Transcript egypt-urban.net

Training on
How to Write a Concept Note
for
PDP’s Second Call for Proposals
“Towards better living conditions in
Informal Areas: Improving service delivery
and environmental conditions”
Ministry of Planning
European Union
Page 1
A) Call for Proposals Procedures
Restricted procedure
Two phases
1. Submission of Concept Notes
2. Submission of Full Application
Deadline for the submission of Concept Notes:
• Hand delivery to GIZ PDP on or until! 12th October
2014, before 15:00h Cairo time
• By post: post mark on 12th October 2014
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Publication of Calls: 22
August 2014
Submission of Full
Applications
(deadline to be specified
in letter to shortlisted
applicants) 4 January
2015
Deadline Concept Notes:12
October 2014, 15.00 Cairo
time
Administrative Check 2
Administrative Check 1: 11
November 2014
Evaluation of Full
Applications 4 February
2015
Evaluation of Concept
Notes: 11 November 2014
Short List of Concept Notes
Letters to Applicants:
Pre-selected applicants and
rejection letters
Award 4 March
2015
Letter to
applicants
Pre-selection of Full
Applications
Pre-selected applicants
are invited to submit
supporting documents
proving the eligibility of
applicants, co-applicants
and affiliated entities
Contract
preparation
correspondence +
meeting
Contract Signature
26 March 2015
Eligibility check
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Objectives of the Call
Global Objective:
To improve the living conditions of the poor urban
population living in deprived informal areas, especially
for youth and women, by offering better and sustainable
quality service delivery as well as improved
environment
conditions
through
both
public
administration and civil society organizations including
increased participation of the local community.
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Objectives of the Call
Specific Objectives (1)
• to improve local health care services and to increase
overall health awareness of local community;
• to improve education services, especially for children and
youth and people with special needs in educational
services;
• to improve solid waste management including increased
participation of the local community;
• to improve recreation opportunities for all residents and to
increase the availability and utilization of diversified
community assets and services for the youth;
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Objectives of the Call
Specific Objectives (2)
• to improve transportation and traffic safety (including
safety of pedestrians and other road users);
• to improve environmental conditions (including open
spaces) and to improve knowledge about
environmental challenges of residents as well as
increase the adaptive capacities and resilience of
informal urban areas towards impacts of climate
change
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Four Informal Areas
The actions under this call are designed to benefit
the residents of:
• Ain Shams (Cairo Governorate)
• Ezbet El Nasr (Cairo Governorate)
• El Warraq (Giza Governorate)
• Gezeret El Dahab (Giza Governorate)
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Budget & size of Grants
Available Budget:
• 10.0m EUR
• Includes 1.9m EUR per informal area
• Includes balance of 2.4m EUR allocated to other
highest scoring projects
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Budget & size of Grants
Per each Informal Area:
• Lot 1: Health: €0.4m.
• Lot 2: Education: €0.4m.
• Lot 3: Solid Waste Management: €0.4m.
• Lot 4: Recreation and Youth: €0.3m.
• Lot 5: Transportation: €0.3m.
• Lot 6: Environment and Climate Change: €0.1m.
Total per Informal Area: €1.9m.
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Maximum and Minimum Grants (in euro)
Lot 1
Lot 2
Lot 3
Minimum
10,000
20,000
15,000
Maximum
300,000
300,000
300,000
Lot 4
Lot 5
Lot 6
Minimum
10,000
30,000
10,000
Maximum
300,000
300,000
300,000
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Percentage Funding
• Any grant requested under this Call for Proposals must
fall between the following percentages of total eligible
costs of the action:
• Minimum percentage : 50%
• Maximum percentage : 80%
• The difference between the total costs of the action and
the amount requested must be financed from the
applicant's or co-applicants' own ressources, or from
sources other than the European Union budget or the
European Development Fund
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Eligibility Conditions
• Eligible Applicants - Section 2.1.1, 2.1.2, and 2.1.3;
• Eligible Actions - Section 2.1.4;
• Eligible Costs - Section 2.1.5;
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Eligible Applicants/Co-applicants
• Be legal persons and
• Be non-profit-making and
• Be non-governmental organisations, public sector operators,
international (inter-governmental) organisations and
• Be established in a Member State of the European Union, or in a
country covered by the ENPI and
• Be directly responsible for the preparation and management of
the action with the co-applicants) and affiliated entity(ies) and
• Be registered with the Ministry of Social Solidarity for at least 6
months prior to the Call for Proposals and
• Not be in any of the situations listed in Section 2.1.1 of the
Guidelines for Applicants
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The Main Actors:
Checklist
Comply
with
eligibility
conditions
Signatory
to grant
contract
√
Legally
responsible
√
Participate
Receive
in the action the grant
Applicant
√
√
CoApplicant
√
√
Affiliated
Entities
√
√
Associates
√
Contractors *
√
√
* If contracted by the applicants
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Eligible Actions
What is an action?
• A set of activities with:
• clearly defined objectives, target groups and final beneficiaries
• planned, expected results (tangible), within a limited timeframe.
