Monitoring and Monitoring and Evaluation in Evaluation in

Humanitarian Aid: Humanitarian Aid: Quality ProceduresQuality Procedures

PROJECT – STRAND 1 – Training and Capacity BuildingPROJECT – STRAND 1 – Training and Capacity Building

ANNEX IVANNEX IV

General ConditionsGeneral Conditions

In collaboration withIn collaboration with

The General Conditions:The General Conditions:

Are an integral part of the Are an integral part of the Grant AgreementGrant Agreement

which is stipulated between the Humanitarian which is stipulated between the Humanitarian

Organisation and ECHO for each single Organisation and ECHO for each single

operationoperation

Establish the rules which govern the Establish the rules which govern the

humanitarian operationshumanitarian operationsAre organised in 19 articles as follows:Are organised in 19 articles as follows:

General and Administrative provisions (1 – 14)General and Administrative provisions (1 – 14) Financial provisions (15 – 19)Financial provisions (15 – 19)

The General Conditions:The General Conditions:

Are an integral part of the Are an integral part of the Grant AgreementGrant Agreement

which is stipulated between the Humanitarian which is stipulated between the Humanitarian

Organisation and ECHO for each single Organisation and ECHO for each single

operationoperation

Establish the rules which govern the Establish the rules which govern the

humanitarian operationshumanitarian operationsAre organised in 19 articles as follows:Are organised in 19 articles as follows:

General and Administrative provisions (1 – 14)General and Administrative provisions (1 – 14) Financial provisions (15 – 19)Financial provisions (15 – 19)

SettingSetting

In particularIn particular

The GC defineThe GC defineThe GC defineThe GC define

General obligationsGeneral obligationsGeneral obligationsGeneral obligations

Priority of ECHO on type of interventionPriority of ECHO on type of interventionPriority of ECHO on type of interventionPriority of ECHO on type of intervention

Obligations and rights of the PartiesObligations and rights of the PartiesObligations and rights of the PartiesObligations and rights of the Parties

General provisions on defining the BudgetGeneral provisions on defining the BudgetGeneral provisions on defining the BudgetGeneral provisions on defining the Budget

General provisions on transferring fundsGeneral provisions on transferring fundsGeneral provisions on transferring fundsGeneral provisions on transferring funds

Article1: General ObligationsArticle1: General Obligationshighlightshighlights The proposal shall be in The proposal shall be in

accordance with the standard accordance with the standard forms annexed to the FPAforms annexed to the FPA

The HO may act in partnership or The HO may act in partnership or contract parts (not all) of the contract parts (not all) of the operationoperation

The HO is fully responsible for the The HO is fully responsible for the execution of contracted activitiesexecution of contracted activities

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Article 2: Information and financial & narrative Article 2: Information and financial & narrative reportsreports

HighlightsHighlights The HO shall provide the EC with full information The HO shall provide the EC with full information

on the implementations of the operation on the implementations of the operation [particularly it shall report on the indicators [particularly it shall report on the indicators specified in the proposal] [2.1.]specified in the proposal] [2.1.]

The reports (on ECHO forms and in same The reports (on ECHO forms and in same language as GA) shall allow comparison of the language as GA) shall allow comparison of the objectives, results and budget expected and/or objectives, results and budget expected and/or obtained [2.2./2.3.]obtained [2.2./2.3.]

The HO shall send ECHO additional information The HO shall send ECHO additional information on request within 30 days of the request [2.5.]on request within 30 days of the request [2.5.]

Failure to fulfill terms of reporting may be the Failure to fulfill terms of reporting may be the cause for termination of the GAcause for termination of the GA (reiterative (reiterative failure may be the cause of failure may be the cause of suspension of FPAsuspension of FPA) ) [2.6.][2.6.]

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Article 3/4/5: Liability, Conflict of interest, Article 3/4/5: Liability, Conflict of interest, Confidentiality Confidentiality

Highlights Highlights The HO shall have sole responsability towards The HO shall have sole responsability towards

third Parties (ECHO is discharged of all liability) third Parties (ECHO is discharged of all liability) [3.1., 3.3.][3.1., 3.3.]

