The Sub-Grants Manual – SGM CALL FOR PROPOSALS Call for Proposal Title: Upscaling agricultural technologies to enhance productivity and incomes for smallholder farmers in Kenya Round 2 REFERENCE NUMBER: KALRO/CS APP/ SGS2/2021 Project AgriFI Kenya Support to KALRO for Climate Smart Agricultural Productivity Project (AgriFI Kenya CS APP) Contracting Authority: Kenya Agricultural and Livestock Research Organization (KALRO) Deadline for submission of full application: 17 th March 2021at 5:00 p.m. (East Africa Time)
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The Sub-Grants Manual – SGM
CALL FOR PROPOSALS
Call for Proposal Title: Upscaling agricultural technologies to enhance productivity and
incomes for smallholder farmers in Kenya
Round 2
REFERENCE NUMBER: KALRO/CS APP/ SGS2/2021
Project
AgriFI Kenya Support to KALRO for Climate Smart Agricultural Productivity Project
(AgriFI Kenya CS APP)
Contracting Authority: Kenya Agricultural and Livestock Research Organization
(KALRO)
Deadline for submission of full application: 17th March 2021at 5:00 p.m. (East Africa Time)
1.2 OBJECTIVES OF THE PROGRAMME AND PRIORITY ISSUES .................................. 9 1.2.1 Overall objective of the Action ........................................................................................ 9 1.2.2 Specific Objective ........................................................................................................... 9 1.2.3 Objectives of the call for grant proposals ......................................................................... 9 1.2.4 The priorities of this call for proposals ............................................................................ 10 1.2.5 Expected outputs and impact indicators .......................................................................... 10
1.3 FINANCIAL ALLOCATION PROVIDED BY THE CONTRACTING AUTHORITY ........... 11 1.3.1 Indicative allocation of funds by lot/ geographical distribution ........................................ 11 1.3.2 Size of grants .................................................................................................................. 12
2. RULES FOR THIS CALL OF PROPOSALS .......................................................... 14
2.1 ELIGIBILITY CRITERIA .................................................................................... 14 2.1.1 Eligibility of applicants (i.e. lead applicant and co-applicant(s)) ...................................... 14 2.1.2 Affiliated entities ............................................................................................................ 17 2.1.3 Associates and contractors .............................................................................................. 18 2.1.4 Eligible actions: actions for which an application may be made .......................................19 2.1.5 Eligibility of costs .......................................................................................................... 23 2.1.6 Ethics clauses and Code of Conduct............................................................................... 25
2.2 HOW TO APPLY AND THE PROCEDURES TO FOLLOW ......................................... 26 2.2.1 Application forms .......................................................................................................... 26 2.2.2 Where and how to send applications ............................................................................... 27 2.2.3 Deadline for submission of applications ......................................................................... 28 2.2.4 Further information about applications ........................................................................... 28
2.3 EVALUATION AND SELECTION OF APPLICATIONS ............................................. 29
2.4 SUBMISSION OF SUPPORTING DOCUMENTS FOR PROVISIONALLY SELECTED
There are three sets of eligibility criteria, relating to:
(1) the actors:
The ‘lead applicant’, i.e. the entity submitting the application form (2.1.1),
If any, its co-applicant(s) (where it is not specified otherwise the lead applicant and its
co-applicant(s) are hereinafter jointly referred as ‘applicant(s)’) (2.1.1), and
If any, affiliated entity (ies) to the lead applicant and/or to a co-applicant(s). (2.1.2);
(2) the actions:
Actions for which a grant may be awarded (2.1.4);
(3) the costs:
Types of cost that may be taken into account in setting the amount of the grant (2.1.5).
2.1.1 Eligibility of applicants (i.e. lead applicant and co-applicant(s))
Lead applicant
(1) In order to be eligible for a grant, the lead applicant must:
Be a legal person or an entity without legal personality1 or a natural person and
Be non-profit-making and
Be a specific type of organisation such as: non-governmental organisation, faith
based organization, public sector operator such as, a cooperative society, farmer
association, Common Interest group (CIG), Community based Organization(
CBO), international (inter-governmental) organisation as defined by Article 43 of
1 [Grant applications may be eligible if submitted by entities which do not have legal personality under the applicable national law, on the condition that the representatives of that applicant can prove that they have the capacity to undertake legal obligations on behalf of the applicant, and that they offer financial and operational guarantees equivalent to those provided by legal persons.]
the rules of application of the EU Financial Regulation2 and be established in3 a
Member State of the European Union.
be duly incorporated in Kenya and operating under the applicable Kenya law;
be compliant with all national and local laws and regulations including but not limited
to tax regulation, health and safety and environmental standards;
Note: Government bodies are not eligible to apply as lead applicants. However, they can contribute to
projects as, affiliates or associates.
