFMP with only few selected government stakeholders. Two (2) Bi-annual dialogue forums will be held one in each of the enforci

Rates and costs are based current costs for these types of activities:• training materials 30 x 3 x2 euro ■ consultancy; Euro 2 x 300• Renta! of venue (VTE) for events: Euro 300 x 2 events and one for national dialogue at 500 euro• Catering for events: Euro 900• transp ort and fuel cost :2600 euro

Activity 2.6 Train the Private Sector Fishers(NAFAG, especially GITA and GIFA) on IUU compliance in the context ot the VGGT

training workshop each year (total of 4) with NAFAG, especially GITA and GIFA) on IUU compliance in the context ofthe VGGT using the manuals developed under activity 1.1.1

Rates and costs are based current costs for these types of activities:• Facilitator 150x1• catering services of 396 erro• Rental of venue for events: Euro 300 x 1 events ■ workshop materials; 66 (33*2)

Activity 2.7 Support the Private Sector fishers (especially GITA and GIFA) in developing a “Code of Conduct for IUU" for self-compliance, in line with VGGT pr nciples

A code of conduct for IUU self-compliance will be developed with NAFAG members especially Industrial Trawlers and Inshore fishers and this also includes the judiciary. This code of conduct will outline the specific approaches that the National Association will used to combat IUU activities. The code of conduct wíl! be built on the ecological-justification of the IUU laws; the code cf conduct shall promote communication on responsible fishing practices by the Association executives to their own members. The code of conduct will also be drafted to support the implementation of the National plan of action against IUU. The various executives will be supported to work together to develop this code; once code is completed Association heads will sign and endorse the code.

2. Conduct desk-top study to outline key compliance gaps and Incentives for the private sector.3. Hold validation meeting with them to validate finding.4. Hold discussion with them for the generation of a simple ‘Code of Conduct' with a guide from the 'FAO Code of Conduct for Responsible fishing'Rates and costs are based current costs for these types of activities:■ Worshop materials: 2 Euro x 33 part■ catering service 396 euro■ vanue 300 euro · transport and fuel :900 (30*30)

15.Ί8

CTR 379-240

2. Justification of the Budget for the Action

Costs Clarification of the budget items ; μ ; . (rij ПЙ: ilTiTr -į .·.Providea narrativeclarificatíonofeach budgetitem demonstrating the necessity oFthe costs af d how they rerato to the action (e g through references to the activities and/or results in the Description or the Achán) ι,κ·]χ::όΛ\ν±ί:1 ••btċl!.";.-·:·;;-:: ririv/

Justification of the estimated costsProvide а justification of the calculation of the estimated costs. Note that the estimádon should be based on real costs or on simplified cost options if allowed, as described in section 2.1.5 of the Guidelines for Grants

Activity 3.1 Conduct Analysis of adverseimpacts of capacity reduction strategies on the livelihoods

The project set off with the conduct site specific research and analysis of the adverse impact ofdifferent strategies for implementing capacity reductions on the livelihoods and nutrition of fishing communities, particularly women and children. The partners and research team will collaborate with government specialists and departments in the fisheries sub-sector, health services and education in the design and data gathering. The study will analyse and generate evidence on the likely impact of capacity reducrion on the livelihoods and nutrition security of fishing communities and the projected adverse impacts using participatory assessment tools, indigenous knowledge and practices and observable trends on related impacts. The study will generate gender- disaggregated data, as well as reflect views and impacts of capacity reduction, as experienced by women and other vulnerable group directly and indirectly engaged in the fisheries value chain.The findings of the analysis to be conducted in the communities covered by this project wili undergo a series of public hearings and consultations to disseminate the findings and to make the 1

a. Hire a consultant for 20-days consultancy to conduct analysis of the adverse impacts of capacity reduction strategiesb. Hold validation meeting with communities, government and other stakeholdersc. Publish and launch report and policy briefs including media discussions of report findingsd. Hold policy dialogue meetings with government on policy proposals and recommendations for reforms and actions on how to mitigate the impacts of capacity reductions on poor and vulnerable groups and communities Rates and costs are based current costs for these types of activities:Consultancy fee of 15000 Euro is budgeted based on similar acitivit done. (Ibis will inlcude consultancy tee.

workshop materials, transportation and perdiem etc.)

Activity 3.2.2. Rol cut community-managedsaving and loans schemes: this include forming and training small holder fisher groups on financial literacy, savings, credit and money management

30 VSLA groups and the GEM analysis across the coastal and inland fisting districts, the groupswill form the basis for produce· hubs through which an effective producers' organization will be achieved. The groups will be supported with business development training including value chain and market linkages. Group capacity to negotiate for better prices will be built and fishers linked to formal and viable markets such as hotels, restaurants, shopping malls

Cost of mobilisation and formation of 30 VSLA group ( 1310*30 Groups). This cost includes training maleriais. training cost, VSLA kits and monitoring cost

Activity 3.2.3. Business (local enterprises) development trairing for enterprise groups, including value accition and market linkages and access

The project will form new and strengthen existing producer groups, integrating these into producer hubs to link them to formal markets, for example through fish processing centres for bulking anc storage. Organized interest groups of fishers will be able to produce a critical volume of marketable produce (fish and fish products) and aggregate it at producer group level thereby making it more attractive for private sector actors to come and bulk purchase it. Group capaciti' to negotiate for better prices will be built and fishers linked to formal and viable markets such as hotels, restaurants, shopping malls, etc. Tie producer associations will be trained in leadership, financial management, negotiation skills, governance, marketing and gender equity. The full participation of women in implementation of all activities is cardinal if the project is going to be sustainable. To this effect, the participation of women in economic leadership and decision makiig shall receive particular attenticn The project wili train smallholder fishers ri business management skills and faci ¡tate their access to business development services by linking them to service providb. Hold validation meeting with communities, government and other stakeholders on the genderedc. Mobilize and support women fish processors to form groups based on interest and finance theird. Support alternative livelihood activities during the low season and for fishers affected by capacitye. 5 Community Based Trainees (CBTs) wli be trained and supported to scale up VSLAs in the taręf. Form and train a minimum of 30 VSLA groups (12 in each district) using the VSLA training manug. Supervision of associations over a period of 9-12 months in four phasesh. Organize training workshop for groups h business development and management (e.g. howfo si. Train the groups in formulation and implementation of business pians, which will enable them to oj. Facilitate linkage of interest groups to key local markets (shops, hotels, restaurants) based or thk. Facilitate access to business services through the Business Advisory Centres of the National Bol. Train women groups on record keeping re ensure they maintain accurate records and use them vm. Exchange visits among the different producer associations will be encouraged to facilitate peer-

Rates and costs are based current costs for these types of activities:■ Rental of venue for events: Euro 250 x 2■ transport and fuel; 600• and one day lodging of 400 for part.• Catering for service: Euro 876 .• printing of materials:58 (29x2)

16718

CTR 379-240

2. Justification of the Budget for the Action Ail Years

Costs Clarification of The budget Items l-'l·!'.':'· V'\L' ..V.-'ľProvide a narrative clarification of each budget item demonstrating the necessity of the costs and how they relate: to the action (e.g. through references to the activities and/or-results In the Dnsminthiiňf.tfi# AnHhnMi'üi-B i -r; ' ;.γ ; ,γ ohy; υππηηυ к-:!и:;;:у н..'; и y1 γ.:

Justification of tte.estimateđ costeProvide a justification of the calculation of the estimated costs. Note that the estimation should be based on real costs or or simplified cost options if allowed, as described in section 2.1.5 of the Guidelines for GrantsÄnnličáhts

Activity 3.3 Train community groups in use ofscorecard method and facilitate annual community scorecard exercises and subsequent interface meetings with duty- bearers and service providers

a. Identify and train community facilitators from local fishery groups, community-basedorganisations, and women leaders across 30 coastal and inland fishing districts in the use of the community scorecard methodb. Facilitate and solicit community feedback on fheir access to basic services in 30 fishing communitiesc. Annual community scorecard exercises will be conducted and interface meetings organised with district authorities and service providers relevant to fishing communities

Rates and costs are based current costs for these types of activities:• training materials 904 x 2 euro• consultancy: Euro 5 x 300• Rental of venue (VTE) for events: Euro 200 x 2 events• Catering for events: Euro 26.30 x 904(3Q*30dist.) participants.• interface meeting with district authority {including t&t) 600

Activity 3.4 Train women's community groupon nutrition and food and security measures, including improved nutrition hygiene

a. Develop IE&C and training manuals on nutrition for educationb. Leverage Ghana Health Service (GHS) Community Health Volunteers (CHVs) by linking them with the NAPFTA and VSLA groups and facilitating visits from the volunteers to the groups so they can deliver messages and share information materialsc. Support the printing of additional easily understandable materials including picture books and posters for sharing with the groupsd. Facilitate women and their spouses’ attendance of monthly growth monitoring sessions offered by the CHVs at GHS focal points

Rates and costs are based current costs for these types of activities:• conultancy of 250• catering services of 900 erro■ Renta! of venue for events: Euro 100 x 1 events• Catering for events: Euro 30 x 50 participants.• T & T 30*30 (900) and printing of materials 68

Activity 3.5 support for mapping,demacation and documentation of fish landing site.

a. Identify the key landing sites in the 4 coastal regionas of Ghana that is entry treat for residencial and or industrial encroachment or take over.b. Facilitate and solicit community leaders and original land owners consent and support for theprocess c. Collate any existing ownership andland use documentations from the lands Department, District Assembly, Traditional Council, etc d. Facilitate mapping, zoning and processing of the relevant documentations and regisitration to secure the landing sites for fisher folks.

cost includes survey and mapping cost, engagement (with various stakeholders, as chiefs. DA, ministry and traditiona! authority) cost, processing and filing fees. A lump sum of 3500 euro ivas budgeted per zonai community

Subtotal Other LríÝ'ÝHH'YЯ HfΥy/y? --v'--y : ;12. - Taxes

- Contributions in Kind

17/18

CTR 379-240

3. Expected sources of funding & summary of estimated costs1

Amount

EUR

Percentage

%

Expected sources of funding

EU/EDF contribution sought in this application (A)

Other contributions (Applicant, other Donors etc) Name Conditions 6

Revenue from the Action

In-kind contributions 5

Expected TOTAL CONTRIBUTIONS

Estimated Costs

1,650,000. ....... ■■■. ■

CARE Danmark None 275,000Oxfam GB None 137,500

. ;V: ;.:·....

"'V - :Vx

o

.. ■ . ■ ■■—iV'·'"” 'ΐ· ' '

Estimated TOTAL ELIGIBLE COSTS 4 (B)EU/EDF contribution expressed as a percentage of total eligible costs 4 (A/B x 100)

To be inserted if applicable and allowed by the guidelines: Taxes/In-kind contributions 5

Estimated TOTAL ACCEPTED COSTS J (C)EU/EDF contribution expressed as a percentage of total accepted costs4 (A/C x 100)

I 2,062,500 I

ЩШЖ2,062,500 ЩШ1Ш:—

.....

2014Final - FBBbudget.231116.xls 17/17

Annex IV:Procurement rules for Beneficiary(ies)

ANNEX IVProcurement by grant Beneficiaries in the context of

European Union external actions

1. PRINCIPLES

If the implementation of an Action requires procurement by the Beneficiary(ies), the contract must be awarded to the tender offering best value for money (i.e. the tender offering the best price-quality ratio) or, as appropriate, to the tender offering the lowest price. In doing so, the Beneficiary(ies) shall avoid any conflict of interests and respect the following basic principles:

Where the Beneficiary does not launch an open tender procedure it shall justify the choice of tenderers that are invited to submit an offer.

The Beneficiary shall evaluate the offers received against objective criteria which enable measuring the quality of the offers and which take into account the price (the offer with the lowest price shall be awarded the highest score for the price criterion).

The Beneficiary shall keep sufficient and appropriate documentation with regard to the procedures applied and which justify the decision on the pre-selection of tenderers (where an open tender procedure is not used) and the award decision.

The Beneficiary may decide to apply the procurement procedures set forth in the Practical Guide. If these procedures are correctly followed the principles above will be deemed complied with.

The European Commission will carry out ex post checks on Beneficiary(ies)'s compliance with the principles above and the rules of section 2 below . Failure to comply with these principles or rules would render the related expenditure ineligible for EU/EDF funding.

