EUROPEAN UNION - BASHKIMI EVROPIAN. Contracts, Finance and Audit Section Sektori i Kontratave, Financës dhe Auditit. CLARIFICATION No.

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1 EUROPEAN UNION - BASHKIMI EVROPIAN DELEGATION TO ALBANIA DELEGACIONI NE SHQIPERI Contracts, Finance and Audit Section Sektori i Kontratave, Financës dhe Auditit CLARIFICATION No. 1 Call for Proposals Ref. EuropeAid/134164/L/ACT/AL Title: "European Instrument for Democracy and Human Rights (EIDHR) Support a thriving civil society in the field through Country-based Support Scheme (CBSS) " QUESTION 1: Is it possible for the Delegation of the European Union to Albania to help applicants with the registration in PADOR, or advice where we can find support for this procedure? ANSWER TO QUESTION 1: As specified in Section 2.2 of the Guidelines for grant applicants: "All questions related to registration in PADOR should be addressed to the PADOR helpdesk at: Europeaid-pador@ec.europa.eu". The Delegation of the European Union to Albania cannot provide assistance in this regard. QUESTION 2: Is there any minimum number of (co)applicants for each project proposal? ANSWER TO QUESTION 2: As indicated in Section of the Guidelines: "The applicant may act individually or with co-applicant(s). In case an applicant is not established in Albania, the involvement in the action of one co-applicant established in Albania is obligatory." Therefore, the obligation to apply with a co-applicant only applies in the case of applicants which are not established in Albania. Please see footnote no. 2 of Guidelines (p. 7) for further 1

2 information on the term "established". QUESTION 3: Can you please confirm that the deadline for submission of Concept Notes is 30 April 2013? ANSWER TO QUESTION 3: This deadline is confirmed. As stated in the Guidelines for grant applicants, paragraph 2.2.3: "Deadline for submission of Concept Notes: The deadline for the submission of Concept Notes is 30 April 2013 as evidenced by the date of dispatch, the postmark or the date of the deposit slip. In the case of hand-deliveries, the deadline for receipt is at 16:00 local time as evidenced by the signed and dated receipt. Any Concept Note submitted after the deadline will be rejected. However, for reasons of administrative efficiency, the Contracting Authority may reject any Concept Note sent in due time but received after the effective date of approval of the Concept Note evaluation (see indicative calendar under section 2.5.2)". QUESTION 4: Do sub-grantees need to be identified in the project proposal? If so, do they need to register in PADOR? ANSWER TO QUESTION 4: According to Section of the Guidelines: "Redistribution of the grant (sub-granting) - To help achieve the objectives of the action, especially where the action proposed by the applicants requires financial support to be given to third parties, the applicants may propose awarding sub-grants. In the case of applicants anticipating a redistribution of the grant, they must specify in their applications the objectives and results to be obtained and the types of entity that will be eligible for a sub-grant. A fixed list of the types of activity eligible for sub-grants must be included in the application, together with the criteria for selecting sub-grantees including the criteria for determining the exact amount of each sub-grant. The maximum amount of a sub-grant is limited to EUR 5,000 per third party, while the total amount which can be awarded as sub-grants to third parties is limited to EUR 50,000 and to a maximum of one third of the total eligible costs of the action." Therefore, the project proposal should not identify the sub-grantees per se. Instead, the application should specify the types of entities that would be eligible for sub-granting, the types of activities eligible for sub-granting, and the criteria for selection of sub-grantees (see Grant Application Form, Part B Full Application Form, Section 2.1.1). Sub-grantees do not need to register in PADOR. 2

