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1
Monitoring and Evaluation in Humanitarian Aid
Quality Procedures PROJECT STRAND 1 Training
and Capacity Building
2
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3
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4
Budget
  • ECHO TYPES OF FUNDING
  • ECHO funds two types of projects
  • Total funding ECHO funds 100 of the requested
    budget
  • Co-funding ECHO co-funds the project with
    another donor

5
Budget
  • The Budget
  • Is based on three types of different formats
  • Presents significant differences with respect to
    the former FPA (a new conception)
  • The concept of lumpsum disappears (except for
    indirect costs and the Reserve)
  • Is sub-divided into Titles, Chapters, Articles
    and Elements

6
Budget
Budget 3 types of formats
Budget for Financial Request and Interim
Financial Report
Budget summary (by the EC)
Budget for Final Financial Report
7
Budget
Initial request and Interim
Final request
8
Budget
FORMAT FOR ECHO BUDGET PHASES
9
Budget
DIVISION OF BUDGET IN TITLES
The division of the budget into titles is
structured using a separation of direct costs,
indirect costs and reserve
10
The budget is structurated using codes of 2, 4 ,
6, 8 digits which must be followed in the
presentation of the budget and accounting
Budget
BUDGET STRUCTURE DEFINITION LEVEL CODE EXAMPLE DESCRIPTION NOTES
TITLE 2 DIGITS 01. Goods and services delivered to the beneficiaries The 2 digit budget is divided into 4 titles 01. and 02. Direct costs 03. Indirect costs 04. Reserve
CHAPTER 4 DIGITS 01.01 Food security The 4 digit budget is divided into 22 chapters referring to title 1 (13) and 2 (9)
ARTICLE 6 DIGITS 01.01.01 Basic Food Security The number of articles referring to each chapter is varied
ELEMENTS 8 DIGITS 01.01.01.01. 01.01.01.02 Corn Flour Vegetable oil The nomenclature of the budget proposed by ECHO does not exceed 6 digits. The detail level corresponding to 8 digits is not coded, and is free (mandatory for the presentation of the final financial report)
11
Budget
  • Eligible Costs, NEW
  • The new conception gives eligibility to cost
    previously non-eligible
  • Costs of offices on location (rent and office
    consumable supplies)
  • Personnel in headquarters (directly connected
    with operations)
  • Personnel in HQ for feasability studies (to
    concord with ECHO), monitoring and evaluations
  • Costs for conscienceness raising for EC operations

12
Budget
  • Non-eligible Costs, NEW
  • In accordance with the new EU funding norms from
    January 1, 2003 these are no longer eligible
  • Costs calculated in forfait (except Indirect
    costs and Reserve)

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Applications ANNEX II
  • SUMMARY
  • Principles of budget flexibility and amendment
    procedures
  • Times requested for the presentation of Financial
    Reports (Financial Request, Interim Financial
    Report, Pre-Final Narrative Report and Final
    Financial Report)
  • Form requested for the presentation of Financial
    Reports
  • Sensible points and the Trenino practical
    applications

15
Applications ANNEX II
  • 1. BUDGET FLEXIBILITY AND AMENDMENT
  • Unilateral modification of the Budget by the
    NGO, notifying ECHO
  • Exchange of written correspondence approved by
    ECHO
  • Supplementary Agreement

16
Applications ANNEX II
  • A. Unilateral modification of budget by NGO
    notifying ECHO
  • When ?
  • The budget modifications introduced do not affect
    a basic element of the Operation
  • The financial impact is limited to a transfer
    between Title 01 and Title 02 equal or inferior
    to 15 of the total eligible direct costs,
    independently of the use of the reserve.

17
Applications ANNEX II
  • A. Unilateral modification of budget by NGO
    notifying ECHO
  • What type of procedure to follow ?
  • Formalize a modification made in the Interim
    Report (if foreseen) and/or address a letter to
    the Field Officer and Desk Officer of ECHO.
    Acceptance is not required by ECHO in this case.
  • It is always advisable to inform ECHO in writing
    and to file the relative correspondence.

18
Applications ANNEX II
  • B. Exchange of written correspondence approved by
    ECHO
  • When?
  • For a transfer between Title 01 and Title 02 gt
    15 of the total eligible direct costs (Title 01.
    Title 02.), independently of the use of the
    reserve.
  • To request the use of the Reserve, in the case in
    which funding had been granted in the Grant
    Agreement
  • Intend, for operational and/or contingency
    reasons, to carry out a change affecting a
    significant element of the operation (location,
    beneficiaries, sustainability)
  • To request a change of the bank account used by
    the HO.
  • Modification of indicators and source of
    verification.