• Action duration
• Between 6 and 24 months for all lots.
• Geographical coverage
•
Actions must take place in the specified areas in Cairo and Giza
Governorate (see previous slide)
• Other
•
Actions must contribute to one of the specific objectives of the
CFP (Slides 7+8 - see section 1.2. of the Guidelines).
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Eligible Actions
Lot 1 Health:
To improve local health care services and to increase
overall health awareness of local community;
The Action must relate to the following themes:
• Health facilities and services based on the main needs of
the residents;
• Awareness of residents on important health-related issues.
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Eligible Actions
Lot 2 Education:
To improve education services, especially for children
and youth and people with special needs in educational
services;
The Action must relate to the following theme:
• Educational facilities and services, especially for children
and youth and people with special needs in educational
services
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Eligible Actions
Lot 3: Solid Waste Management
To improve solid waste management including increased
participation of the local community
The Action must relate to the following themes:
• Solid waste management in terms of separation, collection,
transportation, recycling and disposal;
• Participation of the local community as an integral part of
the solid waste management cycle
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Eligible Actions
Lot 4 Recreation and Youth :
To improve recreation opportunities for all residents and to increase
the availability and utilization of diversified community assets and
services for the youth;
The Action must relate to the following themes:
• Infrastructure, standards and range of recreation facilities (e.g. local
recreation centres, youth centres);
• Range, accessibility and quality of recreation services and activities,
especially for women;
• Infrastructure, standards and range of community assets (e.g. cultural and
sport facilities) for the youth;
• Availability and utilization of diversified community services for the youth
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Eligible Actions
Lot 5 Transportation:
To improve transportation and traffic safety (including safety of
pedestrians and other road users);
The Action must relate to the following themes:
• infrastructure, standards and range of transportation facilities(incl. streets
and sidewalks);
• public transportation services;
• traffic safety and safety of pedestrians and other road users
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Eligible Actions
Lot 6 Environment and Climate Change Adaptation:
To improve environmental conditions (including open spaces) and to
improve knowledge about environmental challenges of residents as well
as increase the adaptive capacities and resilience of informal urban
areas towards impacts of climate change
The Action must relate to the following themes:
• Improvement of environmental conditions;
• Mitigating greenhouse gas emission (e.g. promotion of renewable energies
and awareness on energy conservation);
• Improvement of resident’s knowledge about environmental challenges;
• Reduction of the areas’ vulnerability to heat stress and other impacts of
climate change on public health, housing, food security, environment, water
provision, local economy and transport infrastructure
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All Actions in the Lots should:
• Directly or indirectly improve the living conditions (including environmental
conditions) of the poor residents living in the four target areas;
• Address the needs and promote active participation of the different community
groups - especially women and youth - during designing and implementing the
project, where appropriate;
• Be gender-sensitive;
• Be sustainable (to guarantee lasting impact after its implementation period);
• Include an adequate enforcement mechanisms, where appropriate;
• Be coherent with existing public and/or private services;
• Establish links and networks with similar service providers to create synergies in
the area of intervention, where appropriate;
• Engage relevant public authorities or partner institutions;
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Ineligible Actions (1)
• 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;
• One-off actions such as conferences, round tables, seminars
or similar events.
• Actions for which the applicant is already receiving funding
e.g. from the governmental budget
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Ineligible Actions (2)
• Actions consisting solely of research actions;
• Actions including commercial activities;
• Actions which are ideologically biased or partisan in
nature;
• Actions focusing solely on the purchase of equipment;
• Actions focusing on vocational training or income
generation activities;
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Ineligible Actions (3)
• Actions consisting solely of the development of
strategies, plans, surveys or other similar documents;
• Infrastructure construction which might damage sites of
special scientific and archaeological interest or other
areas protected by Government legislation;
• General/periodic maintenance of services and works
projects;
• General campaigns, which are not theme specific;
• Actions that have already been awarded under the First
Call for Proposals from the PDP.
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Number of applications and grants per
applicant (1)
• An applicant may not submit more than one
application per lot
• An applicant may not be awarded more than two
grants
• An applicant may at the same time be a co-applicant
or affiliated entity in another application
• A co-applicant may submit a maximum of one
application for each lot under this Call for Proposals
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Number of applications and grants per
applicant (2)
• A co-applicant may not be awarded more than two
(2) grants under this Call for Proposals.
• A co-applicant may be an affiliated entity in another
application at the same time.
• The affiliated entity(ies) may take part in more than
one application
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B) Training on how to write a Concept
Note (Structure)
0. General Comments (Day 1)
1. Summary of the Action (Day 1)
2. Description of the Action (Day 1)
3. Relevance of the Action (Day 2)
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B) Training on how to write a Concept
Note (Structure)
4. Budget of the action (Day 2)
5. Evaluation of the Concept Note (Day 2)
6. How to apply (Day 2)
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0. General Comments
• The Concept Note (CN) does not exceed 5 full pages (A4
size) of Arial 10 characters with 2 cm margins, single line
spacing;
• Typed and written in ENGLISH
• Only the CN will be evaluated so it is of UTMOST
IMPORTANCE that all the important elements regarding
the action are contained therein
• Please follow the “template” in PART A of the Application
Form
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• The CN provides the information as requested in Annex A Grant Application Form;
• Provides full information (as the evaluation grid will be
applied solely on the information in the concept note);
• Is drafted as clearly as possible to enable it to be
evaluated.
