1. Guidelines for Applicants
EU - Vietnam
Calls for Proposals Enhancing CSOs and LAs' contribution to governance and development process in Vietnam EuropeAid/150453/DD/ACT/VN
Guidelines for Applicants
Information Session
10 December 2015 in Hanoi and
14 December 2015 in HCMC

2. EU – Vietnam
Note
This presentation does not replace the need for applicants to read all call for proposals documents. The presentation merely provides explanation regarding the application process and associated documentation.

3. Civil Society Organizations and Local Authorities (CSOs-LAs) Programme
EU – Vietnam
Legal basis
Regulation 233/2014 of the European Parliament and of the Council of Europe (March11, 2014) which established a Development for Cooperation Instrument (DCI).
Objective
furthering the involvement of CSOs and LAs in partner countries in policy formulation and their capacity to deliver basic services to the poorest sections of the population in developing countries
Programme implementation period
Programmatic evolution
Successor to the Non-State Actors and Local Authorities in Development Programme

4. EU Communications
EU – Vietnam
"The Roots of Democracy and Sustainable Development Communication: Europe's Engagement with Civil Society in External Relations” - adopted by the European Commission in September 2012.
"Empowering Local Authorities in Partner Countries for Enhanced Governance and More Effective Development Outcomes" – adopted by European Commission in May 2013

5. EU Roadmap for Engagement with CSOs
in Vietnam
EU – Vietnam
Common and dynamic EU strategic framework for EU's engagement with Civil Society in Vietnam.
Four areas of priorities
Promote an improved enabling environment for civil society in Vietnam
Promote a meaningful and structured participation of CSOs' in domestic policies
Strengthening CSOs' capacity to perform their roles more effectively
Ensuring EU political support to CSOs

6. EU – VN MIP for the period 2014-2020
EU – Vietnam
The EU Development policy is enshrined in the "Agenda for Change" Communication
EU-Vietnam Multiannual Indicative Programme (MIP)
Governance/Rule of law
Sustainable Energy

7. Objectives of the Call for Proposals
EU – Vietnam
Global objective: To enhance the capacity and contribution of CSOs and LAs to governance and development processes in Vietnam.
Specific objectives:
Lot 1: To enhance CSOs' contribution to governance and development in Vietnam
Lot 2: To enhance LAs as effective actor of local governance and social service providers at the local level in Vietnam.

8. Priority Actions – Lot 1
EU – Vietnam
Specific Objective 1: Reinforcing CSOs led initiatives that promote transparency and accountability
Actions aimed at promoting openess and access to information
Actions aimed at awareness raising and practicing integrity
Actions aimed at enhancing internal governance, accountability and legitimacy of civil society organizations as development actors
Specific Objective 2: Reinforcing CSOs' led initiatives that improving population access to and benefit from quality social services, with a focus on health and energy sectors
Actions aimed at improving responsiveness of social policies to populations' needs, through CSOs' advocacy and participation to policy dialogue in social sectors
Actions aimed at promoting multi-actors partnership in the provision of healthcare and energy services to the poor and marginalized people.

9. Added Values– Lot 1
EU – Vietnam
Maximizing the involvement and empowerment a diverse pool of civil society actors
Promotion of quality partnership
Strengthening CSOs' capacity
Promotion of innovation and implementation of best practices with the potential of further replication on a greater scale
Implementation of sub-granting scheme that target small organizations

10. Priority Actions – Lot 2
EU – Vietnam
Actions aimed at enhancing LAs leadership and institutional capacities to execute their mandate as defined by law with emphasis on inclusive, transparent and participatory governance at local level
Actions aimed at supporting LAs-led initiatives that improving the quality of provision of social services, with a focus on health and energy sectors

11. Added Values – Lot 2
EU – Vietnam
Maximizing the involvement and empowerment a diverse pool of actors (Local Authorities – LAs, Association of Local Authorities – ALAs, civil society, private sector)
Promotion a peer-to-peer approach between local authorities: transfer of know-how, exchange of experience and good practice, mentoring and/or coaching, peer-learning activities.

