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Monitoring and Evaluation in Humanitarian Aid: Quality Procedures

Monitoring and Evaluation in Humanitarian Aid: Quality Procedures PROJECT – STRAND 1 – Training and Capacity Building. ANNEX IV General Conditions In collaboration with. Setting. The General Conditions:

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Monitoring and Evaluation in Humanitarian Aid: Quality Procedures

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  1. Monitoring and Evaluation in Humanitarian Aid: Quality Procedures PROJECT – STRAND 1 – Training and Capacity Building

  2. ANNEX IV General Conditions In collaboration with

  3. Setting The General Conditions: • Are an integral part of the Grant Agreement which is stipulated between the Humanitarian Organisation and ECHO for each single operation • Establish the rules which govern the humanitarian operations • Are organised in 19 articles as follows: • General and Administrative provisions (1 – 14) • Financial provisions (15 – 19)

  4. General obligations Priority of ECHO on type of intervention Obligations and rights of the Parties General provisions on defining the Budget General provisions on transferring funds In particular The GC define

  5. GC: Highlights Article1: General Obligations highlights • The proposal shall be in accordance with the standard forms annexed to the FPA • The HO may act in partnership or contract parts (not all) of the operation • The HO is fully responsible for the execution of contracted activities

  6. GC: highlights Article 2: Information and financial & narrative reports Highlights • The HO shall provide the EC with full information on the implementations of the operation [particularly it shall report on the indicators specified in the proposal] [2.1.] • The reports (on ECHO forms and in same language as GA) shall allow comparison of the objectives, results and budget expected and/or obtained [2.2./2.3.] • The HO shall send ECHO additional information on request within 30 days of the request [2.5.] • Failure to fulfill terms of reporting may be the cause for termination of the GA (reiterative failure may be the cause of suspension of FPA) [2.6.]

  7. GC: Highlights Article 3/4/5: Liability, Conflict of interest, Confidentiality Highlights • The HO shall have sole responsability towards third Parties (ECHO is discharged of all liability) [3.1., 3.3.] • The HO shall take all precautions to avoid conflict of interests for any person under its responsability • The confidentiality of reports and other documents classified as “confidential” is the responsability of the Parties for a minimum of 5 years

  8. GC:Highlights Article 6: Visibility highlights • The HO shall contribute to the visibility of the operations financed by the EC, provided that this does not harm its mandate or the safety of its staff • The HO should present a visibility plan within the framework of the operations [6.2.] • Communications or publications by the HO shall display the EU logo and shall quote EC contributions (% of the contribution) with the note: “this document has been produced with the financial assistance of the European Community. The views expressed herein should not taken, in any way, to reflect the official opinion of the European Community”

  9. GC:Highlights Article 7: Ownership and use of Results and assets highlights • Unless otherwise specified in the Special Conditions the equipment, vehicles and supplies purchased in the framework of an Operation shall be transferred to local authorities, partners or final recipients (excluding commercial contractors) [7.3.] • The HO shall submit one month before the end of the implementation period an inventory with a proposal concerning the use of these stocks and equipment (the EC shall respond within 15 days) • The HO shall give an account of the actual destination of these stocks and equipment with documentary proof of any transfer • In the event of failure to comply with the above provisions, relevant costs shall not be eligible for funding

  10. GC:Highlights Article 8: Evaluation of the operation Highlights • Representatives of the EC shall be invited to participate in the main monitoring and evaluation missions • Evaluation missions by representatives of the EC shall be object of mutual discussions and shall be planned in a collaborative manner by the HO staff and EC representatives • If provided with a resonable deadline, the EC will annex the HO’s comments to the final report

  11. GC:Highlights Article 9: Signature of Agreements Highlights • The EC shall draft the Grant Agreement according to the standard format and in conformity with the proposal agreed by the EC shall send two signed originals (by registered mail) to the HO • The HO shall notify in writing its acceptance within 15 days of receipt, and may not introduce changes in the agreement • The GA shall be considered concluded and shall enter into force on the date of reception by the EC of one original signed and sent by registered letter