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1. Summary of the Action
(Max 1 Page)
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Title of the action:
- Lot:
- Please tick the box corresponding to the
specific lot for which you are applying:
lot 1, 2, 3, 4, 5, 6
- Location(s) of the action:
- specify informal area(s) [country(ies),
region(s)] that will benefit from the action
- Total duration of the action (months):
- EU financing requested (amount)
- EU financing requested as a percentage of
total budget of the Action (indicative)
- Objectives of the action
<EUR /currency of the
Contracting Authority >
%
<Overall objective(s)>
<Specific objective(s)>
- Target group(s)
- Final beneficiaries
- Expected [Estimated] results
- Main activities
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Title of the Project
• Your title should be brief, clear, interesting and unambiguous!
• Think of your title as a mini-abstract: A good title should paint a quick picture for
the reader of the key idea(s) of your project.
• The words you use in your title should clearly reflect the focus of your proposal.
• The most important words should come first, then the less important words.
• Notice that both of the following titles use basically the same words, except in a
different order:
• Title 1 – “Women and the Promotion of Self-Employment
• Title 2 – “Promoting Self-Employment among women”
•
• The project with Title Number 1 appears to be focused on women.
• The project with Title Number 2 appears to be focused on the promotion of selfemployment.
• However, both projects are the same!
• Make sure your words are in the correct order and clearly reflect what your project
is about.
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Location of the action
• In this section you describe the region in which the
project will be implemented and which will benefit from
the project
• It is important to be realistic when deciding the number
and/or size of the region(s).
Duration of the action
• In months
• Make sure your stated duration is in conformity with that
stated in the Guidelines for Applicants.
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EU Financing requested (amount)
• Make sure that the amount requested for the particular lot
is within the limits given in the Guidelines for Applicants
• Make sure it matches the figure given in the first column of
the summary table at the front of the application form
• Be absolutely sure that this does not exceed the maximum
or minimum amounts or the maximum percentage (80%)
specified in the Guidelines for Applicants
• Be aware of co-financing requirements (e.g. 20%; reliability
proof of co-financing; see Guidelines!)
• All the figures you insert in this table should correspond
exactly to those you present in the Budget for the project
• In fact, these figures should only be inserted after you have
completed the budget.
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Objectives of the Action
The Overall Objective
• The overall objective describes the broad and long term
impact on the final beneficiaries your project is
contributing to.
• The overall objective of your project has to reflect one of
the six specific objectives of the 2nd Call for Proposals
(see as well lots 1-6).
• Overall objective is commonly formulated as an
intended change (ideally improvement!): i.e. “Local
health care services in [target area XY] are improved”
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Overall Objective
Important things to remember about the overall objective:
• You cannot achieve the overall objective by your project alone.
Your project will make a contribution towards achieving it.
• At the end of your project you have to measure and prove to
what extent your action contributed to the overall objective. A
predefined indicator for all actions under this CFP is to measure
“the satisfaction of the final beneficiaries with the improved
services”).
• The overall objective should be compatible with your
organisation’s mission statement.
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The specific objective(s)
• The specific objective(s) is/are the development outcome(s)
expected at the end of your project. It is the very concrete
objective of your project.
• The specific objective has to address the core problem(s)
and clearly point out the benefits for the target group(s)
and/or final beneficiaries. For complex projects there can be
more than one specific objective.
• Remember a good specific objective states at least:
• What you want to achieve (your ends)
• Who the target group(s) and/or final beneficiaries are
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Avoid these mistakes
On overall objective level:
• The Project’s overall objective does not reflect one of the six
specific objectives of the 2nd Call for Proposals;
On specific objective level:
• The Project’s specific objective(s) is/are unclear which makes it
difficult for the evaluator to assess its contribution to the
achievement of the overall objective and hence the 2nd Call for
Proposals;
• Lack of coherence between the project’s specific objective(s) and
the identified needs and problems;
• The project’s specific objective(s) is unrealistic and not achievable
during the lifetime of the project;
• The project’s specific objective(s) are formulated as activities, a
very common mistake in the formulation of specific objective(s).
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Expected results (i.e. outputs)
• You need to be brief here but include all the expected
results you specified in the section “Description of the
Action” (under the fourth bullet point).
Main Activities
• List the main activities that you have listed in the
section “Description of the Action” (under the fourth
bullet point).