12. General Provision – Lot 1 & Lot 2
EU – Vietnam
Cross-cutting issues:
Cross-cutting principles: empowerment, participation and non- discrimination of vulnerable groups
Cross-cutting issues: environment and climate change, gender equality
Methodology and initial set of indicators allowing data gathering and monitoring of the implementation of cross-cutting issues
Overlapping of funding:
Avoid overlapping of funding and duplication of work
Other issues:
Please take into account the legal requirements of Vietnam to obtain the project approval, especially the time aspect that should be reflected in the proposed timeline of the proposed action.

13. Indicative Allocation by Lot and Size of Grants
Financial Allocation per Lot
EU – Vietnam
Indicative Funding* (EUR)
Min (EUR)
Max (EUR)
Lot 1
Civil Society Organization
Lot 2
Local Authorities
* SUSPENSIVE CLAUSE - The overall indicative amount is a combination of EU budget for Annual Action Plan (AAP) 2015 (EUR and AAP 2016 (EUR ). For grant contact to be awarded under the budget of AAP 2016, the awarding of the contract is subject to the approval of AAP 2016 by the European Commission.

14. Principle of co-financing
EU – Vietnam
EU Contribution - % of total eligible costs of the Action:
A minimum of 50% of the total estimated eligible costs of the action
A maximum of 75% of the total estimated eligible costs of the action if the applicant is a CSOs or Las/ALAs established in a Member State of the European Union
A maximum of 90% of the total estimated eligible costs of the action if the applicant is a CSOs or LAs/ALAs established in Vietnam
For both Lot 1 and Lot 2: The balance must be financed from sources other than the European Union Budget or the European Development Funds

15. Timeline – Important Dates
EU – Vietnam
Deadline for requesting any clarification from the Contracting Authority
08 January 2016
Last date on which clarification are issued by the Contracting Authority
18 January 2016
Deadline for Submission of Concept Note
29 January 2016
Invitation to submit full application
28 March 2016*
Deadline for submission of full application
27 May 2016*
Notification of award
26 August 2016*
Contract signature
September 2016*
* Provisional Date

16. SATISFY ELIGIBILITY CRITERIA
Actors
EU - Vietnam
- Lead Applicants
- Co-Applicant
- Affiliated entities
- Associates
- Contractors
- Third parties (Sub-grantees)
DO NOT HAVE TO SATISFY ELIGIBILITY CRITERIA
SATISFY ELIGIBILITY CRITERIA

17. Eligible Applicants be legal person and be nonprofit making and
EU - Vietnam
LEAD APPLICANT for Lot 1
be legal person and
be nonprofit making and
be Civil Society Organization and
be effectively established in a Member State of the European Union or in Vietnam and
be directly responsible for the preparation and management of the action with the co-applicant(s) and affiliated entity(ies), not acting as an intermediary
International Organisations are not eligible for this call

18. Eligible Applicants be legal person and be nonprofit making and
EU - Vietnam
LEAD APPLICANT for Lot 2
be legal person and
be nonprofit making and
be Local Authority (LA) or Association of Local Authorities (ALAs) established in a Member State of the European Union or in Vietnam and constituted in accordance with the legislation in force in the country concerned and
be directly responsible for the preparation and management of the action with the co-applicant(s) and affiliated entity(ies), not acting as an intermediary

19. Eligible Applicants
EU - Vietnam
The LEAD APPLICANT may act individually or with co-applicants:
Vietnamese Applicants may act individually or with co-applicant(s) who are either European or Vietnamese CSOs or LAs/ALAs
European Applicants are obliged to act in a partnership with a Vietnamese co-applicant (CSOs, LAs/ALAs)
The LEAD APPLICANT will become BENEFICIARY identified as COORDINATOR of the ACTION
The Coordinator is the main interlocutor with the Contracting Authority the EU Delegation in Vietnam
The Coordinator represents and acts on behalf of the co-applicant(s) (if any) and coordinates the design and implementation of the Action

20. Co-Applicants Partnership is encouraged
EU – Vietnam
Partnership is encouraged
Co-applicants must satisfy same eligibility criteria as applicable
to the lead applicant
Co-applicants must sign the mandate in Annex A.2 (The Full Application – Section 5
Co-applicants participate in designing and implementing the action
The costs incurred by Co-applicants are eligible in the same way as
those incurred by the Lead applicant !!!
The Co-Applicant(s) will become beneficiary(ies) in the Action
together with the Coordinator /Lead Applicant

21. Affiliated Entities
EU – Vietnam
Only entities having a structural link with the Lead applicant or a
Co-applicant i.e. legal or capital link are considered as Affiliated Entities for the purpose of the Action
Will NOT become Beneficiary(ies) of the Action and signatory(ies) of the Grant Contract.
They will participate in the design and implementation of the Action and the incurred costs (including implementation contracts and financial support to third parties) maybe accepted as eligible costs, provided they comply with all the relevant rules already applicable to the Beneficiary(ies) of the Grant Contract.