The provisions of this Annex apply mutatis mutandis to contracts to be concluded by the Beneficiary(ies)’s affiliated entity(ies).

2. Eligibility for contracts

2.1. The nationality rule

Participation in tender procedures managed by the Beneficiary(ies) is open on equal terms to all natural and legal persons effectively established in a Member State or a country, territory or region mentioned as eligible by the relevant regulation/basic act governing the eligibility rules for the grant as per Annex a2 to the Practical Guide. Tenderers must state their nationality in their tenders and provide the usual proof of nationality under their national legislation.

This rule does not apply to the experts proposed under service tenders financed by the grant.

15 July 2015e3h3 awardproc en.doc

Page I of 2

2.2. The rule of origin

If the basic act or the other applicable instruments so require, the tenderer must prove the origin' of the supplies acquired under the grant. Where rules of origin need to be respected1 2 and the unit cost on purchase is above € 5 000, contractors must present proof of origin to the Beneficiary(ies) at the latest when the first invoice is presented. The certificate of origin must be made out by the competent authorities of the country of origin of the supplies and must comply with the rules laid down by the relevant Union legislation. Where supplies may originate from any country, no certificate of origin needs to be submitted.

2.3. Exceptions to the rules on nationality and origin

Where an agreement on widening the market for procurement of goods, works or services applies, access must also be open to nationals and goods originating from other countries under the conditions laid down in that agreement.

In addition, in duly substantiated exceptional cases foreseen by the applicable regulations, in order to give access to nationals or goods originating from countries other than those referred to in sections 2.1 and 2.2, a derogation by the European Commission must be sought prior to the launch of the procedures.

sķ 5¡S %

1 For the purpose of this annex, the term "origin" is defined in chapter 2 of Regulation (EC) No 450/2008 of the European Parliament and of the Council of 23 April 2008 laying down the EU Customs Code (Modernised Customs Code).

2 Under the C1R (i.e. not IPA I) and the EOF supplies may originate from any country if the amount of the supplies to be procured is below 100.000 € per purchase.

Page 2 of215 July 2015e3h3_awardproc_en.doc

Annex V:Standard request for payment and financial identification form

ANNEX V

Payment request for Grant Contract

European Union external actions

<Date of the payment request >

For the attention of

<address of the Contracting Authority>

<Financial unit/section indicated in the Contract

Reference number of the Grant Contract:

Title of the Grant Contract:

Name and address of the Coordinator:

Payment request number:

Period covered by lhe payment request:

Dear Sir/Madam,

I hereby request [a further pre-financing payment] [payment of the balance] under the Contract mentioned above

The amount requested is <according to the option indicated in Article 4(1) of the Special Conditions of the Contract/the following: ...>.

Please find attached the following supporting documents:

- expenditure verification report or detailed breakdown of expenditure ( if required by Article 15.7 of the General Conditions of the Contract)

- financial guarantee (if required by Article 4 of the Special Conditions of the Contract)

- narrative and financial interim report (for further pre-financing payments)

1 Please do not forget to send a copy of this letter to the entities mentioned in Article 5(1) of the Special Conditions of the Contract, if any.

15 July 2015Annex V - Standard request for payment (EN).doc

Page 1 of 2

- a forecast budget for the subsequent reporting period (for further pre-financing payments)

- narrative and financial final report (for payment of the balance).

The payment should be made to the following bank account: <give the account number shown on the financial identification form annexed to the Contracté

Declaration on honour

I hereby certify that the information contained in this payment request is full, reliable and true, and is substantiated by adequate supporting documents that can be checked.

I hereby certify that the costs declared have been incurred in accordance with this Contract and that they can be considered as eligible in accordance with the Contract.

Yours faithfully,

< Signature >

2 In case a different bank account has to be used a new financial identification form has to be timely submitted.

15 July 2015Annex V - Standard request for payment (EN).doc

Page 2 of 2

_______________________ LEGAL ENTITY________ _______PRIVACY STATEMENT http Hec europa eu/budoet/contracts oranis/info contracts/iegal antities/leoal entires en cfm#en

PRIVATE COMPANY

DATE AND SIGNATURE OF AUTHORISED REPRESENTATIVE

FINANCIAL IDENTIFICATIONPRIVACYSTATEMENT http://ec.euraoa.eu/biiclget/conlracis grąnts/info contrscts/íinanciei id/fïnancial id en.dmMen

Please use CAPITAL LETTERS and LATIN CHARACTERS when filling Ín the form.

(D This does not refer to the type of account. The account hame is usušily the one of the account holder. However, the account holder may have chosen to give a different name to its bank account. ! ^

(D Hli in the IBAN Code (International Bank Account Number) If It exists In the country where your bank is established (5) Only applicable for US (ABA code), for AU/NZ (BSB code) and for CA (Transit code). Does not apply for other countries.(D It Is preferable to attach a copy of RECENT bank statement. Please note that the bank statement has to confirm all the

information listed above under 'ACCOUNT NAME', 'ACCOUNT NÜMBER/I8AN' and 'BANK NAME*. With an attached statement, the stamp of the bank and the signature of the bank's representative are not required. The signature of the account-holder and the date are ALWAYS mandatory.

Annex VI:Model narrative and financial report

<Contract n»mber> Start date and end date of the reporting period>

ANNEX VIINTERIM NARRATIVE REPORT

• This report must be completed and signed by the contact person of the Coordinator.

• The information provided below must correspond to the financial information that appears in the financial report.

• Please complete the report using a typewriter or computer (you can find this form at the followins address <Specifv>).

• Please expand the paragraphs as necessary.

• Please refer to the Spedai Conditions of your arani contract and send one copy of the report toeach address mentioned.

• The Contracting Authority will reject any incomplete or badly completed reports.

• The answer to all questions must cover the reporting period as specified in point 1.6.

Table of contents

List of acronyms used in the report

1. Description

1.1. Name of Coordinator of the grant contract:

1.2. Name and title of the contact person:

1.3. Name of beneficiarv(ies) and affiliated entitv(ies) in the Action:

1 -4. Title of the Action:

1.5. Contract number:

1.6. Start date and end date of the reporting period:

1.7. Target countrvfies) or region(s):

1.8. Final beneficiaries &/or target groups1 (if different) (including numbers of women and men):

1.9. Country(ies) in which the activities take place (if different from 1.7):

“Target groups” are the groups/entities who will be directly positively affected by the project at the Project Purpose level, and “final beneficiaries” are those who will benefit from the project in the long term at the level of the society or sector at large.

15 July 2015Annex VI (1) - Model narrative and financial report (EN).doc

Page 1 of2

<Contract number> <Start date and end date of the reporting period>

2. Assessment of implementation of Action activities

2.1. Executive summary of the Action

Please give a global overview of the Action’s implementation for the reporting period (no more than Ά page).

Referring to the updated logical framework matrix2 (see point 2.3. below), please describe and comment the level of achievement of the outcome(s), if it is relevant at this stage and the likeliness of reaching the final target(s) related to the outcome(s) at the end of the Action.

Please explain if the intervention logic is still valid and justify any possible change.

Please indicate any modification that should be brought to the logframe matrix and explain briefly why (complete explanation should be placed in the following section under the relevant level considered (outcomes, outputs, activities)).

2.2. Results and Activities

A. RESULTS

What is your assessment of the results of the Action so far? Include observations on the performance and the achievement of outputs, outcomes and impacts and whether the Action has had any unforeseen positive or negative results.

Referring to the updated logframe matrix (see point 2.3. below) please comment the level of achievement of all the results on the basis of the corresponding current value of the indicators and all the related activities implemented during the reporting period..

Outcome 1 (Ocl) - "<Title of Outcome 1> "

<comment on current status of indicators associated to Ocl and explain any changes, especially any underperformance; refer to assumptions in the Logframe>

Outcome 2 (Oc2) - "<TitIe of Oc 2>"

Output 1.1. (Op 1.1.)

(...)

<Following the above assessment of results, please elaborate on all the topics/activities covered and implemented. >

B. ACTIVITIES

Activity 1.1.1.

<please explain any problems (e.g. delay, cancellation, postponement of activities) which have arisen and how they have been addressed> (if applicable)

2 The relevant terninology (i.e. outputs, outcome, indicators etc.) is defined in the logical framework matrix template attached to the guidelines for applicants (annex e3d).

15 July 2015Annex VI (!) - Model narrative and financial report (EN).doc

Page 2 of 2

<Contract number>

<please list any risks that might have jeopardised the realisation of some aelivities and explain how they have been tackled> (if applicable)

Activity 1.1.2.

<...>

2.3. Logframe matrix updated

Submit an updated version of the Logframe matrix, highlighting the changes eventually introduced.

Intervention logic Indicators Baseline

fàlSiiCurrent

valueľ. Targets

(ind. referenceSources and

means of verification

Assumption

referenceyear

referencedate

Yl Υ2 Υ3

; Ove

rall

obje

ctiv

e:

Impa

ct

gļf:Oc 1

Oc 2

Op 1.1.Op 1.2

Op 2. íOp 2.2

Ķ£A 1.1.1.A 1.1.2A 2.1.1.

<Please list all contracts (works, supplies, services) above €60000 awarded for the implementation of the action during the reporting period, giving for each contract the amount, the name of the contractor and a brief description on how the contractor was selected.>

2.4. Please provide an updated action plan for the future activities of the project3

YepHalf-vear 1 Half-year 2

Aėtiyity Month 1 2 3: 4 5 6 7 8 9 10 ;n Щ Implementing body

J This plan will cover the financial period between the interim report and the next report.

Page 3 of315 July 2015Annex VI (1) - Model narrative and financial report (EN).doc

<Contract number> <Starl date and end date of the reporting period>

Example example ExamplePreparation Activity ! (title)

Beneficiary oraffiliated entity 1

Execution Activity 1 (title)

Beneficiary of affiliali entity 1

Preparation Activity 2 (title)

Beneficiary or affiliali entity 2

Etc.

3. Benefieiaries/affiliated entities and other Cooperation

3.1. How do you assess the relationship between the beneficiaries/affiliated entities of this grant contract (i.e. those having signed the mandate for the Coordinator or the affiliated entity statement)? Please provide specific information for each beneficiary/affiliated entity.

3.2. How would you assess the relationship between your organisation and State authorities in the Action countries? How has this relationship affected the Action?

3.3. Where applicable, describe your relationship with any other organisations involved in implementing the Action:

• Associate(s) (if any)• Contractor(s) (if any)• Final Beneficiaries and Target groups• Other third parties involved (including other donors, other government agencies or local

government units, NGOs, etc.)

3.4. Where applicable, outline any links and synergies you have developed with other actions.

3.5. If your organisation has received previous EU grants in view of strengthening the same target group, in how far has this Action been able to build upon/complement the previous one(s)? (List all previous relevant EU grants).

4. Visibility________________________________________________________________________

How is the visibility of the EU contribution being ensured in the Action?

The European Commission may wish to publicise the results of Actions. Do you have any objection to this report being published on the EuropeAid website? If so, please state your objections here.

Name of the contact person for the Action:

Signature:..................................................................

Location:............................ .....................................

15 July 2015 Page 4 of 4Annex VI (1) - Model narrative and financial report (EN).doc . .

<Contract number>

Date report due:

Date report sent:

fa

№

15 July 2015 Page 5 of 5Annex VI (1) - Model narrative and financial report (EN).doc _

«ľontract number <Start date and end date of the reporting period>

ANNEX VIFINAL NARRATIVE REPORT

• This report must be completed and signed by the contact person of the Coordinator.

• The information provided below must correspond to the financial information that appears in the financial report.

• Please complete the report using a typewriter or computer (you can find this form at the following address <Soecif\»ï.

• Please expand the paragraphs as necessary.

• Please refer to the Special Conditions of your grant contract and send one copy of the report toeach address mentioned.

• The Contracting Authority will reject any incomplete or badly completed reports.

• Unless otherwise specified, the answer to all questions must cover the reporting period as specified in point 1.6.

• Please do not forget to attach to this report the proof of the transfers of ownership referred to in Article 7.5 of the General Conditions.

Table of contents

List of acronyms used in the report

1. Description

1.1.

1.2.

1.3.

1.4.

1.5.

1.6.

1.7.

1.8.

1.9.