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Impact Logic
Overall
objectives
The broad and long term impact on the final beneficiaries
your project is contributing to
Specific
objectives
The development outcome(s) expected at the end of your
project. It is the very concrete objective of your project
Expected results
(Outputs)
Activities
The direct measurable results (tangible products and
services) of the project (completely under the projects
management control)
The tasks as which have to be undertaken in order to
produce the expected results of the project and to contribute
to the achievement of specific objectives
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Impact Logic: Example on Lot 1 (Health)
Overall
objectives
Improved health care services in Ezbet el Nasr
Specific
objectives
All staff of 5 health center in Ezbet el Nasr
know how to apply first aid treatment
Expected
results
All staff members of 5 health center in Ezbet el
Nasr are trained on first aid treatment
Activities
Train staff members
(e.g. of a health center)
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“Target Groups”
• These are the groups/entities who will directly
benefit from the action
“Final Beneficiaries”
• These are the residents/entities who will benefit
from the action in the long term
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• The best time to prepare the Summary of Action is
after you have completed the entire project design and
development (and you understand all aspects of your
project very well).
• Try to keep in mind that an assessor will be reviewing
your proposal, and you would like to have this person
being positively convinced with what you have written.
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The Project Summary
This should form a strong impression in the mind of the
assessor.
Work on your Project Summary so that you can avoid giving
the assessor the opportunity to say things like:
• Not an original idea
• Problem is not important
• Rationale is weak
• Objectives (overall and specific) and expected results are
vague and uncertain
• Applicant does not have relevant experience
• Proposal is unfocused.
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2 - Description of the Action
(Max 1 page)
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Description of the Action (max 1 page)
• Give the background to the preparation of the action.
• Explain the objectives (overall and specific) of the action.
• Describe the key stakeholder groups, their attitudes
towards the action and any consultations held with them.
• Briefly state the type of (main) activities proposed and
specify related expected results (outputs), including a
description of linkages/relationships between (main) activity
clusters.
• State the broad timeframe for the action (duration of the
project) and describe any specific factor that has been
taken into account.
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Give the background to the preparation of the Action
• Explain the steps taken to prepare the action (e.g. was the
action developed by an individual or by a committee or
panel with one person doing the writing of the proposal)
• Detail other organisations involved in the development
process and describe the number of meetings held to
discuss project design, etc.
• Projects should be developed with consultation with key
stakeholders and representatives of the target group(s) in a
participatory approach.
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Explain the objectives of the action given in the
table in Section 1.1.
• Elaborate here on the objectives (overall and
specific) referred to in the table in section 1.1
above.
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Describe the key stakeholder groups, their attitudes
towards the action and any consultations held with them
• Stakeholders include every entity having an interest or role
in the project.
• Note: Good practice requires the project to be based on
consultations with stakeholder (incl. interviews, meetings).
• Therefore, in this section explain in what ways you have
already had contact with the stakeholders. Indicate if you
have the support of the stakeholders to move ahead with
the project.
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Briefly state the types of activities proposed and specify related
expected results (outputs), including a description of
linkages/relationships between activity clusters.
• In this section you need to describe what the project will do
(the main activities) that lead to concrete expected results
(outputs) and further on to the achievement of the intended
objective(s).
• Provide a title and brief description of each activity to be
undertaken to produce the results you specified in the table
in 1.1, specifying, in particular, the role of co-applicant(s)
(or associates and/or affiliates) in the implementation of
activities and related expected results (outputs).
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Major mistakes in describing Activities
• No compliance between activities, expected results and
objectives;
• Too many activities for the timeframe;
• Activities are not compatible with governmental
programmes and legal requirements.
• Activities are not clearly described.
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State the broad timeframe for the action and describe any
specific factor that has been taken into account.
• Indicate the duration of the action and the timeframe for the
main activities and related expected results.
• Specific factors that were taken into consideration (e.g.
permissions, special equipment, availability of resources,
risks, coordination with stakeholders, etc.)
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Agenda: Second day
Time
9:00 – 12:00
12:00 – 12:30
Topic and Trainer
Continuation: Training on Concept Note Writing (CN):
Part 3: Relevance of the Action (Slides 58 – 76)
Coffee Break
Room 1
Room 2
12:30 – 13:30
Part 4: Budget of the Action
(Slides 77 – 101)
Part 5: Evaluation of CN
(Slides 102 – 108)
13:30 – 14:30
Part 5: Evaluation of CN
(Slides 102 – 108)
Part 4: Budget of the Action
(Slides 77 – 101)
14:30 – 15:00
Break
15:00 – 16:00
Part 6: How to apply (Slides 109 – 116)
16:00 – 17:00
Lunch
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3. Relevance of the Action
(Max 3 Pages)
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Relevance of the Action
1.1.1 Relevance to the objectives/sectors/themes/specific
priorities of the call for proposals
1.1.2 Relevance to the particular needs and constraints of the
target country/countries, region (s) and/or relevant sectors
(including synergy with other EU initiatives and avoidance of
duplication)
1.1.3. Describe and define the target groups and final
beneficiaries, their needs and constraints and how the action
will address these needs
1.1.4. Particular added-value elements
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1.1.1 Relevance to the
objectives/sectors/themes/specific priorities of the call
for proposals
• Describe the relevance of the action to the objective(s)
and priority(ies) of the call for proposals.