  12. GC:Highlights Article 10: Amendment of Agreements Highlights • Any modification of agreement shall be set out in writing in an amendment and shall be submitted one month before the end of the implementation period of the agreement [10.1.] • By way of exception, the HO, when the financial impact is limited to a transfer within a single budget title or a transfer between budget titles involving a variation of 15% or less of the amount originally entered of total direct costs, shall INFORM the EC in writing (modification must not affect the general terms of operation) • In case of change of bank account and use of contingency reserve, the HO shall present a duly substantiated request • Any amendment to articles 2 and 3 of the Special Conditions shall be subject of a supplementary agreement • In any case the original object of the agreement shall not be modified

  13. GC:Highlights Article 11: Award of contracts Highlights • Contracting arrangements will be as specified in the proposal. The EC will also be informed of changes in these arrangements and in any case detailed information will be provided in the final report • Procurement of goods, works, or services shall be carried out in accordance with rules adopted by the EC established in Annex V • In the event of failure to comply with above provisions relevant costs shall NOT be eligible for funding

  14. GC:Highlights Article 12/13: implementation period, suspension and termination of agreement Highlights • The implementation period of the GA shall be as set out in article 2.2 of the Special Conditions • Various causes for suspension and termination of the operation are defined • Time periods regarding these aspects are defined • Terms are set out in the Provisions and General Conditions for the case of advanced termination

  15. GC:Highlights Article 14: Disputes Highlights • Parties shall communicate their positions to each other in writing • A Party MUST reply within 30 days • If an amicable settlement has not been reached within 90 days, each Party may notify the other that it considers the procedure to have “failed” and take the dispute before the Court of First Instance of the EC

  16. Financial Provisions GC:Highlights Article 15: Eligible costs Highlights • The costs must be: NECESSARY, ACTUALLY BEEN INCURRED in the implementation period and RECORDED in verifible documents • Eligible costs are:: • Staff (salaries and identifiable personnel costs at HQ level) • Expenditure related to constitution of stocks shall also be eligible when incurred before the date of submission of the proposal • Travel and subsistence costs for staff • Purchase costs for equipment (new and old) • Cost directly arising out of accepting or distributing contributions in kind • Costs of consumables and supplies • Purchase costs for goods and services • Expenditure n contracting • Field office costs that correspond to amount of activity attributable to Operation • Costs deriving from training, evaluation and documentation

  17. Art 15 Continued Highlights • Non eligible costs are those “standard” for EC projects, such as: • Purchase of land or buildings • Taxes, duties (unless the HO is not able to reclaim them) • Currency exchange losses • Etc.

  18. Art 15 Continued Highlights • Indirect costs are forfeited (max 7% of total direct eligible costs = Title 01 + Title 02) • A contingency reserve may be exceptionally included in the budget and shall not be higher than 5% of the direct eligible costs (Title 01 + Title 02)

  19. GC: Highlights Article 16: Payments Highlights • Are defined in articles 5 and 6 of the GA • Pre-financing shall be set at a level between 50% and 80% (>50% in special cases) of the sum referred to in Article 3(2) of the Special Conditions less contingencies • The level of pre-financing will be set taking into account the past record of the HO, as regards timely submission of final report, budget execution rate and risk profile • Payment will be made within 45 days after receipt of GA signed by HO • If interests represent a significant amount they shall be reimbursed to the Commission • The EC will pay the final ammount within 45 days after receipt of the final reports and narrative • If the EC does not deem the report correct or complete it shall request additional information within a second 45 day period (intital deadline shall be suspended) • The HO may demand interest within two months of receiving a late payment by the EC (rate supplied by ECB)

  20. GC: Highlights Article 17: accounts and financial checks Highlights • The HO shall keep all original documents (in exceptional cases certified copies shall be allowed) • The HO agrees that the EC may have an audit to verify appropriate use of funds by the HO and contractors (ECA and OLAF shall enjoy the same rights)

  21. GC: Highlights Articles 18/19: final amount of Community financing and Recovery Highlights • The total amount to be paid by the EC may not exceed the maximum contribution established by the Special Conditions • If co-financed, the % of funding will remain invariable even in the case of a reduction in funding by the other donor • Financial contribution of the EC may not in any circumstance result in a profit for the HO • Where the operation is not carried out properly, in full, the EC may reduce the grant pro-rata • Where recovery is justified, the HO undertakes to repay the EC any amounts paid in excess within 45 days

  22. The end

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