Name of Coordinator of the grant contract:

Name and title of the contact Person:

Name of beneficiarvfiesl and affiliated entitvfies) in the Action:

Title of the Action:

Contract number:

Start date and end date of the Action:

Target country(ies) or region(s):

Final beneficiaries &/or target groups1 (if different) (including numbers of women and men):

Country(ies) in which the activities take place (if different from 1.7):

“‘Target groups’” are the groups/entities who will be directly positively affected by the project at the Project Purpose level, and “‘final beneficiaries’” are those who will benefit from the project in the long term at the level of the society or sector at large.

15 July 2015Annex VI (2)- Model narrative and financial report (EN).doc

Page I of 2

A'

<Contract number> <Slart date and end date of the reporting period>

2. Assessment of implementation of Action activities

2.1. Executive summary of the Action

Please give a global overview of the Action’s implementation for the whole duration of the project

Referring to the updated final logical framework matrix2 (see point 2.3. below), describe the level of achievement of the outcome(s) on both the final beneficiaries &/or target group (if different) and the situation in the target country or target region which the Action addressed.

Please explain if the intervention logic has proved to be valid, including with the possible changes and their justifications presented in earlier reports, comment the likeliness of reaching the final target(s) related to the impact in a near future (specify);.

Please indicate any modification that have be brought to the Logframe matrix since the start of the Action and explain briefly why (complete explanation should be placed in the following section under the relevant level considered (outcomes, outputs, activities).

2.2. Results and Activities

A. RESULTS

What is your assessment of the results of the Action so far? include observations on the performance and the achievement of outputs, outcomes and impact and whether the Action has had any unforeseen positive or negative results.

Referring to the final updated logframe matrix (see point 2.3. below) please comment the level of achievement of all the results on the basis of the corresponding current value of the indicators and all the related activities implemented during the reporting period.

Outcome 1 (Ocl) - "Title of Outcome 1 "

Comment on final status of indicators associated to Ocl and explain any changes, especially any underperformance; refer to the indicators and assumptions in the Logframe:

Outcome 2 (Oc2) - "Title of Outcome 2"

Output 1.1. (Op 1.1.) - "Title of Output 1.1. "

(...)

Following the above assessment of results, please elaborate on all the topics/activities covered.

B. ACTIVITIES

Activity 1.1.1.

Please explain any problems (e.g. delay, cancellation, postponement of activities) which have arisen and how they have been addressed (if applicable) 1

1 The relevant terminology (i.e. outputs, outcome, indicators etc.) is defined in the logical framework matrix template attached to the guidelines for applicants (annex e3d).15 July 2015 Page 2 of 2Annex VI (2)- Model narrative and financial report (EN).doc .

«Contract number> <Start date and end date of the reporting period>

Please list any risks that might have jeopardised the realisation of some activities and explain how they have been tackled.

Activity 1.1.2.

(...)

2.3. Describe if the Action will continue after the support from the European Union has ended. Are there any follow up activities envisaged? What will ensure the sustainability of the Action?

2.4. Submit an updated Logframe matrix, highlighting the changes. When the planning has included milestones (intermediary target values), the updated logframe matrix should allow to compare the achievements at the date of the reporting with the corresponding values in earlier reports (when relevant) and with the corresponding milestones and final target.

Intervention logic

• ' ■ v'·.’.'"'·:".':· ' '.·■ ■ ■■' ■ ■

Indicators

■V’·-·

-r-'''-'f/

Baseline :

■ ■'■.réference;··:№

й:,

' . '■ · ·-■·.■

Current■■.'¡/yaluçï;/;

Reference■'/■'■'■date:·-·.

Targets

referencer:'.//;;ýcaŕ)?/·

Sources and means of

verification

Assumptions

■ ■ .■■..■■ ■■ ..■ .

Z; - : i ;/

%ΐϊ·.‘•■r:;::

v1:

Ove

rall

obje

ctiv

e:Im

pact

O' Ό ' CO и

да

Oc 1

Oc 2

•/S/·" .

Op 1.1.Op 1.2

Op 2.1Op 2.2

J ;

A 1.1.1.A 1.1.2A 2.1,1,

2.5. Explain how the Action has mainstreamed cross-cutting issues such as promotion of human rights,3 gender equality,4 democracy, good governance, children’s rights and indigenous peoples, environmental sustainability5 and combating HIV/AIDS (if there is a strong prevalence in the target country/region).6

3 Including those of people with disabilities. For more information, see ‘Guidance note on disability and development’ at https://ec.europa.eu/europeaid/disabilitv-inclusive-development-cooperation-guidance-note- eu-staff_en

4 https://ec.europa.eu/europeaid/toolkit-mainstreaming-gender-equalitv-ec-development-cooperation en3 Guidelines for environmental integration are available at: https://ec.europa.eu/europeaid/sectors/economic-

growth/environment-and-green-economy/climate-change-and-environmenten6 Please refer to EC Guidelines on gender equality, disabilities, etc.15 July 2015 Page 3 of 3Annex VI (2)-Model narrative and financial report (EN).doc "

pl·/

i/Jl

<Contract number> <Start date and end date of the reporting period>

2.6. How and by whom have the activities been monitored/evaluated? Please summarise the results of the feedback received from the beneficiaries and others.

2.7. What has your organisation or any actor involved in the Action learned from the Action and how has this learning been utilised and disseminated?

2.8. Please list all materials (and number of copies) produced during the Action on whatever format (please enclose a copy of each item, except if you have already done so in the past).

Please state how the items produced are being distributed and to whom.

2.9. Please list all contracts (works, supplies, services) above € 60000 awarded for the implementation of the Action since the last interim report if any or during the reporting period, giving for each contract the amount, the name of the contractor and a brief description on how the contractor was selected.

3. Beneficiaries/affiliated entities and other Cooperation

3.1. How do you assess the relationship between the beneficiaries/affiliated entities of this grant contract (i.e. those having signed the mandate for the Coordinator or an affiliated entity statement)? Please provide specific information for each beneficiary/affiliated entity.

3.2. Is the above agreement between the signatories to the grant contract to continue? If so, how? If not, why?

3.3. How would you assess the relationship between your organisation and State authorities in the Action countries? How has this relationship affected the Action?

3.4. Where applicable, describe your relationship with any other organisations involved in implementing the Action:

• Associate(s) (if any)

• Contractor(s) (if any)

• Final beneficiaries and target groups

• Other third parties involved (including other donors, other government agencies or local government units, NGOs, etc.)

3.5. Where applicable, outline any links and synergies you have developed with other actions.

3.6. If your organisation has received previous EU grants in view of strengthening the same target group, in how far has this Action been able to build upon/complement the previous one(s)? (List ail previous relevant EU grants).

3.7. How do you evaluate cooperation with the services of the Contracting Authority? 4 5

4. Visibility____________________________________________________________________

How is the visibility of the EU contribution being ensured in the Action?

The European Commission may wish to publicise the results of Actions. Do you have anyobjection to this report being published on the EuropeAid website? If so, please state yourobjections here.

5. Location of records, accounting and supporting documents15 July 2015 Page 4 of 4Annex VI (2)- Model narrative and financial report (EN).doc .

<Contract number> <Start date and end date of the reporting period>

Please indicate in a table the location of records, accounting and supporting documents for each Beneficiary and affiliated entity entitled to incur costs.

Name of the contact person for the Action:............................................................................

Signature:................................................... Location:..............................................................

Date report due:.........................................Date report sent:....................................................

Page 5 of 515 July 2015Annex VI (2)- Model narrative and financial report (EN).doc

Nota BeneThe beneflciary(ies) alone is responsible for ensuring that the financial information provided in these tables is correct.

Forecast budget and follow-upIn accordance with Article 15.3 of the General Conditions a forecast budget for the subsequent reporting period or for the remaining period (if shorter) must be provided with any request for payment of further pre-financing instalment.

Interim Report & Final ReportAdditional information on expenditure incurred in local or other currencies than the euro (or the currency of the Contract) may be asked by the Contracting Authority

Addenda and use of contingenciesTo be filled in case of an addendum and/or when contingencies are used.

ROUNDINGSFigures have to be rounded to the nearest euro cent

15 July 2015e3li7_finanualrcport eu.xls - INFORMATION

Contract NoImplementation period of the contract (dd/mm/yyyy-dd/mm/yyyy)

Forecast Budget & follow-up Previous period (dd/mm/yyyy-dd/mm/yyyy)Forecast Real Previous

Period

Foliowina period (de /mm/yyyy-dd/mm/yyyy)

ecastFo

Expenditures įįffįĘįįįį # Units (in EUR)Total Cost (in EUR)

Total Cost (in EUR) Unit !¡Í!Ufí ítél!

Unit value (in EUR)

Total Cost (in EUR)

1. Human Resources1.1 Salaries (gross amounts, local staff)

1.1.1 Technical Per month Per month1.1.2 Administrative/ support staff Per month Per month

1.2 Salaries {gross amounts, expat/int. staff) Per month Per month1.3 Per diems for missions/travel

1.3.1 Abroad (staff assigned to the Action) Per diem Per diem1.3.2 Local (staff assigned to the Action) Per diem Per diem1.3.3 Seminar/conference participants Per diem î ! ? ! î h ! î h ! : ! ! t Hi ! ! : ÍK í í î ; Í! î ! ; H M H Per diem

Subtotal Human Resources ■ ■■■ . .

2. Travel2.1. International travel Per flight Per flight2.2 Local transportation Per month Per monthSubtotal Travel . . . . . . . . . . . . . . . . . . ’’Yy =’<; ί!£":ν:.ί·;£!ΐ:'’ϊ: У3. Equipment and supplies3.1 Purchase or rent of vehicles Per vehicle Per vehicle3.2 Furniture, computer equipment3.3 Machines, tools...3.4 Spare parts/equipment for machines, tools iilíPliSliiiiiiiiiiiííí3.5 Other (please specify)Subtotal Equipment and supplies4. Local office4.1 Vehicle costs4.2 Office rent

Per monthPer month

Per monthPer month

4.3 Consumables - office supplies4.4 Other services (tel/fax, electricity/heating, maintenance)

Per month

Per month

Per month

Per monthSubtotal Local office ' : : : ; ; Л ; :i ;i' ;j : ' ! : : ; : i ' Г ; ΐ ;’ ; ; ' ' *г: ' ; ; * ; ļ * Î ;—: : : ? : : í Í ;:5. Other costs, services5.1 Publications5.2 Studies, research5.3 Expenditure verification/Audit5.4 Evaluation costs

15 July 2015e3li7_flnancialreport_en.xls - Forecast budget & lbllow-up 2

5.5 Translation, interpreters ŕ. Í ; ; í í ; : : ; ; · : ,x ί : : : : ; ; : ; Í ; : :i: : í:5.6 Financial services (bank guarantee costs etc.)5.7 Costs of conferences/seminars5.8 Visibility actionsSubtötalOthérCQStS;services6. Other :Ηϋ;”ΐ'ί:ί:ί!ί'*^:!;;ί”Π;ί^Η'";Π:!ΠΗ;'ίίΗΐ

Subtotal Other : :;r ■. - ч ·'■ -7. Subtotal direct eligible costs ot the Action (1- |li|l|i!l|lll!lilļf . ■ ■■ ■

8. Indirect costs (maximum 7% of 7, subtotal of direct eligible costs of the Action)9. Total eligible costs of the Action, excluding ilft!¡E||i¡¡lÍl¡!¡ .... :'v:.vv' : : т11. Total eligible costs (9+1Ö) Т!:пй;·! T: ;ΐ“··'= ■·..! : .= :·=·: ;· V;, ľ. ■:;· .· -12.-Taxes

- Contributions in kind13. lotai accepted costs otthe action (11+12) ..i.·:.,.·.·:·.· ■ ■ ■ ■ .\·

15 July 2015e3h7 llnancialreport en.xls - Forecast budget & follow-up 3

Addenda or use of contingenciesContract No

Implementation period of the contract (dd/mm/yyyy-dd/mm/yyyy)

Budget as per contract/last addendum signed

Use ofcontingencies/

addenda

Budget as per new addendum signed(Only to be completed when an amendments necessary)

Expenditures Unit It Units

(a)

Unit value (in EUR)

Total Cost (in EUR) 1t Units

(а)

Unit value (in EUR)

Total Cost (In EUR)