22. Affiliated Entities The Structural link is mainly of two notions:
EU – Vietnam
The Structural link is mainly of two notions:
Control, as defined in Directive 2013/34/EU on the annual financial statements, consolidated financial statements and related reports of certain types of undertakings e.g. daughter/granddaughter companies or first/second-tier subsidiaries, parent or sister companies
Membership, where the applicant is legally defined as network, federation, association
The Structural link has to exist independently of the award of the grant i.e. it should exist before the Call for Proposals and remain valid after the end of the Action.
Please refer to the Guidelines for Applicants Section on further information with regards to exceptions, definition on who is not an affiliated entity and how to verify the existence of the required link.

23. Associates and Contractors
The following entities are not applicants / co-applicants nor affiliated entities and do not have to sign the "mandate for co-applicant(s)" or "affiliated entities' statement"
Associates :
Other organisations may be involved in the action, they 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 They have to be mentioned in Annex A.2 (The Full Application) – Section 4
Contractors:
The beneficiary(ies) and their affiliated entity(ies) are permitted to award contracts. If contracts are awarded they are subject to procurement rules of Annex IV. Associates or affiliated entity(ies) cannot be also contractors in the Action.

24. Eligible Actions
EU - Vietnam
Definition – an Action is composed of a set of Activities
Sectors or Themes: - Actions must be in line with the Specific Objectives and Priority Thematic Issues listed under Section 1.2 of the Guidelines for Applicants
Actions For Lot 1
Promoting Openness and Access to Information
Awareness Raising and Practicing Integrity
Enhancing Integral Governance, Accountability and Legitimacy of Civil Society Organizations as Development Actor
Actions For Lot 2
Improving responsiveness of social policies to populations' needs, through advocacy and participation to policy dialogues in social sectors
Promoting Multi-Actor partnerships in the provision of healthcare and energy services to the poor and marginalized people

25. Eligible Actions DURATION:
EU - Vietnam
DURATION:
Lot 1: The initial planned duration of an action may not be lower than 36 months nor exceed 48 months
Lot 2: The initial planned duration of an action may not be lower than 36 months nor exceed 42 months
LOCATION:
Action must take place in Vietnam

26. Eligible Actions Types of Actions:
EU - Vietnam
Types of Actions:
Should be self-contained operations and result oriented indicating a coherent set of Activities with clearly defined operational objectives, target groups and planned, tangible outcomes, within a limited timeframe
Must be conceived to produce specific, measurable results which are in response to a particular issue
Must have clear objectives based on a strategy and methodology, an integrated approach with various complimentary activities and be likely to address the issue in question
The Implementation methods should follow this approach and should contain objectives and verifiable indicators to be defined for each individual activity proposed i.e. each action will present its own indicators of performance and success which must be objective and verifiable
Actions will be selected on the basis of their expected results as well as their potential effectiveness

27. Eligible Actions Types of Activities
EU - Vietnam
Types of Activities
Activities should be designed to meet the specific needs of the target group(s)
Non-exhaustive list of Activities examples:
Capacity building
Advocacy and awareness raising events e.g. conferences, workshops, trainings etc.
Peoples' exchanges, networking, community groups and stakeholders' consultations
Studies / research, setting up of resource-sharing platforms
Audio-video programs, production of documentaries, etc.