3 QUESTION 5: In case an Albanian NGO has local offices in different cities throughout the country, can these offices be considered "affiliates" for the action? ANSWER TO QUESTION 5: For the definition of "affiliated entities", Section of the Guidelines says: "The following entities may be considered as affiliated entities to the applicant or to the coapplicant(s): (i) legal entities together forming one legal entity, including where it is specifically established for the purpose of implementing the action. In this case, the resulting legal entity may apply as a single applicant or co-applicant. (ii) legal entities having a link with the applicant, notably a legal or capital link, which is neither limited to the action nor established for the sole purpose of its implementation on the condition that they satisfy the eligibility and non-exclusion criteria of an applicant. Affiliated entity(ies) to the applicant and of the co-applicant(s) participate in designing and implementing the action. The costs incurred by affiliated entity(ies) are eligible in the same way as those incurred by the applicant and by the co-applicant(s) respectively. If awarded the Grant contract, affiliated entity(ies) (if any) will not become the Beneficiaries in the Action Affiliated entity(ies) must satisfy respectively the eligibility criteria as applicable to the applicant and to the co-applicant(s). " If the local offices of the applicant do not have separate legal entity, they cannot be considered falling under the category of "affiliated entities". QUESTION 6: Can a co-applicant submit more than one application? ANSWER TO QUESTION 6: According to Section of the Guidelines: The applicant may submit more than one application under this Call for Proposals. The applicant may not be awarded more than one grant under this Call for Proposals. The applicant may be an affiliated entity in another application at the same time. A co-applicant may submit more than one application(s) under this Call for Proposals. A co-applicant may not be awarded more than one grant(s) under this Call for Proposals. 3

4 A co-applicant may be an affiliated entity in another application at the same time. The affiliated entity (ies) to the applicant or to the co-applicant may take part in more than one application". QUESTION 7: In case of recently-created Albanian NGOs with limited financial capacities, is there a limit to the EU contribution that can be requested? ANSWER TO QUESTION 7: According to the Guidelines, the only limits for the size of the grant requested under this Call for Proposals are those set out in Section 1.3, i.e. minimum amount of EUR 50,000 and maximum amount of EUR 150,000. However, please note that the evaluation committee will take into account the financial and operational capacity of the applicant, based amongst others on the applicant's latest accounts (please see selection criteria and evaluation grid for the evaluation of the full application, p. 21 of Guidelines). QUESTION 8: What is the difference between associate, contractor and sub-grantees? ANSWER TO QUESTION 8: The definition of the above-mentioned categories as stated in Section of the Guidelines is: Associates Associates play a real role in the action but may not receive funding from the grant, with the exception of per diem or travel costs. Associates do not have to meet the eligibility criteria referred to in section of the guidelines. Associates must be mentioned in Part B section 5 Associates of the Applicant participating in the Action of the Grant Application Form. Contractors The grant beneficiaries and their affiliated entities are permitted to award contracts. Associates or affiliated entity(ies) cannot be also contractors in the project. Contractors are subject to the procurement rules set out in Annex IV to the standard grant contract. Sub-grantees The grant beneficiaries may award financial support (sub-grants) to third entities (subgrantees). Sub-grantees are neither affiliated entities nor associates nor contractors. Subgrantees are subject to the nationality and origin rules set out in Annex IV to the standard grant contract. 4

5 Associates Contractors and Sub-Grantees are not co-applicant(s) nor affiliated entity(ies) and do not have to sign the "mandate" or "affiliated entities' statement". QUESTION 9: Is it possible for one project proposal to address more than one priority under this call for proposals? ANSWER TO QUESTION 9: According to Section of the Guidelines: "all project proposals must be aimed at achieving at least one of the three specific objectives identified for this Call for Proposals". Therefore, an applicant may address more than one of the three specific objectives under Section 1.2 of the Guidelines. QUESTION 10: Is it possible to provide sub-grants to individuals? ANSWER TO QUESTION 10: As indicated in answer to question 4, in the case that a redistribution of the grant is anticipated (sub-grants), the Full Application Form (Section of Part B of Grant Application Form) should specify the objectives and results to be obtained and the types of entity that will be eligible for a sub-grant. A fixed list of the types of activity eligible for subgrants must be established, together with the criteria for selecting sub-grantees (including the criteria for determining the exact amount of each sub-grant). Consequently, the application will need to define the persons or categories of persons (e.g. legal or natural persons) which may receive such financial support and the criteria to give it. Therefore, you may decide to provide sub-grants to natural persons (i.e. individuals), as long as all conditions above-mentioned are fulfilled. Please be aware of the types of action that are considered ineligible, as stated under Section of the Guidelines. QUESTION 11: We are an Italian NGO with a local branch which has been registered in Albania as NGO according to the relevant Albanian legislation. Is it necessary for us to register in PADOR as Albanian organisation? ANSWER TO QUESTION 11: 5