The HO shall take all precautions to avoid conflict The HO shall take all precautions to avoid conflict of interests for any person under its of interests for any person under its responsabilityresponsability

The confidentiality of reports and other The confidentiality of reports and other documents classified as “confidential” is the documents classified as “confidential” is the responsability of the Parties for a minimum of 5 responsability of the Parties for a minimum of 5 yearsyears

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Article 6: VisibilityArticle 6: Visibilityhighlightshighlights The HO shall contribute to the visibility of the The HO shall contribute to the visibility of the

operations financed by the EC, provided that this operations financed by the EC, provided that this does not harm its mandate or the safety of its does not harm its mandate or the safety of its staffstaff

The HO should present a visibility plan within the The HO should present a visibility plan within the framework of the operations [6.2.]framework of the operations [6.2.]

Communications or publications by the HO shall Communications or publications by the HO shall display the EU logo and shall quote EC display the EU logo and shall quote EC contributions (% of the contribution) with the contributions (% of the contribution) with the notenote::

““this document has been produced with the fithis document has been produced with the finnancial ancial assistance of the European Community. The views expressed assistance of the European Community. The views expressed herein should not taken, in any way, to reflect the official herein should not taken, in any way, to reflect the official opinion of the European Community”opinion of the European Community”

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Article 7: Ownership and use of Results and Article 7: Ownership and use of Results and assets assets

highlightshighlights Unless otherwise specified in the Unless otherwise specified in the Special ConditionsSpecial Conditions

the equipment, vehicles and supplies purchased in the equipment, vehicles and supplies purchased in the framework of an Operation shall be transferred to the framework of an Operation shall be transferred to local authorities, partners or final recipients local authorities, partners or final recipients (excluding commercial contractors) [7.3.](excluding commercial contractors) [7.3.]

The HO shall submit one month before the end of the The HO shall submit one month before the end of the implementation period an inventory with a proposal implementation period an inventory with a proposal concerning the use of these stocks and equipment concerning the use of these stocks and equipment (the EC shall respond within 15 days)(the EC shall respond within 15 days)

The HO shall give an account of the actual destination The HO shall give an account of the actual destination of these stocks and equipment with documentary of these stocks and equipment with documentary proof of any transferproof of any transfer

In the event of failure to comply with the above In the event of failure to comply with the above provisions, relevant costs shall not be eligible for provisions, relevant costs shall not be eligible for fundingfunding

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Article 8: Evaluation of the operation Article 8: Evaluation of the operation HighlightsHighlights Representatives of the EC shall be invited to Representatives of the EC shall be invited to

participate in the main monitoring and evaluation participate in the main monitoring and evaluation missionsmissions

Evaluation missions by representatives of the EC Evaluation missions by representatives of the EC shall be object of mutual discussions and shall be shall be object of mutual discussions and shall be planned in a collaborative manner by the HO staff planned in a collaborative manner by the HO staff and EC representativesand EC representatives

If provided with a resonable deadline, the EC will If provided with a resonable deadline, the EC will annex the HO’s comments to the final reportannex the HO’s comments to the final report

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Article 9: Signature of Agreements Article 9: Signature of Agreements HighlightsHighlights The EC shall draft the The EC shall draft the Grant AgreementGrant Agreement according according

to the standard format and in conformity with the to the standard format and in conformity with the proposal agreed by the EC shall send two signed proposal agreed by the EC shall send two signed originals (by registered mail) to the HOoriginals (by registered mail) to the HO

The HO shall notify in writing its acceptance The HO shall notify in writing its acceptance within 15 days of receipt, and may not introduce within 15 days of receipt, and may not introduce changes in the agreementchanges in the agreement

The GA shall be considered concluded and shall The GA shall be considered concluded and shall enter into force on the date of reception by the EC enter into force on the date of reception by the EC of one original signed and sent by registered of one original signed and sent by registered letterletter

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Article 10: Amendment of AgreementsArticle 10: Amendment of Agreements Highlights Highlights Any modification of agreement shall be set out in writing Any modification of agreement shall be set out in writing

in an in an amendmentamendment and shall be submitted one month and shall be submitted one month before the end of the implementation period of the before the end of the implementation period of the agreement [10.1.]agreement [10.1.]