28. Financial Support to Third Parties
EU - Vietnam
Applicants may propose financial support to third parties in order to help achieving the objectives of the action.
MAXIMUM AMOUNT of financial support per third party EUR
Under this Call financial support to third parties MAY BE THE MAIN PURPOSE OF THE ACTION
In compliance with the present guidelines and notably of any conditions or restrictions in this section, the lead applicant should define mandatorily in section of the grant application form:
The objectives and results to be obtained with the financial support
The different types of activities eligible for financial support, on the basis of a fixed list
The types of persons or categories of persons which may receive financial support
The criteria for selecting these entities and giving the financial support
The criteria for determining the exact amount of financial support for each third entity, and
The maximum amount which may be given

29. Financial Support to Third Parties
EU - Vietnam
In all events, the mandatory conditions set above for giving financial support have to be strictly defined in the grant contract i.e. Description of the Action – Annex I of the Grant Contract as to avoid any exercise of discretion!

30. Visibility
EU - Vietnam
The Applicant must take all necessary steps to publicize the fact that the European Union has financed or co-financed the Action.
Actions that are wholly or partially funded by the European Union must incorporate information and communication activities designed to raise the awareness of specific or general audiences to explain the reasons for the Action and the European Union support in the country or region concerned.
The visibility and communication should extend to the results and the impact of this support.
Applicants must comply with the objectives and priorities and guarantee the visibility of the European Union financing.
Communication and Visibility Manual for European Union External Actions

31. Number of Applications and Grants per Applicants / Affiliated Entities
EU - Vietnam
The Lead Applicant may not submit more than 1 application per lot
The Lead Applicant may not be awarded more than 1 grant per lot
The Lead Applicant may not be a Co-applicant or an Affiliated Entity in another application of the same lot at the same time
A Co-Applicant/Affiliated Entity may not submit more than 1 application per lot
A Co-Applicant / Affiliated Entity may not be awarded more than 1 grant per lot

32. Eligibility of Costs
EU - Vietnam
The Budget of the Action is a Cost Estimate and an Overall Ceiling for "Eligible Costs"
Only "Eligible Costs" can be covered by a Grant
The reimbursement of eligible costs may be based on any or a combination of the following forms:
actual costs incurred by the Beneficiary(ies) and affiliated entity(ies);
one or more simplified cost options.

33. Eligibility of Costs
EU - Vietnam
Simplified cost options may take the form of:
unit costs: covering all or certain specific categories of eligible costs which are clearly identified in advance by reference to an amount per unit.
lump sums: covering in global terms all or certain specific categories of eligible costs which are clearly identified
in advance.
- flat-rate financing: covering specific categories of eligible costs which are clearly identified in advance by applying a percentage fixed ex ante.
The methods used to determine the amounts or rates of unit costs, lump sums or flat-rates must comply with the criteria established in Annex K!!! 33

34. Eligibility of Costs
EU - Vietnam
At contracting phase the Contracting Authority (EU Delegation) decides whether to accept the proposed amounts or rates on the basis of the provisional budget submitted, by analyzing the data of Grants carried out by the applicants or of similar actions and by performing checks established by Annex K.
The total amount of financing on the basis of simplified cost options that can be authorized by the Contracting Authority for any of the applicants individually (including simplified cost options proposed by their own affiliated entities) cannot exceed EUR
The checks may give rise to requests for clarifications and may lead the Contracting Authority to impose modifications or reductions to address mistakes or inaccuracies. 34

35. Eligibility of Costs
EU - Vietnam
It is therefore in the Applicant(s)' interest to provide a realistic and cost-effective budget in line with Article 14.2 of the General Conditions, and
The UN – EU Guidelines for Financing of Local Costs in Development Cooperation in Vietnam. Latest version available at 35

36. Grant contract is subject to:
Direct Costs
EU - Vietnam
Eligible costs must be based on real/actual incurred costs and supporting documents and must comply with the provisions of Article 14 of the General Conditions
Grant contract is subject to:
Checking process before signing the contract
Request for changes and / or Corrections: Arithmetical errors, inaccuracies or unrealistic costs and other ineligible costs
Requests for clarification and / or modifications and/ or reductions to address such mistakes or inaccuracies.
The amount of the grant and the percentage of the EU co-financing as a result of these corrections may not be increased.
It is therefore in the applicant's interest to provide a realistic and cost-effective budget.