(2) Potential applicants may not participate in calls for proposals or be awarded grants if they are
in any of the situations listed below:
a) it is bankrupt, subject to insolvency or winding-up procedures, where its assets are being
administered by a liquidator or by a court, where it is in an arrangement with creditors,
where its business activities are suspended, or where it is in any analogous situation arising
from a similar procedure provided for under national laws or regulations;
b) it has been established by a final judgment or a final administrative decision that the
applicant is in breach of its obligations relating to the payment of taxes or social security
contributions in accordance with the law of the country in which it is established, with
those of the country in which the European commission delegation are located or those of
the country of the performance of the contract;
c) it has been established by a final judgment or a final administrative decision that the
economic operator is guilty of grave professional misconduct by having violated applicable
laws or regulations or ethical standards of the profession to which the applicant belongs,
or by having engaged in any wrongful conduct which has an impact on its professional
credibility where such conduct denotes a wrongful intent or gross negligence, including, in
particular, any of the following:
o fraudulently or negligently misrepresenting information required for the
verification of the absence of grounds for exclusion or the fulfilment of selection
criteria or in the performance of a contract;
o entering into agreement with other economic operators with the aim of distorting
competition;
2 [International organisations are international public-sector organisations set up by intergovernmental agreements as well as specialised agencies set up by them; the International Committee of the Red Cross (ICRC) and the International Federation of National Red Cross and Red Crescent Societies are also recognised as international organisations.] 3 To be determined on the basis of the organisation’s statutes, which should demonstrate that it has been established by an instrument governed by the national law of the country concerned and that its head office is located in an eligible country. In this respect, any legal entity whose statutes have been established in another country cannot be considered an eligible local organisation, even if the statutes are registered locally or a ‘Memorandum of Understanding’ has been concluded.
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o attempting to influence the decision-making process of the Sub Granting Authority
during the procurement procedure;
o attempting to obtain confidential information that may confer upon it undue
advantages in the procurement procedure;
If KALRO becomes aware of any situation of exclusion and this situation is confirmed, the relevant
entity will be rejected from the procedure.
Lead applicants, co-applicants, affiliated entities and, in case of legal entities, persons who have
powers of representation, decision-making or control over the lead applicant, the co-applicants and
the affiliated entities are informed that, should they be in one of the situations of early detection
or exclusion listed in section 2.1.1(2) above, personal details (name, given name if natural person,
address, legal form and name and given name of the persons with powers of representation,
decision-making or control, if legal person) may be registered in the early detection and exclusion
system, and communicated to the persons and entities concerned in relation to the award or the
execution of a grant contract.
In ANNEX A2 section 5 of the Full Proposal grant application form (‘declaration(s) by the lead
applicant’), the lead applicant must declare that the lead applicant himself, the co-applicant(s) and
affiliated entity (ies) are not in any of these situations.
The lead applicant may act individually or with co-applicant(s)
If awarded the grant contract, the lead applicant will become the beneficiary identified as the
coordinator. The coordinator is the main interlocutor of the contracting authority. It represents and
acts on behalf of any other co-beneficiary (if any) and coordinate the design and implementation
of the action.
Co-applicant(s)
Co-applicants participate in designing and implementing the action, and the costs they incur are
eligible in the same way as those incurred by the lead applicant.
Co-applicants must satisfy the eligibility criteria as applicable to the lead applicant himself.
Co-applicants must sign the mandate in ANNEX A2 Section 5.2 of the grant application form.
(3) Applicants included in the lists of EU restrictive measures at the moment of the award decision
cannot be awarded the contract4.
If awarded the grant contract, the co-applicant(s) (if any) will become beneficiary (ies) in the action
(together with the coordinator)
4 The updated lists of sanctions are available at www.sanctionsmap.eu.
Please note that the sanctions map is an IT tool for identifying the sanctions regimes. The source of the sanctions
stems from legal acts published in the Official Journal (OJ). In case of discrepancy between the published legal acts
and the updates on the website it is the OJ version that prevails.