19
Applications ANNEX II
  • B. Exchange of written correspondence approved by
    ECHO
  • What type of procedure to follow?
  • The NGO shall present a written request to ECHO
    duly founded and motivated (before such a request
    is made to the Desk Officer of ECHO in Brussels
    it should be discussed with the ECHO Field Expert
    1)
  • Await the written confirmation by ECHO for
    acceptance or refusal of request (ECHO shall
    respond within 15 days, in any case silence does
    not mean acceptance)
  • 1 in these cases correspondence with Field
    Expert and Desk Officer should be filed.

20
Applications ANNEX II
  • C. Supplementary Agreement
  • When ?
  • If the HO wants to request an EXTENSION of the
    project implementation period
  • If the HO wants to request a BUDGET INCREASE
    justified by operative reasons
  • For co-financed projects, when a MODIFICATION OF
    THE PERCENTAGE in the co-funding quota is
    requested
  • For modification or inclusion in the agreement of
    an article 9 specific conditions (i.e.
    modification or derogation to General
    conditions)

21
Applications ANNEX II
  • C. Supplementary Agreement
  • What type of procedure to follow ?
  • The ONG shall present a written request to ECHO
    duly founded and motivated (before such request
    is made to the Desk Officer of ECHO in Brussels
    it should be discussed with the ECHO Field
    Expert)
  • If accepted ECHO shall respond to the NGO in
    writing within 15 days of receiving the request,
    sending an amended Grant Agreement (in any case,
    silence does not mean acceptance)
  • The amended Grant Agreement will become effective
    when signed by both parties (ECHO and NGO) and
    sent to ECHO

22
EXAMPLE Budget flexibility and amendment
Initial budget
Unilateral modifications in budget notifying ECHO
23
EXAMPLE Budget flexibility and amendment
24
Applications ANNEX II
  • 2. TIMES REQUESTED FOR THE PRESENTATION OF
    FINANCIAL REPORTS
  • Projects of Primary Emergency, Emergency and
    other projects with duration lt 6 months
  • Projects with duration gt 6 months

25
Applications ANNEX II
A. Projects of Primary Emergency, Emergency
other projects with duration lt 6 months
At least one month before the end of
implementation period, unless otherwise specified
in the Grant Agreement
Within 6 weeks of end of implementation period,
unless otherwise specified in the Grant Agreement
26
Applications ANNEX II
B. Projects with duration gt 6 months
Usually halfway through project implementation
period (date specified in the Grant Agreement)
1 month before the end of project implementation
period
Within 3 months of the end of project
implementation period
27
Applications ANNEX II
ATTENTION
  • The Report shall be presented using the standard
    forms supplied by ECHO in the same language of
    the Grant Agreement
  • All Reports must be expressed in Euro
  • The EU may request further information which must
    be supplied within 30 days of the request
  • Failure to respect expiration dates, without
    valid motivation, may cause cessation of the
    Grant Agreement and is considered a threat to the
    continuation of the FPA

28
ApplicaTIONS ANNEX II
  • 3. FORM REQUESTED FOR THE PRESENTATION OF
    FINANCIAL REPORTS
  • Projects of Primary Emergency and Emergency
  • Other projects with duration lt or gt 6 months

29
Applications ANNEX II
A. Projects of Primary Emergency and Emergency
6 Digits
8 Digits
30
Applications ANNEX II
B. Other projects with duration lt or gt 6 months
6 Digits
8 Digits
31
Phase I Financial Request
  • 6 digits
  • Use only format Annex II
  • Do not fill in the Budget Summary
  • Use only column INITIAL Budget
  • Do not fill in Special Mandates

Fase III Final
Financial Report
Phase IV Final
Financial Report
DIGIT
Primary Emergency and Emergency
Other projects lt 6 months
Other projects gt 6 months
Phase II Interim Financial Report
Phase III Pre-Final
Narrative Report
32
Phase I Financial Request
Fase III Final
Financial Report
Phase IV Final
Financial Report
TIMING
Primary Emergency, Emergency, other lt 6 months
Other projects gt 6 months
Phase II Interim Financial Report
Phase III Pre-Final
Narrative Report
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Budget Instruments
To facilitate the work an instrument was created
to apply to the budget and accounting expenses
35
Instruments the Trenino
OBJECTIVE To facilitate writing the budget and
the correct monitoring of accounting for expenses
36
Instruments The Trenino
  • What it isnt
  • It is not an instrument to substitute ECHO
    documents
  • It is not an instrument for planning and
    controlling the activity
  • It is not an instrument for controlling expenses
    met in relation to programmed expenses
  • It is not an instrument for integrating
    accounting managing systems adopted by the
    single HOs

37
Instruments the Trenino
  • Contents
  • A summary by topic of the funding information in
    the various FPA documents
  • Specific charts for each budget Article with the
    purpose of
  • Supplying information (cfr. ECHO guidelines)
  • Defining eligible expenses for each Chapter
  • Define the vouchers for each article of expense

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