• It is absolutely imperative that the overall and specific
objective(s) of your project are in compliance with the
overall and specific objectives and priorities of the current
call for proposals
• You should clearly identify these from the guidelines for
Applicants in respect of the call for proposals.
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1.1.1 Relevance to the
objectives/sectors/themes/specific priorities of the
call for proposals
• Describe the relevance of the action to any specific
subthemes/sectors/areas and any other specific
requirements stated in the Guidelines for the call.
• Make it clear how your proposed project addresses these
requirements.
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1.1.2 Relevance to the particular needs and constraints
of the target area [country/countries, region (s)] and/or
relevant sectors (including synergy with other EU
initiatives and avoidance of duplication)
• State clearly the specific pre-project situation in the target
area [country/countries, region(s)] and/or sectors (include
quantified data analysis where possible).
• In order to complete this section you will need access to
basic statistics on the situation at both local and, if possible
municipal/district and national level
• However, in the context of your project, the situation at the
level which your project plans to address is the most
important
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1.1.2 Relevance to the particular needs and constraints
of the target area [country/countries, region (s)] and/or
relevant sectors (including synergy with other EU
initiatives and avoidance of duplication)
• Provide a detailed analysis of the problems to be addressed by the
action and how they are interrelated at all levels.
• In this sub-section provide a clear statement of the problem to
show that your proposed project is definitely needed and should be
funded
• You should give an analysis of the target area [region] / target
groups answering the following questions:
- What are the main problems affecting the target group or target region?
- What are the causes of the problems?
- What are the effects of the problems?
- What are the possible solutions?
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1.1.2 Relevance to the particular needs and constraints
of the target area [country/countries, region (s)] and/or
relevant sectors (including synergy with other EU
initiatives and avoidance of duplication)
• In addressing the point above, refer to any significant plans
undertaken at national, regional and/or local level relevant for
the action and describe how the action will relate to such plans.
• Here you should concentrate on the pre-project situation in your
region/district/municipality and check if there are existing
strategies which relate to the issue being addressed by your
project and / or the call for proposals.
• If such strategies exist then explain how your project will
contribute to the implementation of that strategy.
• If no such strategies exist, make this clear in your answer.
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1.1.2 Relevance to the particular needs and constraints
of the target area [country/countries, region (s)] and/or
relevant sectors (including synergy with other EU
initiatives and avoidance of duplication)
• Where the action is the continuation of a previous action
clearly indicate how the proposed action is intended to
build on the activities/results/objectives of this previous
action;
• Refer to main conclusions and recommendations of
evaluations that might have been carried out.
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1.1.3. Describe and define the target groups and final
beneficiaries, their needs and constraints and how the
action will address these needs
a) Give a quantitative and qualitative description of each of the
target groups and final beneficiaries, including selection criteria.
b) Identify the needs and constraints of each of the target groups
and final beneficiaries.
c) Demonstrate the relevance of the proposal to the needs and
constraints of the target groups and final beneficiaries.
d) Explain any participatory process ensuring participation by the
target groups and final beneficiaries.
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Major Mistakes in Writing Section 1.1.3
• Analysis of the problems and needs of the target region and
group (s) is inadequate – superficial, not based on reliable data
sources, etc.
• Project does not address the most pressing needs of the target
groups;
• Target groups not clearly identified or too broad;
• Target groups are ineligible.
• No clear picture about final beneficiaries
• No proof that the target groups and beneficiaries are aware of
the project idea and have expressed expectations /
perceptions, i.e. no evidence of activities conducted to ensure
participation.
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1.1.4. Particular added-value elements
In this section you are asked to indicate any added value elements,
e.g. the promotion or consolidation of public-private partnerships,
innovation and best practice, or other cross-cutting issues such as
environmental issues, promotion of gender equality and equal
opportunities, the needs of people with disabilities, the rights of
minorities and the rights of indigenous peoples.
These could be:
• Implementation of new effective approaches to a certain problem;
• Application of good practice models from other regions or
countries;
• Promotion of gender equality;
• Promotion of equal opportunities for people with disabilities.
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Questions for checking
 Have you included all the key project components?
 Is the level of detail sufficient?
 Are the relations clearly outlined?
 Have you clearly outlined the casual effects?
 Have you properly described all the assumptions and
the pre-conditions?
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Exercise:
Problem Tree Analysis
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Problem identification and analysis
• Problems can be overpowering, so it is important to focus
on a limited number of problem areas which can be
tackled, either in the short term or within a medium term
(depending on the action).
• Problem (or opportunity) analysis can be thought of as
the foundation of the planning process. Serious thinking
at this stage allows potentially effective lines of action to
be opened up.
• Be ware!! It is not easy at this stage to keep potential
solutions separate from the problem definition - but it is
essential.
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Problem tree analysis
A difficulty in defining problems, and later objectives is finding:
• What is the core problem?