(b) (a)*(b) РРРР(Ь);,Р':Р. (a)*(b)1. Human Resources :i ! : ' ä ! : i : 1 í : : ÍÍ i щуууууруущууууууУ:1.1 Salaries (gross salaries Including social security charges and other related costs, local staff)

1.1.1 Technical Per month 'ШРРШШнРРРШР Per month IpPpjpPpPPPpPpP-1.1.2 Administraţi ve/suoDort staff Per month í ; ;í í ’ ; Ш ; : í î ; ; íH ! У : ; ! ; Per month

1.2 Salaries (gross amounts ind social sec charges and other related costs, expat/int. staff) Per month iliilliïi; Per month ;

1.3 Per diems for missions/travel i PPPPPPPPPwi;?;; : ! M į : k*) k:h -P : į: Ф. Ш-î H P ¡ ■. K !'M1.3.1 Abroad (staff asslaned to the Action) Per diem PPPPPPPPPPPPPi Per diem ' ;ЛЧ ."Чг:;!!;1.3.2 Local (staff asslaned to the Action) Per diem Per diem1.3.3 Seminar/conference participants Per diem Per diem PiPpPipPPPPPPPPP;

Subtotal Human Resources ΡΐΡ'ίΡΡΡΡ'ΡΜΡΡίΡΡΡ PPPPPPPPPPPPPPPPPPPPP Фрйййрй· ;PP2. Travel ШРРРРФ РРШРРР; фррррррррррргрррррр.фр2.1. International travel Per flieht Per fliaht2.2 Local transportation Per month Per month ì : ' ; : ? ľ! ' (·/<·:5ϋΜ0ίθ(;7>3ν«/..ΜΡΡΦΡ;::Ρ^ΡΦΡΡ:Φ;ΡΡΡ;;ΡΡΡΡΡΡΡ-Ρ';:ΡΡΡΡΡΡί РйРРРРФ РРРК|:ШРРРРРР РйРРРРРМРР •Ф.;:РРФРШРРРРМ: H - í ; ;—ł i: ί: ì : ! ; ! î : : í í ! ; i P!PPPPPP'; PPPPPPP.P· !'PhPí:v:;'> i3. Equipment and supplies PiPPPPPPìP.PPiPPPP3.1 Purchase or rent of vehicles Per vehicle ; ; ;::::;ii;: íi;:i * ;: í;;;í¿:: srpPPPPPPrPpPPPPPPPiP Per vehicle ΡΡΡΡΡΡΦΡ'.ΡΡΡΡΡΦ.3.2 Furniture, computer eauioment РРННРгсРРРРРч-Р' ; K : ii <2 Л · Ś ; ; ; : ; C ; ; ; ;ί ; ; Ü : ;!3.3 Machines, tools, etc.3.4 Soare oarts/eauioment for machines, tools ;ì :3 ; ; :.Н ’3.5 Other (please specify)SubtċtalEquipmentahd.SUppli&s h].’. ;s,y ïïjjUijjji .jîïiïjïiïiiiî». ’.S */ f 3 : o :: i : : í : Í ; H ; : í; : < Í ; ’ í :Г ¡vi рШР11:л;г; ;.PPP»PPP 'ййййРРРРРРРРР :PpP.;P йРРРР4. Local office j;4.1 Vehicle costs Per month Per month4.2 Office rent Per month PPPPbPPPPPíPp.P Per month4.3 Consumables - office supplies Per month ΓίΦΦ фФ-ФжПЙ ¡ ! Í ; w ¡i ; ; ;; ,; ; r ; Ί ; r, ; ; î; : ¡ ; s \ ; г Per month4.4 Other services (tel/fax, electricitv/heatinq, maintenance) Per month Per monthSubtotal Local office ^PPPPpipíIPPPPPPPP'MiÍi! ΡίΡΡΙΡΡΡΡΡΦΡΡΡ-ΡΡΡ5. Other costs, services pPPippPpPPPPPP РШФРФ РРРРРР;РР:5.1 Publications РРйй;йР:г.г.Р:Рййг;5.2 Studies, research :pPpPP;PpPppppp>p;5.3 Expenditure verification/Audit РРРРР.РРРРРРРР РРРРйРРРРРРРРРРРРГРрР: рф.РрйРй^. PP:;:·5.4 Evaluation costs РРРРРРРРРШРИ!: й;Ф:РРРР:РРРР/фР:5.5 Translation, interpreters РР.РРРРФРРРрРР ;.;.гРгР:":· PPPiPPP5.6 Finandal services (bank guarantee costs etc.) ÿppppppb;;;.;;!·;:;5.7 Costs of conferences/seminars ррлгРРРчРРРРР5.8 Visibility actionsSubtotal Other costs, services PPpPpppbpi ( : li-iiHi:': 'ΡΦΡΡΡΡΡΡΡΡΡΡ РРРФгРйРйР6. Other

Subtotal Other Φ'ΦΡΦΦ'ΡΡΡΡΡΡΡί ПРРРРРРРФРРьР РФРРй:Р'й;-ййРРРРРРРРРР :РРРРРЛ;Ф'Ч:РРРРР РРРР.РйРйРйРР:

7. Subtotal direct eligible costs of the Action (1-6) :;|Рр:;у;;;РР>ф:. рР·

8. Indirect costs (maximum 7% of 7, subtotal of direct eligible costs of the Action)9. Total eligible costs of the Action, excluding reserve (7+ 8) ■ Р!рРРРРРЩРРРР PPpPppïPppPPPppPPP'pPÎp 4P;P φρρρρρϊΡΡρ-φ; йРйРРРррЧЧРфр.р:;; ϊβν

10. Provision for contingency reserve (maximum 5% of 7, subtotal of direct eligible costs of the Action)

г;ШР£Р;;:ф::Р . . ■ ■ : : ■ ■■ 1 '

12.-Taxes- Contributions in kind

^3. Total accepted costs of the Action (11+12) ■■■ ■■ ■. . ... . .. ¡¡ИРрррФРРрРР

c3h7_fiiMncia!rcpi>rt_cn.x(5 · addenda or use of contingencies 4

Interim financiai report: period (dd/mm/yyyy-dd/mm/yyyy)

Contract NoImplementation period of the contract (dd/mm/vvvv-dd/mm/vvvv)

Budget as per contract/addendum Reallocation

Expenditures unit # Units (in EUR) 3 sr c n 73 O allowed reallocation

(article 9.4 of the GC)

# UnitsUnit value (in EUR)

Total Cost (in EUR)

Cumulated costs (before current report) (in EUR)

Cumulated costs (from start of implementation to; present report included) (in¥¥¥¥:¥.; rir*:·!

(a) (b) <T p ái (а) (b) (c)=a*b id) üiiPiPsH'iii ífl=c+d ; ' iiHiiii·'1. Human Resources1.1 Salaries (gross amounts, local staff)

1.1.1 Technical Per month1.1.2 Administrative/ support staff Per month

1.2 Salaries (gross amounts, expat/int. staff) Per month1.3 Per diems for missions/travel

1.3.1 Abroad (staff assigned to the Action) Per diem1.3.2 Local (staff assigned to the Action) Per diem1.3.3 Seminar/conference participants Per diem ¥¡:¥¥¥¥í;¥í¥í¥í;:'¥

SübtotàlMumâtëBèSàïirces ШНШШччч.чч,!:2. Travel2.1. International travel Per flight2.2 Local transportation Per monthSubtotallTràvel ■ ■■■■..3. Equipment and supplies3.1 Purchase or rent of vehicles Per vehicle3.2 Furniture, computer equipment3.3 Machines, tools, etc.3.4 Spare parts/equipment for machines, tools3.5 Other (please specify)Subtotal Equipment and supplies >ƒ: s'|- i Pf чРРРРдДР4. Local office .4.1 Vehicle costs Per month4.2 Office rent Per month4.3 Consumables - office supplies Per month4.4 Other services (tel/fax, electricity/heating, maintenance) Per month

PPPPPPPP¥¥¥¥¥PirPi: ¥ί;ϊ¥:1ΐ::;:Λ;:>. -· .·5. Other costs, services5.1 Publications5.2 Studies, research5.3 Expenditure verification/Audit5.4 Evaluation costs ;ШШР¥:ЖЧч¥Р:Ш¥;М5.5 Translation, interpreters5.6 Financial services {bank guarantee costs etc.)5.7 Costs of conferences/seminars5.8 Visibility actionsSubtotal Other costs, services РДП.ДД;.!; ipiiiiviiiipi.ĮMlįij ';Ρΐ:Ι::ϋ^Ί·ίν д: шШЛ v У-f PiPPPi.iiripViMÍPP'.ipili ;H;í::v i: ' ' ' ' .Д ;6. Other

Subtotal Other

7. Subtotal direct eligible costs of the Action (1-6) . . · · . :.;ŕ.

8. Indirect costs (maximum 7% of 7, subtotal of direct eligible costs of the Action) ч: < b¡ НЬ hh ! s h ;·*:*;< ť*· Ш

9. Total eligible costs of the Action, excluding fïÉÉfiil чЧЧдрРрр .·■ ■■■■■·.■■ . ·.

11. Total eligible costs (9+10) . ib¥siiii¥¥iPi;iP : ■ ■ ■■ .

12. - Taxes- Contributions in kind

13. lotai accepted costs of ţne action (11+12) :Í4,¥v¥¥P'::.¥¥:¥y;iip дшДч.;.-: ii':·.;'

15 July 2015 - Ľ.íli7 Imaiidalreporl eu.xis - ínterim repon

Final financial report:period (dd/mm/yyyy-dd/mm/yyyy)

Expenditures

Contract NoImplementation period of the contract (dd/mm/yyyy-dd/mm/yyyy)

Budget as per contract'addendum Reallocation Expenditure incurred Variations in comparison with initial ·budget/addendum

Unit U Units

(а)

imunit,valué;··;, (in EUR)

••Total .Cost- tin EUR) Reallocation

allowed (Article eiIt'ofjtheIG^nerail

Conditions)•4 Units

(a)

UnttIvälüe (in EUR) c o Cumulated

costs (before current roponi

(in EUR)

Id)

Cumulated costs (frorr start of

implementation to present roport

'il-lncjucfeā'ijithļlĻiifl);:.·::YbYbbíYífiscMďbiYíTľiY

ФФФФЙШШФШШШФА:Ф‘}:’/.ЛIn absolute value in EUR \ In% Explanation for all :

γ:·γ'γ' yariąįtionS.YY

(b) fc)=a*b (b) xüUsteattixiü1. Human Resources YYYYh ΥΥΥΥΪΥΪΥ;·1.1 Salaries (cross amounts, local staffi

1.1.1 Technical Per month ;·Υ:';ΥΥ:;ίΥ:·;Υ;;::;·;·::ί1.1.2 Administrative/ suDDort staff Per month

1.2 Salaries (oross amounts, expat/int. staff! Per month •YYYYèYTYYÏYYH1.3 Per diems for missions/travel ;;Υ:ΥΥγ:ΥΥ;';;;ΥΥΥ!

1.3.1 Abroad (staff assioned to the Action! Per diem1.3.2 Local (staff assioned to the Action) Per diem шьтгяйтйшьшь;!1.3.3 Seminar/conference participants Per diem

Subtotal Human Resources ΥιΥίΡΥΥΥΡ Υ,ΙΥΥΥΫΥΥΥΫΥ-Υ; yí'üyYYY ΥΫΠ'ίΥγ·ΥΥΥγ ΥΥΥ·;:ΥΥ:Υ4 YiYYiYY: ·, Y:t.Y :2. Travel2.1. International travei Per fliaht2.2 Local transportation Per monthSubtotal Travel -r.YYYiYYYi YY-YlYYi ίΥΥΥΥΥΥΥΥ. ■ . ·.3. Equipment and supplies í: IH : ! · ! h i« I : í ! ľ jī| ! » BT¡ íjít;4:3,1 Purchase or rent of vehicles Per vehicle3.2 Furniture, computer eouipment3.3 Machines, tools, etc. ЬнШРРШ:гУ'РРШШШШ3.4 Spare parts/eouipment for machines, tools3.5 Other (olease specify!