By way of exception, the HO, when the financial impact is By way of exception, the HO, when the financial impact is limited to a transfer within a single budget title or a limited to a transfer within a single budget title or a transfer between budget titles involving a variation of transfer between budget titles involving a variation of 15% or less of the amount originally entered of total direct 15% or less of the amount originally entered of total direct costs, shall INFORM the EC in writing (modification must costs, shall INFORM the EC in writing (modification must not affect the general terms of operation)not affect the general terms of operation)

In case of change of bank account and use of contingency In case of change of bank account and use of contingency reserve, the HO shall present a duly substantiated requestreserve, the HO shall present a duly substantiated request

Any amendment to articles 2 and 3 of the Any amendment to articles 2 and 3 of the Special Special ConditionsConditions shall be subject of a shall be subject of a supplementary agreementsupplementary agreement

In any case the original object of the agreement shall not In any case the original object of the agreement shall not be modifiedbe modified

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Article 11: Award of contractsArticle 11: Award of contractsHighlights Highlights Contracting arrangements will be as Contracting arrangements will be as

specified in the proposal. The EC will also be specified in the proposal. The EC will also be informed of changes in these arrangements informed of changes in these arrangements and in any case detailed information will be and in any case detailed information will be provided in the final reportprovided in the final report

Procurement of goods, works, or services Procurement of goods, works, or services shall be carried out in accordance with rules shall be carried out in accordance with rules adopted by the EC established in Annex Vadopted by the EC established in Annex V

In the event of failure to comply with above In the event of failure to comply with above provisions relevant costs shall NOT be provisions relevant costs shall NOT be eligible for fundingeligible for funding

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Article 12/13: implementation period, suspension Article 12/13: implementation period, suspension and termination of agreementand termination of agreement

Highlights Highlights The implementation period of the GA shall The implementation period of the GA shall

be as set out in article 2.2 of the be as set out in article 2.2 of the Special Special ConditionsConditions

Various causes for suspension and Various causes for suspension and termination of the operation are definedtermination of the operation are defined

Time periods regarding these aspects are Time periods regarding these aspects are defineddefined

Terms are set out in the Terms are set out in the ProvisionsProvisions and and General ConditionsGeneral Conditions for the case of for the case of advanced advanced terminationtermination

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Article 14: DisputesArticle 14: Disputes

Highlights Highlights Parties shall communicate their positions to each Parties shall communicate their positions to each

other in writingother in writing A Party MUST reply within 30 daysA Party MUST reply within 30 days If an amicable settlement has not been reached If an amicable settlement has not been reached

within 90 days, each Party may notify the other within 90 days, each Party may notify the other that it considers the procedure to have “failed” that it considers the procedure to have “failed” and take the dispute before the Court of First and take the dispute before the Court of First Instance of the ECInstance of the EC

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Article 15: Eligible costsArticle 15: Eligible costs

Highlights Highlights The costs must be: NECESSARY, ACTUALLY BEEN The costs must be: NECESSARY, ACTUALLY BEEN

INCURRED in the implementation period and RECORDED INCURRED in the implementation period and RECORDED in verifible documentsin verifible documents

Eligible costs are::Eligible costs are:: Staff (salaries and identifiable personnel costs at HQ level)Staff (salaries and identifiable personnel costs at HQ level) Expenditure related to constitution of stocks shall also be Expenditure related to constitution of stocks shall also be

eligible when incurred before the date of submission of the eligible when incurred before the date of submission of the proposalproposal

Travel and subsistence costs for staff Travel and subsistence costs for staff Purchase costs for equipment (new and old)Purchase costs for equipment (new and old) Cost directly arising out of accepting or distributing Cost directly arising out of accepting or distributing

contributions in kindcontributions in kind Costs of consumables and suppliesCosts of consumables and supplies Purchase costs for goods and servicesPurchase costs for goods and services Expenditure n contractingExpenditure n contracting Field office costs that correspond to amount of activity Field office costs that correspond to amount of activity

attributable to Operationattributable to Operation Costs deriving from training, evaluation and documentationCosts deriving from training, evaluation and documentation

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Non eligible costs are those “standard” Non eligible costs are those “standard”

for EC projects, such as:for EC projects, such as:

Purchase of land or buildingsPurchase of land or buildings Taxes, duties (unless the HO is not able to Taxes, duties (unless the HO is not able to

reclaim them)reclaim them) Currency exchange lossesCurrency exchange losses Etc.Etc.

