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Page 1
Ministry of Planning
European Union
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”
Page 2Participatory Development Programme in Urban Areas
A) Call for Proposals ProceduresRestricted 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
Page 3
Deadline Concept Notes:12 October 2014, 15.00 Cairo time
Administrative Check 1: 11 November 2014
Evaluation of Concept Notes: 11 November 2014
Short List of Concept Notes
Letters to Applicants:
Pre-selected applicants and rejection letters
Evaluation of Full Applications 4 February 2015
Publication of Calls: 22 August 2014
Pre-selection of Full Applications
Pre-selected applicants are invited to submit supporting documents proving the eligibility of applicants, co-applicants and affiliated entities
Eligibility check
Award 4 March 2015
Letter to applicants
Contract preparation correspondence + meeting
Contract Signature
26 March 2015
Submission of Full Applications (deadline to be specified in letter to shortlisted applicants) 4 January 2015
Administrative Check 2
Page 4Participatory Development Programme in Urban Areas
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.
Page 5Participatory Development Programme in Urban Areas
Objectives of the CallSpecific 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;
Page 6Participatory Development Programme in Urban Areas
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
Page 7Participatory Development Programme in Urban Areas
Four Informal AreasThe 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)
Page 8Participatory Development Programme in Urban Areas
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
Page 9Participatory Development Programme in Urban Areas
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.
Page 10Participatory Development Programme in Urban Areas
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
Page 11Participatory Development Programme in Urban Areas
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
Page 12Participatory Development Programme in Urban Areas
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;
Page 13Participatory Development Programme in Urban Areas
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
Page 14Participatory Development Programme in Urban Areas
The Main Actors:
* If contracted by the applicants
Checklist Comply with eligibility conditions
Signatory to grant contract
Legally responsible
Participate in the action
Receive the grant
Applicant √ √ √ √ √
Co- Applicant
√ √
Affiliated Entities
√ √
Associates √
Contractors * √
Page 15Participatory Development Programme in Urban Areas
Eligible ActionsWhat 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).
Page 16Participatory Development Programme in Urban Areas
Eligible ActionsLot 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.
Page 17Participatory Development Programme in Urban Areas
Eligible ActionsLot 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
Page 18Participatory Development Programme in Urban Areas
Eligible ActionsLot 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
Page 19Participatory Development Programme in Urban Areas
Eligible ActionsLot 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
Page 20Participatory Development Programme in Urban Areas
Eligible ActionsLot 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
Page 21Participatory Development Programme in Urban Areas
Eligible ActionsLot 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
Page 22Participatory Development Programme in Urban Areas
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;
Page 23Participatory Development Programme in Urban Areas
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
Page 24Participatory Development Programme in Urban Areas
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)
Participatory Development Programme in Urban Areas
• 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.
Page 26Participatory Development Programme in Urban Areas
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
Page 27Participatory Development Programme in Urban Areas
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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Page 30Participatory Development Programme in Urban Areas
• 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
0. General Comments
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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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Page 33Participatory Development Programme in Urban Areas
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)<EUR /currency of the Contracting Authority >
- EU financing requested as a percentage of total budget of the Action (indicative)
%
- Objectives of the action <Overall objective(s)><Specific objective(s)>
- Target group(s)- Final beneficiaries- Expected [Estimated] results- Main activities
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• 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 self-
employment. • However, both projects are the same! • Make sure your words are in the correct order and clearly reflect what your project
is about.
Title of the Project
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• 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).
• In months • Make sure your stated duration is in conformity with that
stated in the Guidelines for Applicants.
Participatory Development Programme in Urban Areas
Location of the action
Duration of the action
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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 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”
The Overall Objective
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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.
Overall Objective
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• 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
The specific objective(s)
Participatory Development Programme in Urban Areas
Page 40Participatory Development Programme in Urban Areas
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
Participatory Development Programme in Urban Areas
The direct measurable results (tangible products and services) of the project (completely under the projects management control)
Overall objectives
Specific objectives
Expected results (Outputs)
ActivitiesThe 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
The development outcome(s) expected at the end of your project. It is the very concrete objective of your project
The broad and long term impact on the final beneficiaries your project is contributing to
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Impact Logic: Example on Lot 1 (Health)
Participatory Development Programme in Urban Areas
Overall objectives
Specific objectives
Expected results
Activities
Improved health care services in Ezbet el Nasr
All staff of 5 health center in Ezbet el Nasr know how to apply first aid treatment
All staff members of 5 health center in Ezbet el Nasr are trained on first aid treatment
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
Participatory Development Programme in Urban Areas
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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 SummaryThis 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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• 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.
Participatory Development Programme in Urban Areas
Description of the Action (max 1 page)
Page 49
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
Participatory Development Programme in Urban Areas
Time Topic and Trainer
9:00 – 12:00 Continuation: Training on Concept Note Writing (CN):
Part 3: Relevance of the Action (Slides 58 – 76)
12:00 – 12:30 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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Page 57Participatory Development Programme in Urban Areas
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
Relevance of the Action
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• 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
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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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• 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:
Participatory Development Programme in Urban Areas
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)
- 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?