The lead applicant and its co-applicant(s) may act with affiliated entity (ies).
Only the following entities may be considered as affiliated entities to the lead applicant and/or to
co-applicant(s):
Only entities having a structural link with the applicants (i.e. the lead applicant or a co-applicant),
in particular a legal or capital link.
This structural link encompasses mainly two notions:
(i) Control, as defined in Directive 2013/34/EU on the annual financial statements,
consolidated financial statements and related reports of certain types of undertakings:
Entities affiliated to an applicant may hence be:
- Entities directly or indirectly controlled by the applicant (daughter companies or first-
tier subsidiaries). They may also be entities controlled by an entity controlled by the
applicant (granddaughter companies or second-tier subsidiaries) and the same applies
to further tiers of control;
- Entities directly or indirectly controlling the applicant (parent companies). Likewise,
they may be entities controlling an entity controlling the applicant;
- Entities under the same direct or indirect control as the applicant (sister companies).
(ii) Membership, i.e. the applicant is legally defined as a e.g. network, federation, association
in which the proposed affiliated entities also participate or the applicant participates in the
same entity (e.g. network, federation, association) as the proposed affiliated entities.
The structural link shall as a general rule be neither limited to the action nor established for the
sole purpose of its implementation. This means that the link would exist independently of the
award of the grant; it should exist before the call for proposals and remain valid after the end of
the action.
By way of exception, an entity may be considered as affiliated to an applicant even if it has a
structural link specifically established for the sole purpose of the implementation of the action in
the case of so-called ‘sole applicants’ or ‘sole beneficiaries’. A sole applicant or a sole beneficiary
is a legal entity formed by several entities (a group of entities) which together comply with the
criteria for being awarded the grant. For example, an association is formed by its members.
What is not an affiliated entity?
The following are not considered entities affiliated to an applicant:
- Entities that have entered into a (procurement) contract or subcontract with an applicant,
act as concessionaires or delegates for public services for an applicant,
- Entities that receive financial support from the applicant,
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- Entities that cooperate on a regular basis with an applicant on the basis of a memorandum
of understanding or share some assets,
- Entities that have signed a consortium agreement under the grant contract (unless this
consortium agreement leads to the creation of a ‘sole applicant’ as described above).
How to verify the existence of the required link with an applicant?
The affiliation resulting from control may in particular be proved on the basis of the consolidated
accounts of the group of entities the applicant and its proposed affiliates belong to.
The affiliation resulting from membership may in particular be proved on the basis of the statutes
or equivalent act establishing the entity (network, federation, association) which the applicant
constitutes or in which the applicant participates.
If the applicants are awarded a grant contract, their affiliated entity(ies) will not become
beneficiary(ies) of the action and signatory(ies) of the grant contract. However, they will
participate in the design and in the implementation of the action and the costs they incur (including
those incurred for implementation contracts and financial support to third parties) may be accepted
as eligible costs, provided they comply with all the relevant rules already applicable to the
beneficiary(ies) under the grant contract.
Affiliated entity(ies) must satisfy the same eligibility criteria as the lead applicant and the co-
applicant(s). They must sign the affiliated entity(ies) statement ANNEX A2 Section 5.3 of the
grant application form.
2.1.3 Associates and contractors
The following entities are not applicants nor affiliated entities and do not have to sign the
‘mandate for co-applicant(s)’ or ‘affiliated entities' statement’:
Associates
Other organisations or individuals may be involved in the action. Such 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
2.1.1. Associates must be mentioned in ANNEX A2 Section 4 of the full application form
— ‘Associates participating in the action’ — of the grant application form.
Contractors
The 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
KALRO and EU procurement rules.
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2.1.4 Eligible actions: actions for which an application may be made
Definition:
An action is composed of a set of activities.
Duration
The initial planned duration of an action may not be lower than 24 months nor exceed 36 months.
Sectors or themes
Themes for the action have been identified in section 1 of this call for proposals.
Location
Actions must take place in one or more of the following counties depending on the business case
that will be made.