υυΥυυυίυ íYY'bYYbYK;: ; Ì ; T í - : ; î - ;f í ! : ; ! i ; i ! ; ! ; ; ; : ; IKyyyOy'ÌÌyyy и11У:У:У.?хУУХуЛ1 í: :XYXY' ; '̂XXyMY' γΥγΥΥΥγΥΥΥΥΥΥΥ; Υ·>Υ. ; 14. Local office ШШШШШШШ-ШФг::·1;:;4.1 Vehicle costs Per month4.2 Office rent Per month4.3 Consumables - office supplies Per month4.4 Other services (tel/fax, electricity/heating, maintenance) Per monthSubtotal Local office YYY YbYbbY'···; Yyh::··· yYY-YY :Υ:,;::Υ:;<ί:Υ:ΥΥ·:’;.:ί γγγγγγγ '■•УХ гЛ-хУуУх ΥΥΥ'ΥΥΥΥΤΥ'; υ\::υ;Υ;'υ'υ:>Κ:υ">: 'V : Ί'.'.ΥγΛ;" *Ч*: ' ' ' :4* Y '/ ' - '5. Other costs, services5.1 Publications YTYYYYYliYYY;.;::5.2 Studies, research5.3 Exoenditure verification/Audit "ΥυυυϋυυυυυΥ··5.4 Evaluation costs5.5 Translation, interpreters5.6 Financial services (bank ouarantee costs etc.) ШьгВьШШшшШШЙ5,7 Costs of conferences/seminars5.8 Visibility actions рр1:р:;;Ш;ф!'рр:;.Ьр|;р11Subtotal Other costs, services γ:γγ·:;>··.γ;:. ΥνΥγΥΥ;1 ίγγγγγγίΥΥ ;;..;Υ:ΥΥΥ îYţYîYţy •τΥγτττ· м’;.·· .......................... Υ^ΥΥΥγΥτΥΥγτγΥΥΥ. ·6. Other ţ; ; ;1ΐrí : ; Г; ; ; ;ί· Ч ;| B 'j ; i f;;

ίγγγγγγγγκίγγγΥγγΫΥίΥΥ:; yty

Subtotal Other ^Η.τΥΥιΥΎΥΥΥτΥ^-Υ í I v·.: ľ:YY 'ιΎ;υ4':·υ<;υ,< VbYYYYYYbbb : : ; ; : : : ' ' ': : ; : :f ' ' ; · ; ' C, « í ; · ; : : ; ΪΤΥΥΥΥΥΥ; ;гγγγγ υυ-υυυτ yyy- γγ ;γ; ■ 4,>'Y;í'"Ý('4 '·' — 4"ίi. auotoiai oireet engioie costs oi.tne Action fi- ШШй ■ :

8. Indirect costs (maximum 7% of 7, subtotal of direct elioible costs of the Action!9. Total eligible costs of the Action, excludingréséivé:(7*;8ÍYYYTY:;'Y:Y Is ϊΥΥΥΥΥΥΥΥΥΥτΥΥΥΓΥΥΥΥ,Υ.

: : ; :-з ' ; í ; ; ; J ' ; ;i ; : í ‘ ' ò ľ-: ; ; * ; ‘ : í . ■ ■■■:, ■■ ■ . : . ·.;.γ^ί;γΚ;Π:|·γ>;·;;;||

10. Not applicable11. total eligible costs(a+lU) υ:υυ:;υυυυ|υυυ:υυ:τ|·:;υυυλ·υ··υυυ ΧΥΛΧίΧΧ.ίΙΙ'/λ'ν? yYyyyYyyyy;·;··· ΤΥΥΥ :ΥΥΥ|ΥΤΥΥΤΥ.'·|YYYiYYYb YT •II.··· 1 ·ν,'\

12. - Taxes- Contributions in kind

14. totat accepted costs or me action (n+ixj rvY—YYvY·: i-awa y т:<ФХШХФ YYÍYYYvYY· Υγ!ίΤγγγγ^ΥτΥΥ;γΥΓΥ;ΛΤτΤτ;::!!γγ γγ· yyy- Yb 4Y ΥΥίΥ.ΥΥΥΥΥΤΥ.Υ Υ.ΥΤΫϋΤΥγγγ.Υ.γΥ··....' .

15 July 2015 - c? h 7 I inane in I re pon cn. \ Is - Final repon

Final sources of funding

List of Pending payments (above 500 EUR)

Please list the following details: Name of the provider, Object of the contract (Final Audit, Works execution guarantee...), Amount in €, Due date, Reference document(Date and number of Invoice/ contract), Explanation and comments (why still not paid?)

Name of the provider Object of the contract Amount in EUR Due date Reference document Explanation and comments

We herewith commit to refund to the European Union, according to art. 18 of the General Conditions, any amount for which proof of payment cannot be provided uponrequest after the due date, unless reasonable justification is provided.

15 July 2015 - e3h7_tmancialreport_en.xls - Final sources of funding

Signed

Final sources of funding

List of Pending payments (above 500 EUR)Please list the following details: Name of the provider, Object of the contract (Final Audit, Works execution guarantee...), Amount in €, Due date, Reference document

(Date and number of Invoice/ contract), Explanation and comments (why still not paid?)

Name of the provider Object of the contract Amount in EUR Due date Reference document Explanation and comments

We herewith commit to refund to the European Union, according to art. 18 of the General Conditions, any amount for which proof of payment cannot be provided uponrequest after the due date, unless reasonable justification is provided.

Signed

15 July 2015 - e3h7_Jinancialreport_en.xls - Final sources of funding

Annex VII:Terms of reference for an expenditure verification of a

European Union financed grant contract for external actions and model report of factual findings

TERMS OF REFERENCE FOR AN EXPENDITURE VERIFICATION OF AGRANT CONTRACT

- EXTERNAL ACTION OF THE EUROPEAN UNION -

HOW TO USE THIS TERMS OF REFERENCE MODEL? All text highlighted in yellow in this ToR model and in Annexes 1 and 2 is for instruction only and beneficiaries of grant contracts should remove it after use.The parts of the ToR presented in <.......... > (e.g. <name of the Coordinator ) must be completed by the Coordinator.

The following are the terms of reference (‘ToR’) under which <name of the Coordinator^ (The term "Coordinator" refers to the Beneficiary identified as the Coordinator in the Special Conditions) agrees to engage <name of the audit firm> (‘the Auditor’) to perform an expenditure verification and to report in connection with a European Union financed grant contract for an external action concerning <title of the action and number of the grant contract> (the ‘Grant Contract’). Where in these ToR the ‘Contracting Authority5 is mentioned, this refers to <the European Commission or name of another contracting authority>, which has signed the Grant Contract with the Beneficiary and is providing the grant funding. The Contracting Authority is not a party to this agreement.

1.1. Responsibilities of the Parties to the Engagement

The term “Beneficiary(ies)” refers collectively to all Beneficiaries, including the Coordinator, of the Action. When there is only one Beneficiary of the Action, the terms Beneficiary(ies) and Coordinator should both be understood as referring to the only Beneficiary of the Action (see footnote 1). Where applicable the term ’Beneficiary(ies) includes its affiliated entity(ies).

• The Coordinator is responsible for providing a Financial Report for the action financed by the Grant Contract which complies with the terms and conditions of the Grant Contract and for ensuring that this Financial Report reconciles to the Beneficiary’s accounting and bookkeeping system and to the underlying accounts and records. The Beneficiary is responsible for providing sufficient and adequate information, both financial and non-financiai, in support of the Financial Report.

• The Coordinator accepts that the ability of the Auditor to perform the procedures required by this engagement effectively depends upon the Beneficiary(ies), and as the case may be its affiliated entity(ies), providing full and free access to its (their) staff and its (their) accounting and bookkeeping system and underlying accounts and records.

• ‘The Auditor’ is responsible for performing the agreed-upon procedures as specified in these ToR. ‘Auditor’ refers to the audit firm contracted for performing this engagement and for submitting a report of factual findings to the Beneficiary. 'Auditor' can refer to the person or persons conducting the verification, usually the engagement partner or other members of the engagement team. The engagement partner is the partner or other person in the audit firm who is responsible for the engagement and for the report that is issued on behalf of the firm, and who has the appropriate authority from a professional, legal or regulatory body.

By agreeing these ToR the Auditor confirms that he/she meets at least one of the following conditions:

• The Auditor and/or the firm is a member of a national accounting or auditing body or institution which in turn is member of the International Federation of Accountants (IFAC).

1 See cover page of Annex II of the Grant Contract: General Conditions applicable to EU-fmanced grant contracts for external actions.

15 July 2015 Page 1 of 22Annex VII - model report of factual findings and terms of reference for an expenditure verification of an EU financed grantcontract for ex (EN).doc fUf

bLtL

• The Auditor and/or the firm is a member of a national accounting or auditing body or institution. Although this organisation is not member of the 1FAC, the Auditor commits him/herselť to undertake this engagement in accordance with the 1FAC standards and ethics set out in these ToR.

• The Auditor and/or the firm is registered as a statutory auditor in the public register of a public oversight body in an EU member state in accordance with the principles of public oversight set out in Directive 2006/43/EC of the European Parliament and of the Council (this applies to auditors and audit firms based in an EU Member Stale2).

• The Auditor and/or the firm is registered as a statutory auditor in the public register of a public oversight body in a third country and this register is subject to principles of public oversight as set out in the legislation of the country concerned (this applies to auditors and audit firms based in a third country).

1.2. Subject of the Engagement

The subject of this engagement is the <interim or final; remove what is not applicable> Financial Report in connection with the Grant Contract for the period covering <dd Month yyyy to dd Month yyyy> and the action entitled <title of the action>, the 'Action'. Annex 1 to these ToR contains information about the Grant Contract.

1.3. Reason for the Engagement

The Coordinator is required to submit to the Contracting Authority an expenditure verification report produced by an external auditor in support of the payment requested by the Coordinator under Article 15 of the General Conditions of the Grant Contract. The Authorising Officer of the Commission requires this report because the payment of expenditure requested by the Coordinator is conditional on the factual findings of this report.

1.4. Engagement Type and Objective

This expenditure verification is an engagement to perform certain agreed-upon procedures with regard to the Financial Report for the Grant Contract. The objective of this expenditure verification is for the Auditor to carry out the specific procedures listed in Annex 2A to these ToR and to submit to the Coordinator a report of factual findings with regard to the specific verification procedures performed. Verification means that the Auditor examines the factual information in the Financial Report of the Coordinator and compares it with the terms and conditions of the Grant Contract. As this engagement is not an assurance engagement the Auditor does not provide an audit opinion and expresses no assurance. The Contracting Authority assesses for itself the factual findings reported by the Auditor and draws its own conclusions from these factual findings.

1.5. Standards and Ethics

The Auditor shall undertake this engagement in accordance with:

- the International Standard on Related Services (‘ISRS’) 4400 Engagements to perform Agreed- upon Procedures regarding Financial Information as promulgated by the IF AC;

- the IFAC Code of Ethics for Professional Accountants, developed and issued by IFAC’s International Ethics Standards Board for Accountants (IESBA), which establishes fundamental

2 Directive 2006/43 of the European Parliament and of the Council of 147 May 2006 on statutory audits of annual accounts and consolidated, amending Council Directives 78/660/EEC and 83/349/EEC and repealing Council Directive 84/253 EEC.

15 July 2015 Page 2 of 22Annex VII - model report of factual findings and terms of reference for an expenditure verification of an EU financed grantcontract for ex (EN).doc

ethical principles for Auditors with regard to integrity, objectivity, independence, professional competence and due care, confidentiality, professional behaviour and technical standards. Although ISRS 4400 provides that independence is not a requirement for agreed-upon procedures engagements, the Contracting Authority requires that the Auditor is independent from the Beneficiary(ies) and complies with the independence requirements of the IFAC Code of Ethics for Professional Accountants.

1.6. Procedures, Evidence and Documentation

The Auditor plans the work so that an effective expenditure verification can be performed. The Auditor performs the procedures listed in Annex 2A of these ToR (‘Listing of specific procedures to be performed’) and applies the guidelines in Annex 2B (Guidelines for specific procedures to be performed). The evidence to be used for performing the procedures in Annex 2A is all financial and non-financial information which makes it possible to examine the expenditure claimed by the Coordinator in the Financial Report. The Auditor uses the evidence obtained from these procedures as the basis for the report of factual findings. The Auditor documents matters which are important in providing evidence to support the report of factual findings, and evidence that the work was carried out in accordance with ISRS 4400 and these ToR.