6 If the applicant submits a project proposal as organisation established in Albania, the applicant needs to register in PADOR as Albanian organisation and submit the PADOR ID showing this nationality. QUESTION 12: Is it compulsory for co-applicants and affiliates to register in PADOR? ANSWER TO QUESTION 12: Please refer to section 2.2 of the Guidelines. Please note that the term "applicants" encompasses under these Guidelines both "applicants" and "co-applicants" (see Section 2.1 of the Guidelines). As regard to Affiliates entities: Affiliated entities to the applicant and of the co-applicant(s) participate in designing and implementing the action. The costs incurred by affiliated entity(ies) are eligible in the same way as those incurred by the applicant and by the co-applicant(s) respectively. If awarded the Grant contract, affiliated entities will not become the Beneficiaries in the Action, therefore they do not have to register in Pador but they have to sign the "mandate" or "affiliated entities' statement". Affiliated entities must satisfy respectively the eligibility criteria as applicable to the applicant and to the co-applicant(s). QUESTION 13: Does an NGO which has in the past implemented EU-funded projects as beneficiary (applicant) have and advantageous position as compared to an NGO which has been involved in EU-funded projects only as partner (co-applicant)? ANSWER TO QUESTION 13: As stated in the answer to question no. 7: "the evaluation committee will take into account the financial and operational capacity of the applicant". At this stage of the procedure, i.e. question and answers, and in order to ensure an equal treatment of all applicants, the Contracting Authority cannot give any opinion on eligibility of applicants, or affiliated entities, an action or specific activities. QUESTION 14: Is partnership obligatory? ANSWER TO QUESTION 14: 6

7 Please see answer to question no. 2. QUESTION 15: Do the criteria for sub-granting need to be described already in the concept note? ANSWER TO QUESTION 15: Please see answer to question no. 4. QUESTION 16: Could funds be used for first capital investment for social enterprises? ANSWER TO QUESTION 16: The Practical Guide to contract procedures for European Union external Actions (PRAG) Article says regarding the "Non-profit rule": "Grants may not have the purpose or effect of producing a profit within the framework of the action or the work programme, with the exception of some specific cases (see below) as provided for in the Special Conditions of the standard grant contract. The no profit rule does not apply to: b) actions which generate an income to ensure their continuity beyond the end of the Contract. (Where applicable, this must be specified in Article 7 of the Special Condition)s" Therefore, only if the action does not generates a profit during the contract duration, the funds may be used for first capital investment for social enterprises. QUESTION 17: Do the legal entity sheet and financial identification form need to be submitted with the concept note? ANSWER TO QUESTION 17: Please refer to Section 2.4 of the Guidelines. QUESTION 18: We are considering to commission some research work to one or more agencies with the relevant technical expertise in two main key areas where we are considering to focus our future intervention. Reading the guidelines, we are not sure about the status of these agencies in relation to the applicant. A) Will they act as co-applicants or as contractors in our application? B) If they will be considered as contractors, is the applicant obliged to provide the name of these agencies in the concept note? Or in the full application? C) Do contractors need to have a PADOR ID? 7