37. Costs 2 Only eligible costs can be taken into account for a grant.
EU - Vietnam
Only eligible costs can be taken into account for a grant.
Eligible costs are costs actually incurred by the Beneficiary(ies) of this Grant, these costs must meet all of the following criteria:
They are incurred during the implementation period;
Must be indicated in the Budget estimate – Annex III;
Must be necessary for carrying out the Action and would not be incurred if the Action did not take place;
Have actually been incurred by the beneficiary and / or co-applicants i.e. be identifiable and verifiable;
Be recorded in the Beneficiary’s and co-applicant(s)' accounts or tax documents; be backed by originals of supporting documents and comply with tax and social legislation

38. Cost 3 Examples of eligible direct costs are:
EU - Vietnam
Examples of eligible direct costs are:
the cost of staff assigned to the action;
travel and subsistence costs for staff taking part in the action;
the cost of purchasing equipment;
the cost of consumables and supplies;
subcontracting expenditure;
Costs arising from the requirements of the contract
Cost of staff: has to correspond to actual salaries plus social security charges and other remuneration-related costs. Those costs must not exceed those normally borne by the Beneficiary
Travel and subsistence costs: they can not exceed those normally borne by the Beneficiary. Ant flate rate reimbursemnet must not exceed the scales approved annually by the EU
Cost of purchasing equipment: have to correspond to market rates. Equipment costs should not exceed 15% of the total eligible costs of the action
Non eligible costs: debts, interests owed, items financed in another framework, purchases of land, taxes
Costs arising from the contract: ex: dissemination of information, audit costs, printing costs, includes also financial service costs (financial guarantees or costs of transfer)

39. Costs 4 Contingency reserve
EU - Vietnam
Contingency reserve
The budget may include a contingency reserve not exceeding 5% of the estimated direct eligible costs
It can only be used with prior written authorization of the Contracting Authority !

40. Costs 4 Eligible indirect costs (overheads)
EU - Vietnam
Eligible indirect costs (overheads)
The indirect costs must not exceed flat-rate of max 7% of the estimated total eligible direct costs.
Indirect cost are only eligible provided that they do not include costs assigned to another budget heading in the standard contract.
The Lead Applicant may be asked to provide justification before signature of the contract.
Once the flat-rate is fixed in the Special Conditions of the contract, no supporting documents need to be provided.
If any of the applicants or affiliated entity(ies) is in receipt of an operating grant financed by the EU, it may not claim indirect costs on its incurred costs within the proposed budget for the action.

41. Contributions in kind
EU - Vietnam
Contribution in kind means the provision of goods or services to a beneficiary(ies) or affiliated entity(ies) free of charge by a third party.
As contributions in kind do not involve any expenditure from beneficiary(ies) or affiliated entity(ies) they are not eligibile costs !
CONTRIBUTION IN KIND MAY NOT BE TREATED AS CO-FINANCING
IF the description of the action proposed by the Beneficiary foresees the contributions in kind, such contributions have to be provided !

42. Ineligible Cost The following costs are not eligible:
EU - Vietnam
The following costs are not eligible:
debts and debt service charges (interest);
provisions for losses or potential future liabilities;
costs declared by the beneficiary(ies) and financed by another action or work programme receiving a European Union (EDF) grant;
purchases of land or buildings, except where necessary for the direct implementation of the action, in which case ownership must be transferred, in accordance with Article 7.5 of the General Conditions of the standard grant contract, at the latest by the end of the action;
currency exchange losses;
credit to third parties
Under this call for proposal TAXES, in case the Beneficiary(ies) cannot prove their reimbursement, see Annex J for further detail

43. Under this Call for Proposal taxes, including
EU - Vietnam
Under this Call for Proposal taxes, including
VAT are eligible provided the Beneficiary(ies)
or where applicable its affiliated entity(ies)
can show they cannot reclaim them –
see Annex J for further detail

44. Overview of Evaluation & Selection Process Publish Call for Proposals
EU - Vietnam
Publish Call for Proposals
Preparation &
signature of
contracts
(2)
Evaluation
Concept Note
(Eval Grid)
Receipt of
Concept Notes
(3)
Full Proposal
(4)
Eligibility
Check
(1)
Opening & Administrative
Compliance Check
(Arrival time + Checklist)
Project Implementation
Supporting
Documents

45. How to apply
EU - Vietnam
Registration in PADOR for this Call for Proposals is obligatory.
PADOR: an on-line database in which organisations register and update regularly their data
Questions and Problems should be sent to PADOR helpdesk:
Applicants must keep strictly to the format of the application and fill in the pages in order.