• What causes this?
• What effects stem from it?
One technique is to note problems down on cards and then to
arrange them in logical order.
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Effects
Roots
Core Problem
Example of a problem tree related to water supply
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Problem Clarification (1)
The following questions are designed to help you think through
your problem:
1. What is the problem? (write a rough description and underline
key words and phrases)
2. Why is it a problem? What would it look like if it were solved?
3. Whose problem is it? Who owns it?
• Who would be interested in a solution? - name individuals/
organizations who might be willing to put some effort into
finding a solution
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Problem Clarification (2)
4. Where is it a problem? -The whole target area/part of the area
or part of the surrounding district?
5. When is it a problem? Special time? Seasonal?
6. How long has it been a problem? Weeks? months? years?
7. Are you dealing with the real problem? It may be a symptom
of a bigger problem or a solution to a problem. If it is either, go
back to no1 and redefine the problem
8. What would happen if nothing was done about the problem?
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Problem Analysis: Conclusions
• Good problem analysis lays the foundations for effective
planning
• It is worth spending the time to do a problem tree analysis
well as it leads to creative and innovative actions
• Problem or opportunity analysis is not easy to do well, it
requires changes in the way of thinking
• Don't shoot from the hip! Solutions will be developed later
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Budget
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Budget
In the Concept Note, applicants must only provide an
estimate of the amount of contribution and an indicative
percentage of that contribution.
Please be aware that the EU contribution may not vary
from the initial estimate by more than 20%
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Budget
To be able to calculate the EU/GIZ estimate financing you
should:
• Relates activities with expenditures
• Provides information on quantities and value of all needed
inputs
• Costs are grouped by type of expenditures (human
resources, travel, etc.)
• Make a detailed description of activities.
• Prepare a draft estimated budget (The budget is NOT
required at this stage).
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Budget
The draft estimated budget must respect:
• Eligible costs;
• Maximum / minimum project/grant amount;
• Budget heading thresholds;
• Co-financing;
• Budget formatting and equations.
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Eligible Costs
Costs that are:
• Necessary for carrying out the project;
• Comply with the principles of sound financial management
- value for money and cost-effectiveness;
• Incurred by beneficiaries or their partners during the
implementing period for the action (costs for project
preparation are not eligible);
• Must not exceed those normally borne by the Beneficiary
or his partners.
• Backed by originals of supporting documents;
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Eligible Costs
Eligible Direct Expenses:
• 1. Human Resources
• 2. Travel
• 3. Equipment and supplies
• 4. Local office
• 5. Other costs, services
• 6. Other
• 10. Provision for contingency reserve
Eligible Indirect Expenses:
• 8. Administrative costs
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1. Human Resources
1.1 Salaries for local staff & 1.2 Salaries for Expats/Int. Staff:
• Gross figures.
• Should not exceed those normally borne by the beneficiary (proof
is needed).
• Should not exceed 20% of the total eligible costs
1.2 Per diems:
• Per diems cover accommodation, meals and local travel within
the place of the mission and sundry expenses;
• Per diems are calculated per night;
• Respect to the GB’s internal regulations.
• Per diems must not exceed the scales approved by the
European Commission;
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Human Resources Example
Expenses
Unit
# of units
Unit rate
Costs
1. Human Resources
1.1 Salaries (gross amounts, local staff)
1.1.1 Technical
1.1.1.1 Project Manager (100%)
Per Month
24
100
2400
1.1.1.2 Training Coordinator (50%)
Per Month
12
100
1200
Per day
8
10
80
Per month
24
100
2400
1.1.1.3 Field expert
1.1.2 Administrative/ support staff
1.1.2.1 Accountant (100%)
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Human Resources Example
Expenses
Unit
# of units
Unit rate
Costs
1.3 Per diems for missions/travel
1.3.1 Abroad (staff assigned to the Action)
1.3.1.2 Study Tour (5 people x 3 nights)
Per diem
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100
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1500
2. Travel
• The most economical way of transport must be used.
• This is an actual expense and not an allowance.
• Air travel, train travel, bus, metro, taxi, …etc.
# of units
Unit value
(in EUR)
Total Cost
3
(in EUR)
Per flight
5
200
1000
Per month
24
10
240
Unit
2. Travel6
2.1. International travel
2.1.1 Study Tour
2.2 Local transportation
2.2.1 Staff Transportation to El Warraq area
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3. Equipment and Supplies
3. Equipment and supplies
3.1 Purchase of vehicles
Per vehicle
2
5,000
10,000
3.2.1 Laptops
Unit
4
500
2,000
3.2.2 Desks
Unit
20
100
2,000
Unit
1
1,000
1,000
Set
1
200
200
3.2 Furniture, computer equipment
3.3 Machines, tools…
3.3.1 Swing machine
3.4 Spare parts/equipment for machines, tools
3.4.1 Spare parts for swing machines
3.5 Other (please specify)
Subtotal Equipment and supplies
25,200
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3. Equipment and Supplies
• This Budget Heading should include:
1. Purchase or rent of vehicle
2. Furniture, Computer equipment
3. Machines, Tools…
4. Spare parts/equipment for machines, tools…
• All equipment purchased must be necessary for carrying out the
action.