1.7. Reporting

The report on this expenditure verification should describe the purpose, the agreed-upon procedures and the factual findings of the engagement in sufficient detail to enable the Coordinator and the Contracting Authority to understand the nature and extent of the procedures performed by the Auditor and the factual findings reported by the Auditor.

The use of the Model Report for an Expenditure Verification of an EU Grant Contract in Annex 3 of these ToR is compulsory. This report should be provided by the Auditor to <name of the Coordinator within < number of working days to be indicated by the Coordinator working days after the day of signature of these ToR.

1.8. Other Terms

The fee for this engagement shall be <fee amount and currency>

[The Coordinator may want to agree a fixed fee for the engagement or otherwise. The Coordinator and the Auditor may want to agree specific terms if the Auditor needs to extend the verification coverage from 65% to 85%. The Coordinator should specify any reimbursable expenses and allowances (e.g. travelling, other) agreed with the Auditor and whether VAT and/or other relevant taxes are included in the fees/expenses.]

<The Coordinator and the Auditor can use this section to agree any other specific terms>

15 July 2015 Page 3 of 22Annex VII - model report of factual findings and terms of reference for an expenditure verification of an EU financed grantcontract for ex (EN).doc

Annex 1 Information about the Grant Contract

Annex 2A Listing of specific procedures to be performed

Annex 213 Guidelines for specific procedures to be performed

Annex 3 Model report for an expenditure verification of an EU grant contract

For the Coordinator: For the Auditor:

Signature

<name and function>

<date>

Signature

<name and function>

<date>

15 July 2015 Page 4 of 22Annex VII - model report of factual findings and terms of reference for an expenditure verification of an EU financedgrant contract for ex (EN).doc

Annex 1 Information about the Grant Contract

[Annex Io be completed by the Coordinator]

Information about the Grant ContractReference number and date of the Grant Contract

< Contracting Authority’s reference for theGrant Contract>

Grant contract title

Country

Coordinator < full name and address of the Coordinator as per the Grant Contract?»·

Beneficiary(ies) and affiliated entity(ies) < full name and address of the Beneficiary(ies) and related affiliated entity(ies) as per theGrant Contract>

Start date of the implementation period of the Action

End date of the implementation period of the Action

Total [accepted] [eligible] cost of the Action <amount(s) in Art. 3.1 of the SpecialConditions of the Grant Contract>

Grant maximum amount <amount in Art. 3.2 of the Special Conditions of the Grant Contract>

Total amount received to date by theCoordinator from Contracting Authority

< Total amount received as per dd.mm.yyyy>

Total amount of the payment request < provide the total amount requested for payment as per Annex V to the Special Conditions for Grant Contracts (Payment Request for a grant contract for EuropeanUnion external actions) >

Contracting Authority [<Provide the name, position/title, phone and E-mail of the contact person at the Contracting Authority>.(To be completed only if the Contracting Authority is not the Commission.)]

European Commission < provide the name, position/title, phone and E-mail of the contact person in the Delegation of the European Union in the country concerned, or if applicable at Headquarters>

Auditor < Name and address of the audit firm and names/positions of the auditors>

15 July 2015 Page 5 of 22Annex VII - model report of factual findings and terms of reference for an expenditure verification of an EU financedgrant contract for ex (EN).doc

Annex 2A Listing of Specific Procedures to be performed

[This Annex is a standard listing of specific procedures to be performed and it shall not be modifìedj

1 General Procedures

1.1. Terms and Conditions of the Grant Contract

The Auditor:

- obtains an understanding of the terms and conditions of the Grant Contract by reviewing the Grant Contract and its annexes and other relevant information, and by inquiry of the Coordinator;

- obtains a copy of the original Grant Contract (signed by the Beneficiary(ies) and the Contracting Authority) with its annexes;

- obtains and reviews the Report (which includes a narrative and a financial section) as per Article 2.1 of the General Conditions;

- verifies whether the Grant Contract is mono or multi-beneficiary (see Grant Contract introduction part; in case of a multi-beneficiary grant the term 'Coordinator' is used);

- verifies whether there is (are) an affiliated entity(ies) to any of the Beneficiary(ies) (see Article 7.1 of the Special Conditions).

Note: the purpose of the latter two procedures is for the Auditor to understand the Beneficiary(ies) responsibilities for reporting and access to staff and documents.

The Practical Guide ('PRAG') provides important information for grant contracts (e.g. basic rules and award procedures). Where necessary or useful reference will be made to the PRAG and / or its annexes.

The PRAG can be found at: http://ec.europa.eu/europeaid/prag/document.do (use the CTRL key to use link).

The latest key documents that are specifically related to grant contracts can be downloaded by clicking on PRAG, then on Annexes, then on Grants. The version indicated in the Cali for Proposal and signed is the one to be used as reference.

1.2. Financial Report for the Grant Contract

The Auditor verifies that the Financial Report complies with the following conditions of Article 2 of the General Conditions the Grant Contract:

- The Financial Report must conform to the model in Annex VI of the Grant Contract;

- The Financial Report should cover the eligible costs of the Action as a whole, regardless of which part of it is financed by the Contracting Authority;

- The Financial Report should be drawn up in the language of the Grant Contract;

- The proof of the transfers of ownership of equipment, vehicles and supplies for which the purchase co3t was more than €5 000 per item (Article 7.6 of the General Conditions of the Grant Contract) should be annexed to the final Financial Report.

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1.3. Rules for Accounting and Record keeping

- The Auditor examines — when performing the procedures listed in this Annex — whether the Beneficiary has complied with the rules for accounting and record keeping of Article 16 of the General Conditions the Grant Contract including and notably:

- The accounts kept by the Beneficiary for the implementation of the Action must be accurate and regular;

- The Beneficiary must have a double-entry book-keeping system;

- The accounts and expenditure relating to the Action must be easily traceable, identifiable and verifiable.

1.4. Reconciling the Financial Report to the Beneficiary(ies)’s Accounting Systemand Records

The Auditor reconciles the information in the Financial Report to the Beneficiary’s accounting system and records (e.g. trial balance, general ledger accounts, sub ledgers etc.).

1.5. Exchange Rates

The Auditor verifies that the financial report for the Action is stated in the currency set out in the Special Conditions and in accordance with Article 15.9 of the General Conditions. The Auditor verifies that costs incurred in other currencies than the one used in the Beneficiary's accounts for the Action have been converted in accordance with the Beneficiary's usual accounting practices and in accordance with Article 15.10 of the General Conditions unless otherwise provided for in the Special Conditions.

1.6. Simplified Cost Options

• The Auditor verifies with Annex III of the Grant Contract i.e. Budget for the Action whether the Beneficiary(ies) have applied for the application of simplified costs i.e. for the application of any or a combination of unit costs, lump sums and flat-rate financing. Eligible costs for the Action may be based on any or a combination of actual costs incurred, unit costs, lump sums and flat-rate financing. Simplified cost options can apply to one or more of the direct cost headings of the Budget for the Action and Financial Report (i.e. cost headings 1 to 6), or to sub-cost headings or to specific cost items within these cost headings.

• The Auditor obtains an understanding of the conditions set out in:

- Article 2.1.c) of the General Conditions. This Article stipulates that in case of simplified cost options the Report for the Action (narrative and financial) shall provide the qualitative and quantitative information needed to demonstrate the fulfilment of the conditions for reimbursement established in the Special Conditions;

- Articles 14.3 to 14.5 of the General Conditions; provisions for simplified cost options.

If simplified cost options apply, the Auditor performs the specific procedures set out at 3.1.(2) below.

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2. Procedures to verify conformity of Expenditure with the Budget and Analytical Review

2.1. Budget of the Grant Contract

The Auditor carries out an analytical review of the expenditure headings in the Financial Report.

The Auditor verifies that the budget in the Financial Report corresponds with the budget of theGrant Contract (authenticity and authorisation of the initial budget) and that the expenditureincurred was indicated in the budget of the Grant Contract.

2.2. Amendments to the Budget of the Grant Contract

The Auditor verifies whether there have been amendments to the budget of the Grant Contract.Where this is the case the Auditor verifies that the Coordinator has:

- requested an amendment to the budget and obtained an addendum to the Grant Contract if such an addendum was required (Article 9 of the General Conditions).

- informed the Contracting Authority about the amendment if the amendment was within the scope of Article 9.4 of the General Conditions, and an addendum to the Grant Contract was not required.

3. Procedures to verify selected Expenditure

3.1. Eligibility of Costs

The Auditor verifies, for each expenditure item selected, the eligibility criteria set out below.

(1) Actual costs incurred (Article 14.1)

The Auditor verifies that the actual expenditure for a selected item was incurred by and pertains to the Beneficiary(ies) or its (their) affiliated entity(ies). The Auditor should take into account the detailed conditions for actual costs incurred as set out in Article 14.1 .(i) to (iii). For this purpose the Auditor examines supporting documents (e.g. invoices, contracts) and proof of payment. The Auditor also examines proof of work done, goods received or services rendered and he/she verifies the existence of assets if applicable.

At final reporting stage the costs incurred during the implementation period but not yet paid can be accepted as actual costs incurred, provided that (1) a liability exists (order, invoice or equivalent) for services rendered or goods supplied during the implementation period of the action, (2) the final costs are known and (3) these costs are listed in the final Financial Report (Annex VI) together with the estimated date of payment (see Article 14.1 .a).(ii) of the General Conditions). The Auditor verifies whether these cost items have effectively been paid at the moment of the auditor's verification.

(2) Simplified cost options'} (Article 14.2 - 14.5)

Where simplified cost options apply (see general procedure 1.6) the Auditor verifies: 3

3 Refer to Annex "E3a2 Checklist for simplified cost options" to the PRAG for additional information.

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- which options (i.e. unit costs, lump sums or flat-rate financing) apply and to which (sub)cost- headings and/or cost items (Annex III (Budget for the Action) of the Grant Contract);

- which amount(s) or percentage rate(s) have been contractually agreed (Annex III (Budget of the Action) of the Grant Contract);

- which quantitative and/or qualitative information was used to determine and justify the declared costs (e.g. number of staff, number of items purchased; type of costs and activities financed by a lump sum)4;

- whether the maximum amounts of simplified cost options for each beneficiary (this includes if applicable simplified cost options of its affiliated entity(ies)) are not exceeded, in accordance with the conditions established in the Contract;

- the plausibility (i.e. necessity, reasonableness, reality) of the quantitative and qualitative information related to the declared costs;

- that the costs covered by lump sums, unit costs or flat-rate financing are not included (no double funding) in other direct costs (cost headings 1 - 6), either actual or under simplified cost options;

- that the total costs stated in the Financial Report have been correctly determined;

Note\ the Auditor is not required to verify the actual costs on which lump sums, unit costs or flat-rate financing are based.

(3) Cut-off— Implementation period (Article 14. la)

The Auditor verifies that the expenditure for a selected item was incurred during the implementation period of the Action. An exception is made for costs relating to final reports including expenditure verification, audit and final evaluation reports of the Action and which may be incurred after the implementation period of the Action.

(4) Budget (Article 14.1b)

The Auditor verifies that the expenditure for a selected item was indicated in the Action budget.

(5) Necessary (Article 14.1c)

The Auditor verifies whether it is plausible that the expenditure for a selected item was necessary for the implementation of the Action and that it had to be incurred for the contracted activities of the Action by examining the nature of the expenditure with supporting documents.

(6) Records (Article 14. Id)

4 In Annex III (Budget for the Action), the second column of worksheet no.2 ("Justification of the estimated costs") for each of the corresponding budget item or heading should:

- describe the information and methods used to establish the amounts or percentages of simplified cost options, to which costs they refer, etc.;

- explain the formulas for calculation of the final eligible amount;- identify the beneficiary who use the simplified cost option (in case of affiliated entity, specify first the

beneficiary), in order to verify the maximum amount for each beneficiar)' (which includes if applicable simplified cost options of its affiliated entity(ies)).

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The Auditor verifies that expenditure for a selected item is recorded in the Beneficiary(ies),s accounting system and was recorded in accordance with the applicable accounting standards of the country where the Beneficiary is established and the Beneficiary’s usual cost accounting practices.

(7) Applicable legislation (Article 14. le)

The Auditor verities that expenditure complies with the requirements of tax and social security legislation where this is applicable (for example: employer’s part of taxes, pension premiums and social security charges).