8 ANSWER TO QUESTION 18: A) If the organisation complies with the eligibility of applicants under Section of the Guidelines, it can be included as a co-applicant participating in the design and implementation of the action. In such case, the costs they would incur would be eligible in the same way as those incurred by the applicant. However, it would also be possible for the grant beneficiaries (and their affiliates) to award a service/works/supplies contract with this organisation, in accordance with the procurement rules set out in Annex IV to the grant standard contract, in which case the organisation would be considered a contractor. If the organisation does not comply with the eligibility criteria for applicants (e.g. non-profit making), it could still be possible for the grant beneficiaries (and their affiliates) to award a contract to a third party, as a contractor. Please note that associates or affiliated entities cannot be contractors in the project. For further information on secondary procurement by grant beneficiaries, please refer to Annex IV to the grant standard contract published under this Call for Proposals. B) The application should not provide the name of the contractors which will be awarded a contract by the grant beneficiaries and their affiliates in the concept note or full application. Procurement will be carried out during the implementation period of the action in accordance with the rules set out in Annex IV to the grant standard contract. C) Contractors do not need to register in PADOR. QUESTION 19: The call says that actions must take place in Albania: Is this possible to carry on some actions in Italy, for example study visits? NSWER TO QUESTION 19: According to Section of the Guidelines: "Location - Actions must take place in Albania". However activities within an action and necessary to the achievement of the project's objectives may take place outside Albania as long as they do not constitute the bulk of the action. Please note that according to the guidelines, the term "action" corresponds to the term "project". QUESTION 20: An eventual sub-granting has to be awarded in Albania or could it be held in Italy (e.g. to choose an expert to help the Albanian organisation)? ANSWER TO QUESTION 20: The grant beneficiaries may award financial support (sub-grants) to third entities (sub- 8

9 grantees). However, experts proposed under service tenders financed by a grant do not fall under the "sub-grantee" category but under the "contractor" category. Contractors are subject to the procurement rules set out in Annex IV to the standard grant contract. QUESTION 21: All expenditures have to be spent in Albania or it is possible to have expenditures also in Italy? Example for staff costs? ANSWER TO QUESTION 21: The Actions must take place in Albania. As regard to eligible costs, Article 14 of the General Conditions (Annex G to the guidelines) states that: "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 borne by the Beneficiary(ies), unless it is justified by showing that it is essential to carry out the Action". QUESTION 22: We have a project supported by EU which will finish in February 2014, can we apply to this call? ANSWER TO QUESTION 22: Yes. As stated in the answer to question 6: "The applicant may not be awarded more than one grant under this Call for Proposals". This means that the applicant can be beneficiary from another EU project providing that there is no double funding for the same activities. QUESTION 23: Can a public radio / television be eligible as a co-applicant, or only non governmental bodies can be considered eligible? ANSWER TO QUESTION 23: As regard to eligibility and as specified in the guideline for applicant 2.1.1: "In addition to the categories referred to in section 2.1.1, the following are also eligible: national/local public sector institutions and public sector operators". QUESTION 24: Could you clarify if an applicant in one project proposal and the same NGO is a co-applicant in another proposal could be awarded both proposals under this Call? 9

10 ANSWER TO QUESTION 24: Please see answer to question no. 6. QUESTION 25: Can an NGO be an Affiliated Entity to a project whose applicant is also an NGO? ANSWER TO QUESTION 25: Yes. For the definition of affiliate entities, please see answer to question 12. QUESTION 26: Can we target the children living in a residential childcare institution managed by the Government? We are considering to support the children living in the municipal orphanage of Shkodra, in order to advocate, monitor and provide support systems for the children living there, and in order to guarantee them equal access to basic health services. ANSWER TO QUESTION 26: As reminded in answer to question 13, the Contracting Authority cannot give any opinion on eligibility of applicants, or affiliated entities, an action or specific activities at this stage of the procedure, i.e. question and answers, and in order to ensure an equal treatment of all applicants, The action needs to address at least one of the three specific objectives which includes "Protecting the rights of the child". The types of actions listed in Section of Guidelines are only for guidance purposes and are not exhaustive. QUESTION 27: Are the costs for the rehabilitation of a small area in a building (minor works) eligible? ANSWER TO QUESTION 27: Costs for works are eligible provided that they are directly linked to the action and that they are necessary for performing the action. As regard to procurement of Works, please see Annex IV of the guidelines for applicants on procurement rules. QUESTION 28: I would like to ask a clarification about applicant, co-applicant and affiliated. We are an Italian NGO with statute, headquarter and board in Italy (and PADOR referred to Italian 10