• The description of items must be sufficiently detailed and all items
broken down into their main components.
• The number of units and the unit value must be specified for each
item.
• The amounts or rates used should be estimated based on the fair
market value.
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4. Local Office
This Budget Heading Includes:
• Vehicle costs
• Office rent
• Consumables - office supplies
• Other services
4. Local office
4.1 Vehicle costs
Per month
15
75
1,125
4.2 Office rent
Per month
24
200
4,800
4.3 Consumables - office supplies
Per month
24
100
2,400
4.4 Other services (tel/fax, electricity/heating, maintenance)
Per month
24
85
2,040
Subtotal Local office
10,365
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5. Other Costs, Services
This Budget Heading Includes:
• Publications
• Studies, research
• Expenditure verification/Audit (2%)
• Evaluation costs (≤ 3%)
• Translation, interpreters
• Financial services
• Costs of conferences/seminars
• Visibility actions (1% - 3%)
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5. Other Costs, Services
5. Other costs, services
5.1 Publications
5.1.1 Flyers
5.1.2 Banners
5.2 Studies, research
Unit
Unit
5.2.1 TNA study
5.2.2 Marketing study
5.3 Expenditure verification/Audit
5.4 Evaluation costs
5.5 Translation, interpreters
5.6 Financial services (bank guarantee costs etc.)
5.7 Costs of conferences/seminars9
5.7.1 Management training
5.7.1.1 Hall rent
5.7.1.2 Catering
5.7.1.3 Trainers
5.7.2 Vocational training
5.7.3 Awareness conference
5.8. Visibility actions
Subtotal Other costs, services
1,000
5
1
100
1,000
500
1
1,000
1,000
1
1,000
1,000
Study or
Report
Study or
Report
Report or
Year
Report or
Year
Month
Month
1
2,000
2,000
1
12
24
1,000
100
10
1,000
1,200
240
Day
Event
Day
Trainee
Event
45
15
45
150
4
150
150
100
50
1,000
6,750
2,250
4,500
7,500
4,000
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6. Other
This Budget Heading is for general activities, such as:
• Renovation / Refurbishing.
• Turn Key contracts (activities including inseparable
supplies, services and works).
6. Other
6.1 Refurbishing of schools
school
Subtotal Other
4
4,000
16,000
16,000
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7. Provision for Contingency Reserve
• Maximum of 5% total amount of direct eligible costs
• Can be used only with the prior written authorization of the
Contracting Authority
• Can not be used to reinforce Administrative costs.
8. Administrative costs
• Indirect expenses to cover the administrative overheads
incurred by the Beneficiary for the Action.
• Maximum 7% of total amount of direct eligible costs.
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Ineligible Costs
• Debts and provisions for losses or debts;
• Interest;
• Items already financed in another framework;
• Purchases of land or buildings;
• Currency exchange losses;
• Taxes, including VAT.
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Contributions in kind
• Contributions in kind are not eligible costs;
• They may not be treated as co-financing by the
Beneficiary;
• If included in the budget should be listed separately and
beneficiary is committed towards achieving them;
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Basic Rules (1)
• Budget must cover all eligible costs of the Action, not just
the Contracting Authority's contribution;
• European Community finances a specific percentage of
the total eligible costs rather than a particular part of the
action. There is no need to divide each budget heading by
source of funding (50% – 80%).
• Only Equipment that is necessary for the implementation
of project activities is allowed;
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Basic Rules (2)
• Second hand equipment is usually ineligible.
• All items must be broken down into their individual
components. The number of units for each component
must be specified.
• If staff are not working full time on the Action, the
percentage should be indicated alongside the description
of the item and reflected in the number of units (not the
unit rate).
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Basic Rules (3)
• In budget heading 4 “Local office/Action costs” include
expenses only if premises are rented especially for the Action.
The normal rental and service costs of participating bodies
are administrative expenditure under heading 8 – Administrative
costs.
• In budget heading 5. “Other costs, services” only fully
subcontracted items are given (i.e. if a study is done by
partners costs have to appear in Human resources);
• No lump sums are allowed in budget heading 5. “Other costs,
services”
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Major Mistakes
• Excessive quantities;
• Unrealistic costing;
• Costs put in wrong budget heading;
• Budget includes ineligible costs;
• Thresholds not respected;
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5. Evaluation of the Concept Note
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Concept note evaluation
Score
1
Meaning
Very Poor
2
3
4
5
Poor
Adequate
Good
Very Good
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Concept note evaluation (1):
• Applications will be examined and evaluated by the
Contracting Authority with the possible assistance of
external assessors.
• All actions submitted by applicants will be assessed
according to the following steps and criteria.
• If the examination of the application reveals that the
proposed action does not meet the eligibility criteria stated
in paragraph 2.1 of the Guidelines, the application will be
rejected on this sole basis.