(8) Justified (Article 14. If)

The Auditor verifies that expenditure for a selected item is substantiated by evidence (see section 1 of Annex 2B, Guidelines for Specific Procedures to be performed) and supporting documents as specified in Article 16.8 and 16.9 of the General Conditions of the Grant Contract.

(9) Valuation

The Auditor verifies that the monetary value of a selected expenditure item agrees with underlying documents (e.g. invoices, salary statements) and that correct exchange rates are used where applicable.

(10) Classification

The Auditor examines the nature of. the expenditure for a selected item and verifies that the expenditure item has been classified under the correct (sub)heading of the Financial Report.

(11) Compliance with Procurement Principles and Nationality and Origin Rules

The Auditor verifies whether the Beneficiary has concluded implementation contracts with contractors as set out in Articles 10.1 and 14.1.a(iv) of the General Conditions and to which expenditure (sub)heading(s), a class(es) of expenditure items or expenditure item(s) this applies.

The Auditor verifies for the expenditure items concerned whether the Beneficiary has complied with the principles for procurement and the nationality and origin rules as set out in Annex IV ( Procurement by grant Beneficiaries in the context of European Union external actions)

For this purpose the Auditor inspects the underlying documents of the procurement and purchase process including where applicable proof of nationality and origin .

Where the Auditor finds issues of non-compliance, he/she reports the nature of such issues as well as their financial impact in terms of ineligible expenditure. When examining supporting documents the Auditor takes into account the risk indicators listed at the end of Annex 2B.

3.2. Eligible Direct Costs (Article 14.2)

(1) The Auditor verifies that expenditure for selected items which are recorded under one of the direct costs headings (1 to 6) of the Financial Report, are covered by the direct costs as defined in Article 14.2 by examining the nature of these expenditure items.

(2) The Auditor verifies that duties, taxes and charges, including VAT which are recorded under direct costs are not recoverable by the beneficiary(ies) and/ or its(their) affiliated entities (see Article 14.2.g) of the General Conditions). The Auditor obtains evidence that

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the Benefíciary(ies) and or its affiliated entities cannot reclaim the duties, taxes or charges, including VAT through an exempt ion system and/or a refund a posteriori. For this purpose the Auditor should refer to Annex E3al (Information on the tax regime) which provides information on the tax regime applicable to grant contracts {Note·, the standard template / text is annexed to the PRAG and it can be found at the PRAG website mentioned at procedure 1.1 above).

In case Article 7 of the Special Conditions provides that duties, taxes and charges, including VAT are not eligible, but the "accepted costs system" is introduced: they remain ineligible costs, but they can be accepted as co-financing. Therefore the Auditor additionally verifies that the tax amount concerned is reported under heading 12 of the financial report, is properly computed, in line with supporting documents (e.g. invoices) and relate to eligible costs and cost items included under headings 1 to 10 of the Financial Report.

3.3. Contingency Reserve (Article 14.6)

The Auditor verifies that the provision for contingency reserve (heading 8 in Financial Report) does not exceed 5% of the direct eligible costs of the Action and that the Coordinator has obtained prior written authorisation from the Contracting Authority for the use of this contingency reserve.

3.4. Indirect costs (Article 14.7)

The Auditor verifies that the indirect costs to cover overhead costs (heading 10 in Financial Report) do not exceed the maximum percentage of 7% of the total final amount of eligible direct costs of the Action or the percentage established in article 3 of the Special Conditions of the Grant Contract if applicable.

3.5. In kind contributions (Article 14.8)

(1) The Auditor verifies that the costs in the Financial Report do not include contributions in kind. Any contributions in kind (these should be listed separately in Annex III, Budget for the Action), do not represent actual expenditure and are not eligible costs.

(2) Contributions in kind can be accepted as co-financing and in this case this should be explicitly stipulated in Article 7.1 of the Grant Contract. The Auditor verifies whether such co-financing is applicable and whether it is properly stated under heading 12 of the Financial Report.

3.6. Non-eligible costs (Article 14.9)

The Auditor verifies that the expenditure for a selected item does not concern an ineligible cost as described in Article 14.9 of the General Conditions. These costs include inter alia currency exchange losses.

3.7. Revenues of the Action

The Auditor examines whether the revenues which should be attributed to the Action (including grants and funding received from other donors and other revenue generated by the Beneficiary as part of the Action have been allocated to the Action and disclosed in the Financial Report. For this purpose the Auditor inquires with the Beneficiary and examines documentation obtained from the Beneficiary(ies). The Auditor is not expected to examine the completeness of the

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i£l4

revenues reported.

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Annex 2B Guidelines for Specific Procedures to be performed

[This Annex provides standard guidelines for the specific procedures to he performed and these guidelines must not he modified]

1. Verification Evidence

When performing the specific procedures listed in Annex 2A, the Auditor may apply techniques such as inquiry and analysis, (re)computation, comparison, other clerical accuracy checks, observation, inspection of records and documents, inspection of assets and obtaining confirmations.

The Auditor obtains verification evidence from these procedures to draw up the report of factual findings. Verification evidence is all information used by the Auditor in arriving at the factual findings and it includes the information contained in the accounting records underlying the Financial Report and other information (financial and non-financial).

The contractual requirements that relate to verification evidence are:

• Expenditure should be identifiable, verifiable and recorded in the accounting records of the Beneficiary (Article 14.1 .d of the General Conditions of the Grant Contract);

• The Beneficiary(ies) will allow any external auditor to carry out verifications on the basis of supporting documents for the accounts, accounting documents and any other document relevant to the financing of the Action. The Beneficiary gives access to all documents and databases concerning the technical and financial management of the Action (Article 16.3 of the General Conditions);

• Article 16.9 of the General Conditions of the Grant Contract provides a list of the types and nature of evidence that the Auditor will often find in expenditure verifications.

Moreover, for the purpose of the procedures listed in Annex 2A, records, accounting and supporting documents:

• shall be easily accessible and filed so as to facilitate their examination (Article 16.7 of the General Conditions);

• shall be available in the original form, including in electronic form (Article 16.8).

Guidance: records and accounting and supporting documents should be available in documentary form, whether paper, electronic or other medium (e.g. a written record of a meeting is more reliable than an oral presentation of the matters discussed). Electronic documents can be accepted only where:

- the documentation was first received or created (e.g. an order form or confirmation) by the Beneficiary(ies) in electronic form; or

- the Auditor is satisfied that the Beneficiary uses an electronic archiving system which meets established standards (e.g. a certified system which complies with national law).

• should preferably be obtained from independent sources outside the entity (an original supplier’s invoice or contract is more reliable than an internally approved receipt note);

• which is generated internally is more reliable if it has been subject to control and approval;

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• obtained directly by the Auditor (e.g. inspection of assets) is more reliable than evidence obtained indirectly (e.g. inquiry about the asset).

If the Auditor finds that the above criteria for evidence are not sufficiently met, he/she should detail this in the factual findings.

2. Obtaining an understanding of the terms and conditions of the Grant Contract (Annex 2A — procedure 1.1)

The Auditor obtains an understanding of the terms and conditions of the Grant Contract. S/he should pay particular attention to Annex Ï of the Grant Contract (the Description of the Action), Annex II (General Conditions) and Annex IV (Procurement by grant Beneficiaries in the context of European Union external actions) which provides principles for procurement and nationality and origin rules.. Failure to comply with these principles or rules makes expenditure ineligible for EU financing.

The Auditor ensures with the Beneficiary that the applicable principles for procurement and the nationality and origin rules are clearly identified and understood. If the Auditor finds that the terms and conditions to be verified are not sufficiently clear he/she should request clarification from the Beneficiary.

3. Selecting Expenditure for Verification (Annex 2A — procedures 3.1 - 3.7)

The expenditure claimed by the Coordinator in the Financial Report is generally presented under the following expenditure headings: 1. Human Resources, 2. Travel, 3. Equipment and Supplies,4. Local office, 5. Other costs, services, 6. Other, 8. Provision for contingency reserve and 10. Indirect costs. Expenditure headings 1. to 6. represent direct costs of the Action. Expenditure headings can be broken down into expenditure subheadings such as for example 1.1 Salaries.

Expenditure subheadings can be broken down into individual expenditure items or classes of expenditure items with the same or similar characteristics. The form and nature of the supporting evidence (e.g. a payment, a contract, an invoice etc.) and the way expenditure is recorded (e.g. journal entries) vary with the type and nature of the expenditure and the underlying actions or transactions. However, in all cases expenditure items should reflect the accounting (or financial) value of the underlying actions or transactions, whatever the type and nature of the action or transaction concerned.

Value should be the principal factor used by the Auditor to select expenditure items or classes of expenditure items for verification. The Auditor selects high-value expenditure items to ensure an appropriate coverage of expenditure.

4. Verification Coverage of Expenditure (Annex 2A — procedures 3.1 - 3.7)

The Auditor applies the principles and criteria set out below when planning and performing the specific verification procedures for selected expenditure in Annex 2A (procedures 3.1-3.7).

Verification by the Auditor and verification coverage of expenditure items does not necessarily mean a complete and exhaustive verification of aN the expenditure items that are included in a specific expenditure heading or subheading. The Auditor should ensure a systematic and representative verification. Depending on certain conditions (see further below) the Auditor may

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obtain sufficient verification results for an expenditure heading or subheading by looking at a limited number of selected expenditure items.

The Auditor may apply statistical sampling techniques for the verification of one or more expenditure headings or subheadings of the Financial Report. The Auditor examines whether ‘populations’ (i.e. expenditure subheadings or classes of expenditure items within expenditure subheadings) are suitable and sufficiently large (i.e. are made up of large numbers of items) for effective statistical sampling.

If applicable the Auditor should explain in the report of factual findings for which headings or subheadings of the Financial Report sampling has been applied, the method used, the results obtained and whether the sample is representative.

The Expenditure Coverage Ratio (‘ECR’) is the total amount of expenditure verified by the Auditor, expressed as a percentage of the total amount of expenditure reported by the Coordinator in the Financial Report. This amount is reported in Annex V of the Grant Contract.

The Auditor ensures that the overall ECR is at least 65 %. If he/she finds an exception rate of less than 10% of the total amount of expenditure verified (i.e. 6.5%) the Auditor finalises the verification procedures and continues with reporting.

If the exception rate found is higher than 10% the Auditor extends verification procedures until the ECR is at least 85%. The Auditor then finalises verification procedures and continues with reporting regardless of the total exception rate found. The Auditor ensures that the ECR for each expenditure heading and subheading in the Financial Report is at least 10 %.

5. Procedures to verify selected Expenditure (Annex 2A — procedures 3.1 -3.7)

The Auditor verifies the selected expenditure items by carrying out procedures 3.1-3.11 listed in Annex 2A and reports all the factual findings and exceptions resulting from these procedures. Verification exceptions are all verification deviations found when performing the procedures set out in Annex 2A.

The Auditor quantifies the amount of verification exceptions found and the potential impact on the EU contribution, should the Commission declare the expenditure item(s) concerned ineligible (taking into account the percentage of funding by the Commission and the impact on indirect expenditure (e.g. administrative costs, overheads)). The Auditor reports all exceptions found, including those for which he/she cannot quantify the amount of the verification exception found and the potential impact on the EU contribution.

Example: if the Auditor finds an exception of € 1000 with regard to procurement principles for a grant contract where the EU finances 60% of the expenditure and where indirect costs represent 7% of total direct eligible expenses, the Auditor reports an exception of € 1000 and a financial impact of 6426 (€ 1 000 x 60% x 1.07).

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RISK INDICATORS PROCUREMENT

• Inconsistencies in the dates of the documents or illogical sequence of dates. Examples:

- Tender dated after the award of contract or before the sending of the invitations to tender

- Tender by the winning tenderer dated before the publication date of the tender or dated significantly later than tenders from other tenderers

- Tenders by different candidates all having the same date

- Dates on documents not plausible/consistent with dates on accompanying documentation (e.g. date on the tender not plausible/consistent with the postal date on the envelope; date of a fax not plausible/consistent with the printed date of the fax machine)

• Unusual similarities in tenders by candidates participating in the same tender. Examples:

- Same wording, sentences and terminology in tenders from different tenderers- Same layout and format (e.g. font type, font size, margin sizes, indents, paragraph wrapping,

etc.) in tenders from different tenderers- Similar letterhead paper or logos- Same prices used in tenders from different tenderers for a number of subcomponents or line

items- Identical grammar, spelling or typing errors in tenders from different tenderers

- Use of similar stamps and similarities in signatures

• Financial statement or other information indicating that two tenderers participating in the same tender are related or part of the same group (e.g. where financial statements are provided, the notes to the financial statements may disclose ultimate ownership of the group. Ownership information may also be found in public registers for accounts.)