Art 15 ContinuedArt 15 Continued

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Indirect costs are forfeited (max 7% Indirect costs are forfeited (max 7% of total direct eligible costs = Title 01 of total direct eligible costs = Title 01 + Title 02)+ Title 02)

A contingency reserve may be A contingency reserve may be

exceptionally included in the budget exceptionally included in the budget

and shall not be higher than 5% of and shall not be higher than 5% of

the direct eligible costs (Title 01 + the direct eligible costs (Title 01 +

Title 02)Title 02)

Art 15 ContinuedArt 15 Continued

Article 16: PaymentsArticle 16: Payments

Highlights Highlights Are defined in articles 5 and 6 of the GA Are defined in articles 5 and 6 of the GA Pre-financing shall be set at a level between 50% and Pre-financing shall be set at a level between 50% and

80% (>50% in special cases) of the sum referred to in 80% (>50% in special cases) of the sum referred to in Article 3(2) of the Special Conditions less contingenciesArticle 3(2) of the Special Conditions less contingencies

The level of pre-financing will be set taking into account The level of pre-financing will be set taking into account the past record of the HO, as regards timely submission the past record of the HO, as regards timely submission of final report, budget execution rate and of final report, budget execution rate and risk profilerisk profile

Payment will be made within 45 days after receipt of GA Payment will be made within 45 days after receipt of GA signed by HOsigned by HO

If interests represent a If interests represent a significant amountsignificant amount they shall be they shall be reimbursed to the Commission reimbursed to the Commission

The EC will pay the final ammount within 45 days after The EC will pay the final ammount within 45 days after receipt of the final reports and narrativereceipt of the final reports and narrative

If the EC does not deem the report correct or complete If the EC does not deem the report correct or complete it shall request additional information within a second it shall request additional information within a second 45 day period (intital deadline shall be suspended)45 day period (intital deadline shall be suspended)

The HO may demand interest within two months of The HO may demand interest within two months of receiving a late payment by the EC (rate supplied by receiving a late payment by the EC (rate supplied by ECB)ECB)

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Article 17: accounts and financial checksArticle 17: accounts and financial checks

Highlights Highlights The HO shall keep all original documents (in The HO shall keep all original documents (in

exceptional cases certified copies shall be exceptional cases certified copies shall be allowed)allowed)

The HO agrees that the EC may have an audit to The HO agrees that the EC may have an audit to verify appropriate use of funds by the HO and verify appropriate use of funds by the HO and contractors (ECA and OLAF shall enjoy the same contractors (ECA and OLAF shall enjoy the same rights)rights)

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Articles 18/19: final amount of Community financing and Articles 18/19: final amount of Community financing and RecoveryRecovery

Highlights Highlights The total amount to be paid by the EC may not The total amount to be paid by the EC may not

exceed the maximum contribution established by exceed the maximum contribution established by the Special Conditionsthe Special Conditions

If co-financed, the % of funding will remain If co-financed, the % of funding will remain invariable even in the case of a reduction in invariable even in the case of a reduction in funding by the other donorfunding by the other donor

Financial contribution of the EC may not in any Financial contribution of the EC may not in any circumstance result in a profit for the HOcircumstance result in a profit for the HO

Where the operation is not carried out properly, in Where the operation is not carried out properly, in full, the EC may reduce the grant pro-ratafull, the EC may reduce the grant pro-rata

Where recovery is justified, the HO undertakes to Where recovery is justified, the HO undertakes to repay the EC any amounts paid in excess within 45 repay the EC any amounts paid in excess within 45 daysdays

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The endThe end

The endThe end