Page 68Participatory Development Programme in Urban Areas
Exercise:Problem Tree Analysis
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Problem identification and analysis
Participatory Development Programme in Urban Areas
• 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
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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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Example of a problem tree related to water supply
Participatory Development Programme in Urban Areas
Co
re P
rob
lem
Ro
ots
Eff
ects
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Problem Clarification (1)
Participatory Development Programme in Urban Areas
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)
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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
Participatory Development Programme in Urban Areas
• 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
Participatory Development Programme in Urban Areas
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
Participatory Development Programme in Urban Areas
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
Participatory Development Programme in Urban Areas
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
Participatory Development Programme in Urban Areas
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 CostsEligible 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 Resources1.1 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
1.1.1.3 Field expert Per day 8 10 80
1.1.2 Administrative/ support staff
1.1.2.1 Accountant (100%) Per month 24 100 2400
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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 15 100 1500
Human Resources Example
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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.
2. Travel6Unit # of units Unit value
(in EUR)Total Cost(in EUR)3
2.1. International travel
2.1.1 Study Tour Per flight 5 200 1000
2.2 Local transportation
2.2.1 Staff Transportation to El Warraq area Per month 24 10 240
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3. Equipment and Supplies
Participatory Development Programme in Urban Areas
3. Equipment and supplies
3.1 Purchase of vehicles Per vehicle 2 5,000 10,000
3.2 Furniture, computer equipment
3.2.1 Laptops Unit 4 500 2,000
3.2.2 Desks Unit 20 100 2,000
3.3 Machines, tools…
3.3.1 Swing machine Unit 1 1,000 1,000
3.4 Spare parts/equipment for machines, tools
3.4.1 Spare parts for swing machines Set 1 200 200
3.5 Other (please specify)
Subtotal Equipment and supplies 25,200
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3. Equipment and Supplies
Participatory Development Programme in Urban Areas
• This Budget Heading should include:1. Purchase or rent of vehicle2. Furniture, Computer equipment3. 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
Participatory Development Programme in Urban Areas
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
Participatory Development Programme in Urban Areas
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
Participatory Development Programme in Urban Areas
5. Other costs, services
5.1 Publications 5.1.1 Flyers Unit 1,000 1 1,0005.1.2 Banners Unit 5 100 500
5.2 Studies, research
5.2.1 TNA studyStudy or Report 1 1,000 1,000
5.2.2 Marketing studyStudy or Report 1 1,000 1,000
5.3 Expenditure verification/AuditReport or
Year 1 2,000 2,000
5.4 Evaluation costsReport or
Year 1 1,000 1,0005.5 Translation, interpreters Month 12 100 1,2005.6 Financial services (bank guarantee costs etc.) Month 24 10 240
5.7 Costs of conferences/seminars9 5.7.1 Management training
5.7.1.1 Hall rent Day 45 150 6,7505.7.1.2 Catering Event 15 150 2,2505.7.1.3 Trainers Day 45 100 4,500
5.7.2 Vocational training Trainee 150 50 7,5005.7.3 Awareness conference Event 4 1,000 4,000
5.8. Visibility actions
Subtotal Other costs, services 32,940
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6. Other
Participatory Development Programme in Urban Areas
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 4 4,000 16,000
Subtotal Other 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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• 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”
Basic Rules (3)
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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
Participatory Development Programme in Urban Areas
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Concept note evaluation
Participatory Development Programme in Urban Areas
Score Meaning
1 Very Poor
2 Poor
3 Adequate
4 Good
5 Very Good
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Concept note evaluation (1):
Participatory Development Programme in Urban Areas
• 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):
Participatory Development Programme in Urban Areas
• 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):
Participatory Development Programme in Urban Areas
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
Participatory Development Programme in Urban Areas
Scores Comments & Justification
Section in the concept note
30 Sub-score 1. Relevance of the action
5x2** 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)
5 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 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?
30 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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Scores Comments & Justification
Section in the concept note
20 Sub-score 2. Design of the action
5x2** 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 relation to the objectives and expected results?
20 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.
50 TOTAL SCORE
Concept Note Evaluation (5): Evaluation Grid
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6. How to apply?
Participatory Development Programme in Urban Areas
Page 108Participatory Development Programme in Urban Areas
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 ApplyConcept 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 ApplyThe 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: “ المظاريف فتح جلسة موعد قبل فتحه يتم .”ال
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Questions?• Questions about the Call may be sent by e-mail to:
• 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/
Page 113Participatory Development Programme in Urban Areas
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
Page 114Participatory Development Programme in Urban Areas
We are awaiting your project ideas!!
GOOD LUCK &
THANK YOU!