Lot
No
Title of the Lot Possible counties Number of
grants
available for
Call 2
1 Disseminate four new high nutrient
rich and high yielding bean varieties
(Angaza, Metameta, Nyota and
Faida)
Makueni, Nyeri,
Nakuru, Kisumu,
Siaya, Bungoma,
Kakamega, Nakuru,
Taita, Bomet, Trans-
Nzoia
2
2 Disseminate three new high
yielding green gram varieties
namely (Ndengu Tosha, Biashara
and Karembo)
Makueni, Machakos,
Kitui and Tharaka
1
3 Disseminate two new grain
amaranth varieties(TerereSmart and
KATGOLD
Makueni, Kitui,
Murang’a, Kiambu,
Homabay, Kisii,
Migori and Nyamira.
1
4 Disseminate a new white sorghum
variety (KM 32 -1) for food and with
high malting quality
Makueni, Machakos,
Kitui, Tharaka Nithi,
Nakuru (Naivasha),
Laikipia, Bungoma,
Kakamega, Kisumu,
Homabay, Bomet,
Siaya
1
5 Disseminate five new cowpea
varieties (Kunde Tumaini, Kunde
Tamu, Faulu, Kunde Soko and Kat-
Kunde) resistant to parasitic weeds.
Makueni, Kitui, Embu
(Mbeere), Machakos,
Nakuru, Baringo, Kilifi,
Taita Taveta and
Kakamega
1
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6 Disseminate integrated Pest
Management (IPM) technologies
for control of fruit fly and seed
weevil in mangoes
Kitui, Tharaka Nithi,
Embu, Kwale,
Makueni, Machakos
2
7 Disseminating integrated
Management technologies for
control of pests and disease losses in
Avocados.
Murang’a, Kiambu,
Embu, Meru, Kisii,
Nyamira, Trans-
Nzoia, Bomet,
Kakamega, and
Vihiga
2
8 Not available for this second Call for Proposal
9 Disseminating improved fish
rearing technologies
Busia, Kisumu,
Homabay, Siaya,
Nyeri, Murang’a,
Kakamega, Vihiga,
Migori, Kirinyaga,
Kilifi, Kwale
2
10 Disseminate small ruminant
technologies
Marsabit, Isiolo,
Garissa, Mandera,
Turkana, Wajir, West
Pokot, Baringo,
Elgeyo Marakwet,
Samburu, Kajiado,
Narok
2
11 Disseminate grass ecotypes for
pasture production, range reseeding
and rehabilitation of degraded
rangeland
Kajiado; Makueni,
Narok, Taita Taveta,
Machakos, Baringo
2
12 Disseminating improved camel
management and production
technologies
Marsabit, Isiolo,
Garissa, Mandera,
Turkana and Wajir,
West Pokot, Baringo
and Elgeyo
Marakwet
2
13 Up-scaling Kalro improved
indigenous chicken
Coast region
(Mombasa, Kwale,
Kilifi, Tana River,
Lamu, Taita Taveta);
Mount Kenya
(Nyandarua, Nyeri,
Laikipia); Kiambu /
3
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Nairobi (Nairobi,
Kiambu, Murang’a;
South rift( Kericho,
Bomet); Nyanza (
Migori, Homa bay,
Kisumu, Siaya, Kisii,
Nyamira; North
Rift(Trans-Nzoia,
Nandi, Uasin Gishu,
Elgeyo Marakwet,
West Pokot);
Western( Kakamega,
Vihiga, Bungoma,
Busia); Upper
Eastern ( Embu,
Meru, Tharaka
Nithi); Lower Eastern
Kenya ( Machakos,
Makueni, Kitui)
Note: Applicants whose application covers wider geographical area (several counties) per lot
have a higher chance of winning. If we have winning applicants sharing the same county or
geographical location per lot, they may be asked to consider working in a different region or
county during the award negotiation stage. This is to avoid duplication of effort.
Types of action
The type of actions supported under this call are elaborated in sections 1.1.3 and 1.2
The following types of action are ineligible:
actions concerned only or mainly with individual sponsorships for participation in
workshops, seminars, conferences and congresses;
actions concerned only or mainly with individual scholarships for studies or training
courses;
Types of activity
The following types of activities will be supported
Mobilization of farmers and stakeholders for upscaling of technologies
Production of dissemination materials
Enhancing farmer access to and use of production inputs
Quality seed production for the released varieties
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Enhancing input availability and use in the value chain
Capacity building on production, management, postharvest management
Organizing growers into farmer Common Interest Groups (CIGs)
Capacity building on collective marketing
Effective linkages of farmers to markets and credit facilities
Dissemination of technologies through on-farm trials, demonstrations and field
days
Establishing/strengthening and operationalize innovation platforms in specific
value chains
Enhancing value addition, nutritional security and job creation in the specific
product value chain
Agribusiness development along specific value chains
Promote farmer to farmer learning exchange tours
Planning, monitoring, evaluation and reporting on project deliverables (indicators)
Sustainable natural resource utilization and management
Documentation of lessons learnt
Financial support to third parties5
Applicants shall not propose financial support to third parties.