11 headquarter) and with a branch legally registered in Albania. For the Albanian Law the branch is at the same level of local association even if statute and board is in Italy and there is just a legal representative for Albania. Could the Albanian branch apply directly as applicant? If not, and if the applicant is the Italian headquarter, the Albanian branch could be coapplicant? Or should be affiliated? Could the Albanian branch be affiliated with other organization? ANSWER TO QUESTION 28: If the local branch in Albania is established by an instrument governed by the national law of Albania, this organisation can apply directly as applicant. In this case, if the applicant submits a project proposal as organisation established in Albania, the applicant needs to register in PADOR as Albanian organisation and submit the PADOR ID showing this nationality (see answer to Question 11). According to Section of the Guidelines, only the following entities can be considered as affiliates entities to the applicant or to the co-applicant(s): "(i) legal entities together forming one legal entity, including where it is specifically established for the purpose of implementing the action. In this case, the resulting legal entity may apply as a single applicant or co-applicant. (ii) legal entities having a link with the applicant, notably a legal or capital link, which is neither limited to the action nor established for the sole purpose of its implementation on the condition that they satisfy the eligibility and non-exclusion criteria of an applicant." If the Italian organisation falls under these categories, it can be considered an affiliated entity to the Albanian applicant, if all other eligibility criteria are met. Vice-versa, if the Albanian organisation falls under these categories, it can be considered an affiliated entity to the Italian applicant, if all other eligibility criteria are met. Alternatively, if the relevant eligibility criteria are met, both organisations could apply as applicant and co-applicant. As regard to the implementation, there is no difference between been affiliate or co-applicant. The difference would be on a juridical status, i.e. the affiliate is not mentioned in the contract because it is part of an applicant or co-applicant, i.e. forming the same entity. QUESTION 29: I kindly need to confirm with you one financial aspect of the call. If I am not mistaken, in the meeting organized on 28th of March in premises of the EU Delegation, it was communicated that any grand requested under this Call for proposal must fall between the a minimum of EUR 50,000 and a maximum to EUR 150,000, which makes the EU contribution to the given project. Does this mean that the contribution of EU to the successful applications will be 11

12 between EUR 50, ,000, but the total budget amount of the proposed project can be a certain % higher than this maximum (surely covered by the applicant)? ANSWER TO QUESTION 29: According to Section 1.3 of the Guidelines: "Any grant requested under this Call for Proposals must fall between the following minimum and maximum amounts: Minimum amount: EUR 50,000 Maximum amount: EUR 150,000 Any grant awarded under this Call for Proposals must fall between the following minimum and maximum percentages of total eligible costs of the action: Minimum percentage: 50% of the total eligible costs of the action. Maximum percentage: 95% of the total eligible costs of the action (see also section 2.1.4). For proposals submitted by an applicant which is not established in Albania, the grant requested may not exceed 80% of the total eligible costs of the action. The balance (i.e. the difference between the total cost of the action and the amount requested from the Contracting Authority) must be financed from the applicant's or partners' own resources, or from sources other than the European Union budget or the European Development Fund." Therefore, the amount of the EU contribution has to be within a minimum of EUR 50,000 and a maximum of EUR 150,000. EU requested contributions lower or higher than these minimum and maximum thresholds shall be automatically rejected. In addition to the EU contribution, the applicant must ensure a co-financing of the total costs of the action which will be a minimum of 5% and a maximum of 50% of the total eligible costs of the action, as the EU contribution needs to be of a maximum 95% of the total eligible costs and of a minimum of 50% of the total eligible costs of the action. 12