• Inconsistencies in the selection and award decision process. Examples:

- Award decisions not plausible / consistent with selection and award criteria

- Errors in the application of the selection and award criteria- A regular supplier of the beneficiary participates as a member of a tender evaluation

committee

• Other elements and examples indicating a risk of a privileged relationship with tenderers:

- The same tenderer (or small group of tenderers) is invited with unusual frequency to tender for different contracts

- The same tenderer (or small group of tenderers) wins an unusually high proportion of the bids

- A tenderer is frequently awarded contracts for different types of goods or services- The winning tenderer invoices additional goods not provided for in the tender (e.g.

additional spare parts invoiced without clear justification, installation costs invoiced although not provided for in the tender).

• Other documentation, issues and examples indicating a risk of irregularities:

- Use of photocopies instead of original documents- Use of pro-forma invoices as supporting documents instead of official invoices- Manual changes on original documents (e.g. figures manually changed, figures ‘tippexed’,

etc.)- Use of non-official documents (e.g. letterhead paper not showing certain official and/or

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Annex 3 Model Report for Expenditure Verification of an EU Grant Contract

HOW TO USE THIS MODEL REPORT: All text highlighted in yellow in this model report is for instruction only and auditors should remove it after use. Information requested in pointed brackets <.........> (e.g. <name of the Coordinator) must be lilled in by the auditor.

<To be printed on AUDITOR’S Ictterhead>

Report for an Expenditure Verification of a Grant Contract

External Actions of the European Union

<Title of and number of the grant contract >

TABLE OF CONTENTS

Report of Factual Findings

1 Information about the Grant Contract

2 Procedures performed and Factual Findings

Annex 1 Financial report for the Grant Contract

Annex 2 Terms of Reference Expenditure Verification

Report of Factual Findings

<Name of contact person(s)>, < Position>

< name of the Coordinator

<Address>

<dd Month yyyy>

Dear <Name of contact person(s)>

In accordance with the terms of reference dated <dd Month yyyy> that you agreed with us, we provide our Report of Factual Findings (‘the Report’), with respect to the accompanying Financial Report for the period covering <dd Month yyyy — dd Month yyyy> (Annex 1 of this Report). You requested certain procedures to be carried out in connection with your Financial Report and the European Union financed Grant Contract concerning <title and number of the contract>, the ‘Grant Contract’.

Objective

Our engagement was an expenditure verification, which is an engagement to perform certain IS July 2015 Page 17 of 22Annex VII - model report of factual findings and terms of reference for an expenditure verification of an EU financed grant contract for ex (EN).doc

agreed-upon procedures with regard to the Financial Report for the Grant Contract between you and <the European Commission or the name of another contracting authority> the ‘Contracting Authority’. The objective of this expenditure verification is for us to carry out certain procedures to which we have agreed and to submit to you a report of factual findings with regard to the procedures performed.

Standards and Ethics

Our engagement was undertaken in accordance with:

International Standard on Related Services (‘ISRS’) 4400 Engagements to perform Agreed-upon Procedures regarding Financial Information as promulgated by the International Federation of Accountants (‘IFAC);

the Code of Ethics for Professional Accountants issued by the IFAC. Although ISRS 4400 provides that independence is not a requirement for agreed-upon procedures engagements, the Contracting Authority requires that the auditor also complies with the independence requirements of the Code of Ethics for Professional Accountants',

Procedures performed

As requested, we have only performed the procedures listed in Annex 2A of the terms of reference for this engagement (see Annex 2 of this Report).

These procedures have been determined solely by the Contracting Authority and the procedures were performed solely to assist the Contracting Authority in evaluating whether the expenditure claimed by you in the accompanying Financial Report is eligible in accordance with the terms and conditions of the Grant Contract.

Because the procedures performed by us did not constitute either an audit or a review made in accordance with international Standards on Auditing or International Standards on Review Engagements, we do not express any assurance on the accompanying Financial Report.

Had we performed additional procedures or had we performed an audit or review of the financial statements of the Beneficiary in accordance with International Standards on Auditing, other matters might have come to our attention that would have been reported to you.

Sources of Information

The Report sets out information provided to us by you in response to specific questions or as obtained and extracted from your accounts and records

Factual Findings

The total expenditure which is the subject of this expenditure verification amounts to EUR <xxxxxx>.

The Expenditure Coverage Ratio is <xx%>. This ratio represents the total amount of expenditure verified by us, expressed as a percentage of the total expenditure which is the subject of this expenditure verification. The latter amount is equal to the total amount of expenditure reported by you in the Financial Report and claimed by you for deduction from the total sum of pre­financing under the Grant Contract as per your Payment Request of <dd Month yyyy>.

We report the details of our factual findings which result from the procedures that we performed in Chapter 2 of this Report.

Use of this Report

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This Report is solely for the purpose set forth above under objective.

This report is prepared solely for your own confidential use and solely for the purpose of submission by you to the Contracting Authority in connection with the requirements as set out in Article 15 of the General Conditions of the Grant Contract. This report may not be relied upon by you for any other purpose, nor may it be distributed to any other parties.

The Contracting Authority is not a party to the agreement (the terms of reference) between you and us and therefore we do not owe or assume a duty of care to the Contracting Authority, who may rely upon this expenditure verification report at its own risk and discretion. The Contracting Authority can assess for itself the procedures and findings reported by us and draw its own conclusions from the factual findings reported by us.

The Contracting Authority may only disclose this Report to others who have regulatory rights of access to it, in particular the European Commission (Delete if the Commission is the Contracting Authority), the European Anti-Fraud Office and the European Court of Auditors.

This Report relates only to the Financial Report specified above and does not extend to any of your financial statements.

We look forward to discussing our Report with you and would be pleased to provide any further information or assistance which may be required.

Yours sincerely,

Auditor’s signature [person or firm or both, as appropriate and in accordance with company policy]

Name of Auditor signing [person or firm or both, as appropriate]

Auditor’s address [office having responsibility for the engagement]

Date of signature <dd Month yyyy> [date when the final report is signed]

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1 Information about the grant contract

<Chapter 1 should include a brief description of the Grant Contract and the Action, the Coordinator/Beneficiary(ies)/Affiliated entity(ies), and key financial/budget information (maximum 1 page).>

2 Procedures performed and factual findings

We have performed the following specific procedures listed in Annex 2A of the terms of reference for the expenditure verification of the Grant Contract (‘ToR’):

1. General procedures

2. Procedures to verify conformity of expenditure with the budget and analytical review

3. Procedures to verify selected expenditure

We have applied the rules for selection of expenditure and the principles and criteria for verification coverage as set out in Annex 2B (sections 3 and 4) of the ToR for this expenditure verification.

<Explain here any difficulties or problems encountered>

The total expenditure verified by us amounts to EUR <xxxx> and is summarised in the table below. The overall Expenditure Coverage Ratio is <xx%>.

<Provide here a summary table of the Financial Report in Annex 1, presenting for each (sub) heading the total expenditure amount reported by the Coordinator, the total expenditure amount verified and the percentage of expenditure covered>

We have verified the selected expenditure as shown in the above summary table and we have carried out, for each expenditure item selected, the verification procedures specified at point 3.1 to 3.7 of Annex 2A of the ToR for this expenditure verification. We report our factual findings resulting from these procedures below.

1. General Procedures

1.1 Terms and Conditions of the Grant Contract

We have obtained an understanding of the terms and conditions of this Grant Contract in accordance with the guidelines in Annex 2B (section 2) of the ToR.

<Describe factual findings and specify errors and exceptions. Procedures 1.1-1.6 in Annex 2A. If there are no factual findings, this should be explicitly stated as follows for each procedure: ‘No factual findings have arisen from this procedure’.>

1.2 Financial Report for the Grant Contract

1.3 Rules for Accounting and Record Keeping

1.4 Reconciling the Financial Report to the Beneficiary’s Accounting System and Records

1.5 Exchange Rates

1.6 Simplified Cost Options

2. Procedures to verify conformity of Expenditure with the Budget and Analytical

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Review

2.1 Budget of the Grant Contract

2.2 Amendments to the Budget of the Grant Contract

<Describe factual findings and specify errors and exceptions. Procedures 2.1-2.2 in Annex 2A. If there are no factual findings this should be explicitly stated as follows for each procedure: ‘No factual findings have arisen from this procedure\>

3 Procedures to verify selected Expenditure

We have reported further below all the exceptions resulting from the verification procedures specified at point 3.1-3.7 of Annex 2A of the ToR for this expenditure verification insofar as these procedures applied to the selected expenditure item.

We have quantified the amount of the verification exceptions found and the potential impact on the EU contribution, should the Commission declare the expenditure item(s) concerned ineligible (where applicable taking into account the percentage of funding of the Commission and the impact on indirect expenditure (e.g. administrative costs, overheads)). We have reported all the exceptions found, including the ones for which we cannot quantify the amount or the potential impact on the EU contribution.

<Speciiy the expenditure amounts / items for which exceptions (= deviations between facts and criteria) were found, and the nature of the exception — this means which of the specific condition(s) described in point 3.1-3.7 of Annex 2A of the ToR were not respected. Quantify the amount of verification exceptions found and the potential impact on the EU contribution, should the Commission declare the expenditure itcm(s) concerned ineligible^

3.1 Eligibility of Costs

We have verified, for each expenditure item selected, the eligibility criteria set out at procedure3.1 in Annex 2A of the ToR for this expenditure verification.

<Describe factual findings and specify errors and exceptions. Procedure 3.1 in Annex 2A: eligibility of costs and the eligibility criteria (1) to (9). Example: we found that an expenditure amount of €6500 included in subheading 3.2 (furniture, computer equipment) of the Financial Report was not eligible. An amount of €2000 related to expenditure incurred outside the implementation period. Supporting evidence was not available for 3 transactions totalling € 1.200. The required procurement rules for purchases of office computers for €3.300 were not respected. (Note: relevant details such as accounting record references or documents should be provided).>

3.2 Eligible Direct Costs (Article 14.2)

3.3 Contingency Reserve (Article 14.6)

3.4 Indirect Costs (Article 14.7)

3.5 In kind contributions Article 14.8)

3.6 Non-eligible costs (Article 14.9)

3.7 Revenues of the Action

<Describe factual findings and specify errors and exceptions. Procedures 3.2-3.7 in Annex 2A>

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Annex 1 Financial Report for the Grant Contract

<Annex 1 should include the Beneficiary’s financial report for the Grant Contract which is the subject of the verification. The financial report should be dated and indicate the period covered>

Annex 2 Terms of Reference Expenditure Verification

<Annex 2 should include a signed and dated copy of the terms of reference for the expenditure verification of this Grant Contract including Annex X (information about the Grant Contract) and Annex 2A (Listing of the specific procedures to be performed).>

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Annex IX:Transfer of Asset Ownership

ANNEX IX

Transfer of Ownership of Assets

Grant contract identification number:

Title of the Action:

Name of Beneficiary:

Name of Local Beneficiary/Local Affiliated Entity/Final beneficiary of the Action to whom the assets are transferred:

Assets Description of item (> EUR 5 000) Date of Purchase Purchase Cost in EUR Date of Transfer / Comments

1.

2.

3.

4.

Etc. .

The above list was drawn up to comply with Articles 2 and 7.5 of the General Conditions applicable to EU-financed Grant Contracts for External Action (Annex II of the Contract). Ownership of each item listed has been transferred. The local Beneficiary(ies) and/or the local Affiliated Entity(ies) and/or final beneficiaries are in agreement with its content.

Donein: ....................................................... on................................................................

(Beneficiary)

Name & Position

(Local Beneficiary/Local Affiliated Entity/Final beneficiary of the Action No 1)(Local Beneficiary/Local Affiliated Entity/Final beneficiary of the Action No 2 etc.)

Name & Position Name & Position

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