Under this call, financial support to third parties is not considered essential to achieve the objective
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 2.1.1 of the grant application form:
(i) the overall objectives, the specific objective(s) and the outputs6 (i.e. the results) to be
achieved with the financial support
(ii) the different types of activities eligible for financial support, on the basis of a fixed
list
(iii) the types of persons or categories of persons which may receive financial support
(iv) the criteria for selecting these entities and giving the financial support
5 These third parties are neither affiliated entity(ies) nor associates nor contractors. 6 As per OECD DAC definition, the term ‘results’ includes: ‘impact’ (overall objective), ‘outcome(s)’ (specific objective(s) and ‘output(s)’.
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(v) the criteria for determining the exact amount of financial support for each third entity,
and
(vi) the maximum amount which may be given.
In all events, the mandatory conditions set above for giving financial support (points (i) to (vi))
have to be strictly defined in the grant contract as to avoid any exercise of discretion.]
Visibility
The applicants must take all necessary steps to publicise the fact that the European Union has
financed or co-financed the action. As far as possible, 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 of the reasons for the action and the EU support
for the action in the country or region concerned, as well as the results and the impact of this
support.
Applicants must comply with the objectives and priorities and guarantee the visibility of the EU
financing (see the Communication and Visibility Manual for EU external actions specified and
published by the European Commission at http://ec.europa.eu/europeaid/funding/communication-
and-visibility-manual-eu-external-actions_en).
Number of applications and grants per applicants / affiliated entities
a) The lead applicant may not submit more than one application per lot under this call for
proposals.
b) The lead applicant may not be awarded more than three grant(s) under this call for
proposals.
c) The lead applicant may not be a co-applicant or an affiliated entity in another application
of the same lot at the same time.
d) A co-applicant/affiliated entity may not be the co-applicant or affiliated entity in more than
one application per lot under this call for proposals.
e) A co-applicant/affiliated entity may not be awarded more than one grant per lot under this
call for proposals.
f) Those entities already awarded sub-grants in the first call for proposals( Call 1) will qualify for up
to a maximum of three sub-grants inclusive of those already received, and subject to the above
preceding conditions (a, b, c, d, and e above)
2.1.5 Eligibility of costs
Only ‘eligible costs’ can be covered by a grant. The categories of costs that are eligible and non-
eligible are indicated below.
Eligible direct costs
Eligible costs must satisfy the following criteria:
This obligation does not apply to secondary and higher education establishments.
3. A copy of the lead applicant’s latest accounts (the profit and loss account and the balance
sheet for the last financial year for which the accounts have been closed)9. A copy of the
latest account is neither required from (if any) the co-applicant(s) nor from (if any) affiliated
entity(ies)).
4. Legal entity sheet (see Annex D of these guidelines) duly completed and signed by each of
the applicants (i.e. by the lead applicant and (if any) by each co-applicant), accompanied by
the justifying documents requested there. If the applicants have already signed a contract
with the contracting authority, instead of the legal entity sheet and supporting documents,
the legal entity number may be provided, unless a change in legal status occurred in the
meantime.]
5. A financial identification form of the lead applicant (not from co-applicant(s)) conforming
to the model attached as Annex E of these guidelines, certified by the bank to which the
payments will be made. This bank should be located in the country where the lead applicant
7 Where the lead applicant and/or a co-applicant(s) and or an affiliated entity(ies) is a public body created by a law, a copy of the said law must be provided. 8 To be inserted only where the eligibility conditions have not changed from one call for proposals to the other. 9 This obligation does not apply to natural persons who have received a scholarship or that are in most need in receipt of direct support, nor to public bodies and to international organisations. It does not apply either when the accounts are in practice the same documents as the external audit report already provided pursuant to Section 2.4.2.