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Concept note evaluation (2):
• Step 1: Opening & Administrative Checks
• The following will be assessed:
• Compliance with the submission deadline. If the deadline has
not been met, the application will automatically be rejected.
• The Concept Note satisfies all the criteria specified in points
1-5 of the Checklist (Section 2 of Part A of the Grant
Application Form). If any of the requested information is
missing or is incorrect, the application may be rejected on that
sole basis and the application will not be evaluated further.
• The Concept Notes that pass the first administrative check will
be evaluated on the relevance and design of the proposed
action.
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Concept note evaluation (3):
Step 2: Concept Note Evaluation
• The Concept Note will receive an overall score out of 50,
using the breakdown in the evaluation grid on the next slides.
• The evaluation will also check on compliance with the
instructions on the Concept Note, which can be found in Part
A of the Application Form.
• The evaluation criteria are divided into headings and
subheadings.
•
Each subheading will be given a score between 1 and 5 as
follows: 1 = very poor; 2 = poor; 3 = adequate; 4 = good; 5 =
very good.
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Concept Note Evaluation (4):
Evaluation Grid
Section in the
concept note
1. Relevance of the action
Comments &
Justification
Scores
Sub-score
1.1 How relevant is the proposal to the objectives and priorities of the
Call for Proposals?*
5x2**
1.2 How relevant to the particular needs and constraints of the target
country is the proposal? (including synergy with other EU initiatives
and avoidance of duplication)
5x2*
1.3 How clearly defined and strategically chosen are those involved
(final beneficiaries, target groups)? Have their needs been clearly
defined? Does the proposal address them appropriately?
5
1.4Does the proposal contain specific added-value elements, such as
5
environmental issues (climate change), promotion of gender equality
and equal opportunities (particularly women and youth), needs of
disabled people, rights of minorities and rights of indigenous peoples,
or innovation and best practices?
Sub-score "1. Relevance of the action“
[* Note: A score of 5 (very good) will only be allocated if the proposal specifically addresses more than the required
minimum number of priorities as indicated in section 1.2 (Objectives of the programme) of these guidelines.]
**these scores are multiplied by 2 because of their importance
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30
Concept Note Evaluation
(5): Evaluation Grid
Section in the
concept note
Comments &
Justification
2. Design of the action
Scores
Sub-score
2.1 How coherent is the overall design of the
action?
In particular, does it reflect the analysis of the
problems involved, take into account
external factors and relevant stakeholders?
5x2**
2.2 Is the action feasible and consistent in
5x2**
relation to the objectives and expected
results?
Sub-score "2. Design of the action “
[* Note: A score of 5 (very good) will only be allocated if the proposal specifically addresses
more than the required minimum number of priorities as indicated in section 1.2 (Objectives of
the programme) of these guidelines.]
**these scores are multiplied by 2 because of their importance
^ Only the Concept Notes which have been given a score of a minimum of 30 points will be
considered for pre-selection.
TOTAL SCORE
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20
50
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6. How to apply?
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How to Apply
Applicants prepare an envelope including:
 Concept Note - one original + 2 copies + electronic version
on CD-ROM (Everything submitted in English)
 Checklist – one original completed
 Applicant declaration – one original completed and signed
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How to Apply
Concept Notes must be submitted in a sealed envelope by:
• registered mail or
• private courier service or
• hand-delivery
Details are in section 2.2.2 of the guidelines for Applicants
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How to Apply
Postal adress :
GIZ
Participatory Development Programme
12 Saleh Ayoub St, 5th floor, apt. 12
11211 Zamalek
Cairo
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How to Apply
The outer envelope must bear the:
1. Reference number of the notice of publication for the Call for
Proposals
2. Title of the Call for proposals
3. Full name of the Applicant
4. Address of the organization
5. Title of the project application
6. Label in English: “NOT TO BE OPENED BEFORE THE OPENING
SESSION”
7. Label in Arabic: “‫”ال يتم فتحه قبل موعد جلسة فتح المظاريف‬.
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Questions?
• Questions about the Call may be sent by e-mail to:
[email protected]
• Deadline to submit questions in writing:
21 September 2014
• Last date on which clarifications are published on the
website:
1 October 2014
• Replies to Frequent Asked Questions (FAQ) will be
published on: http://egypt-urban.net/secondcall/
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Final Tips
• Read the Guidelines very carefully: ALL THE INFORMATION
PRESENTED TODAY IS THERE!!!
• Read the Application Form (Annex A) very carefully
• Read the General Conditions of the draft contract very carefully
• Check the EuropeAid and PDP websites regularly for updates on
Frequently Asked Questions, corrigenda, or modifications to the calendar
• Ensure that your contact details are up to date to facilitate correspondence
• Use the checklist for Concept Note to ensure that you meet all the
administrative requirements
• GIZ PDP cannot advise on the eligibility of applicants, co-applicants,
affiliated entities or actions
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We are awaiting your
project ideas!!
GOOD LUCK
&
THANK YOU!
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