46. How to apply
EU - Vietnam
Please note that online submission via PROSPECT is obligatory for this call.
It is strongly recommended to register in PADOR well in advance and not to wait until the last minute before deadline to submit your application in PROSPECT
If it is impossible to register online in PADOR for technical reasons, the applicants and/or affiliated entity(ies) must complete the PADOR OFF-LINE form attached to the Guidelines for Applicants.
Before starting using PADOR or PROSPECT, please read the user guides available on the website.
All technical questions related to the use of these systems should be addressed to the IT helpdesk at DEVCO APPLICATION SUPPORT
Applicants must keep strictly to the format of the application and fill in the pages in order.

47. Application/Evaluation Steps
EU – Vietnam
Concept note:
In accordance with the Concept note Instructions in the grant application form (Annex A.1 of the Guidelines)
The applications must be in English
Lead Applicant provides only an estimate of the requested EU contribution, as well an indicative percentage of this contribution in relation to the total eligible costs of the action
Detailed budget will be only submitted with the full application in the second phase

48. Application/Evaluation Steps
EU – Vietnam
Concept note:
The elements outlined in the concept note may not be modified in the full application
The EU contribution may not vary from the initial estimate by more than 20%
Only the concept note will be evaluated, it is therefore of utmost importance that this document contains all relevant information concerning the action.
No additional annexes should be sent!

49. Application/Evaluation Steps
EU – Vietnam
Concept note:
The concept note MUST BE SUMBITTED ONLINE VIA PROSPECT following the instructions given in the PROSPECT USER MANUAL
Upon submission the Lead Applicant will receive an automatic confirmation of receipt in its PROSPECT profile

50. Application/Evaluation Steps
EU – Vietnam
Concept note:
If it is impossible to submit online via PROSPECT for technical reasons, these have to be duly justified and the proposal sent in a sealed envelope as specified below:
1x original CN + signed declaration by the lead applicant (annex A.1 Section 2) must be printed and stapled separately and enclosed in the envelope
2x additional copies in A4 size, each bound
An electronic version (e.g. CD-ROM) of the items above
The envelope must bear the Reference nubmer and the title of the Call for Proposal, lot number and title, full name and address of the lead applicant and the words "Not to be opened before the opening session" and "Không được mở trước khi mở thầu"

51. Application/Evaluation Steps
EU – Vietnam
Full application form:
Only those lead applicants invited to submit a full application following pre-selection of their concept note
Must be submitted using full application form – Annex A.2 – completed in English language
Elements outlined in the CN cannot be modified in the Full application

52. Application/Evaluation Steps
EU – Vietnam
Full application form:
The EU contribution may not vary by more than 20% from initial proposal; however the applicant is free to adapt the % of co-financing within the min and max amount and % a specified under Section 1.3 of the Guidelines
Copy of lead applicant's accounts of the latest financial year must be uploaded in PADOR (by the deadline)
Only full application and published annexes will be transferred to the evaluators;
NO ADDITIONAL ANNEXES TO BE SENT!

53. Evaluation Criteria Concept notes: - RELEVANCE - DESIGN
EU - Vietnam
Concept notes:
- RELEVANCE
- DESIGN
Full proposals:
- FINANCIAL AND OPERATIONAL CAPACITY
- EFFECTIVENESS AND FEASIBILITY
- SUSTAINABILITY
- BUDGET and COST EFFECTIVENESS

54. Only information provided on the EU websites is valid:
Check regularly the EU Delegation website for possible corrections to the Guidelines and answers to questions raised.
Only information provided on the EU websites is valid:
EU - Vietnam
All questions in writing to :
Specify the number of the call:
EuropeAid/150453/DD/ACT/VN

55. Deadline to ask questions to the mailbox 8 January 2016
Last date on which clarifications are issued 18 January 2016
EU-Vietnam
For reasons of fair and equal treatment the EU Delegation will not meet with any potential applicants/ partners regarding this Calls for Proposals in the coming months.

56. THANK YOU FOR YOUR ATTENTION!
EU-Vietnam
THANK YOU FOR YOUR ATTENTION!