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How to Write a Concept Note

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Presentation on theme: "How to Write a Concept Note"— Presentation transcript:

1 How to Write a Concept Note
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

2 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 , before 15:00h Cairo time By post: post mark on 12th October 2014 Participatory Development Programme in Urban Areas

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

4 Participatory 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. Participatory Development Programme in Urban Areas

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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; Participatory Development Programme in Urban Areas

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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 Participatory Development Programme in Urban Areas

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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) Participatory Development Programme in Urban Areas

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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 Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

10 Maximum and Minimum Grants (in euro)
Lot 1 Lot 2 Lot 3 Minimum 10,000 20,000 15,000 Maximum 300,000 Lot 4 Lot 5 Lot 6 Minimum 10,000 30,000 Maximum 300,000 Participatory Development Programme in Urban Areas

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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 Participatory Development Programme in Urban Areas

12 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; Participatory Development Programme in Urban Areas

13 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 of the Guidelines for Applicants Participatory Development Programme in Urban Areas

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The Main Actors: 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 * * If contracted by the applicants Participatory Development Programme in Urban Areas

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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 see section 1.2. of the Guidelines). Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

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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 Participatory Development Programme in Urban Areas

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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 Participatory Development Programme in Urban Areas

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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 Participatory Development Programme in Urban Areas

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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 Participatory Development Programme in Urban Areas

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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 Participatory Development Programme in Urban Areas

22 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; Participatory Development Programme in Urban Areas

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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 Participatory Development Programme in Urban Areas

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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; Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

26 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 Participatory Development Programme in Urban Areas

27 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 Participatory Development Programme in Urban Areas

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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) Participatory Development Programme in Urban Areas

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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) Participatory Development Programme in Urban Areas

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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 Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

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1. Summary of the Action (Max 1 Page) Participatory Development Programme in Urban Areas

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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) <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 Participatory Development Programme in Urban Areas

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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 Participatory Development Programme in Urban Areas

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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). In months Make sure your stated duration is in conformity with that stated in the Guidelines for Applicants. Duration of the action Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

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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” Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

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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 Participatory Development Programme in Urban Areas

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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). Participatory Development Programme in Urban Areas

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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). Participatory Development Programme in Urban Areas

42 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 The direct measurable results (tangible products and services) of the project (completely under the projects management control)   Expected results (Outputs) 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 Activities Participatory Development Programme in Urban Areas

43 Impact Logic: Example on Lot 1 (Health)
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) Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

47 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. Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

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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). Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

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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.) Participatory Development Programme in Urban Areas

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Agenda: Second day Participatory Development Programme in Urban Areas

56 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) Describe and define the target groups and final beneficiaries, their needs and constraints and how the action will address these needs Particular added-value elements Participatory Development Programme in Urban Areas 57

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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. Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

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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 Participatory Development Programme in Urban Areas

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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? Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

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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? Participatory Development Programme in Urban Areas

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Exercise: Problem Tree Analysis Participatory Development Programme in Urban Areas

69 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. Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

71 Example of a problem tree related to water supply
Effects Core Problem Roots Participatory Development Programme in Urban Areas

72 Problem Clarification (1)
The following questions are designed to help you think through your problem: What is the problem? (write a rough description and underline key words and phrases) Why is it a problem? What would it look like if it were solved? 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 Participatory Development Programme in Urban Areas

73 Problem Clarification (2)
Where is it a problem? -The whole target area/part of the area or part of the surrounding district? When is it a problem? Special time? Seasonal? How long has it been a problem? Weeks? months? years? 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 What would happen if nothing was done about the problem? Participatory Development Programme in Urban Areas

74 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 Participatory Development Programme in Urban Areas

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Budget Participatory Development Programme in Urban Areas

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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% Participatory Development Programme in Urban Areas

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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). Participatory Development Programme in Urban Areas

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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. Participatory Development Programme in Urban Areas

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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; Participatory Development Programme in Urban Areas

80 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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83 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 Project Manager (100%) Per Month 24 100 2400 Training Coordinator (50%) 12 1200 Field expert Per day 8 10 80 1.1.2 Administrative/ support staff Accountant (100%) Per month Participatory Development Programme in Urban Areas

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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) Study Tour (5 people x 3 nights) Per diem 15 100 1500 Participatory Development Programme in Urban Areas

86 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. Travel6 Unit # 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

87 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 20 100 3.3 Machines, tools… 3.3.1 Swing machine 1 1,000 3.4 Spare parts/equipment for machines, tools 3.4.1 Spare parts for swing machines Set 200 3.5 Other (please specify) Subtotal Equipment and supplies 25,200 Participatory Development Programme in Urban Areas

88 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. Participatory Development Programme in Urban Areas

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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 24 200 4,800 4.3 Consumables - office supplies 100 2,400 4.4 Other services (tel/fax, electricity/heating, maintenance) 85 2,040 Subtotal Local office 10,365 Participatory Development Programme in Urban Areas

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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%) Participatory Development Programme in Urban Areas

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5. Other Costs, Services 5. Other costs, services 5.1 Publications 5.1.1 Flyers Unit 1,000 1 5.1.2 Banners 5 100 500 5.2 Studies, research 5.2.1 TNA study Study or Report 5.2.2 Marketing study 5.3 Expenditure verification/Audit Report or Year 2,000 5.4 Evaluation costs 5.5 Translation, interpreters Month 12 1,200 5.6 Financial services (bank guarantee costs etc.) 24 10 240 5.7 Costs of conferences/seminars9 5.7.1 Management training Hall rent Day 45 150 6,750 Catering Event 15 2,250 Trainers 4,500 5.7.2 Vocational training Trainee 50 7,500 5.7.3 Awareness conference 4 4,000 5.8. Visibility actions Subtotal Other costs, services 32,940 Participatory Development Programme in Urban Areas

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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 4 4,000 16,000 Subtotal Other Participatory Development Programme in Urban Areas

93 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. Participatory Development Programme in Urban Areas

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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; Participatory Development Programme in Urban Areas

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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; Participatory Development Programme in Urban Areas

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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). Participatory Development Programme in Urban Areas

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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” Participatory Development Programme in Urban Areas

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Major Mistakes Excessive quantities; Unrealistic costing; Costs put in wrong budget heading; Budget includes ineligible costs; Thresholds not respected; Participatory Development Programme in Urban Areas

100 5. Evaluation of the Concept Note
Participatory Development Programme in Urban Areas

101 Concept note evaluation
Score Meaning 1 Very Poor 2 Poor 3 Adequate 4 Good 5 Very Good Participatory Development Programme in Urban Areas

102 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. Participatory Development Programme in Urban Areas

103 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 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. Participatory Development Programme in Urban Areas

104 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. Participatory Development Programme in Urban Areas

105 Concept Note Evaluation (4): Evaluation Grid
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? 1.4 Does 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? 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 Participatory Development Programme in Urban Areas

106 Concept Note Evaluation (5): Evaluation Grid
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? 2.2 Is the action feasible and consistent in 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. 50 TOTAL SCORE Participatory Development Programme in Urban Areas

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6. How to apply? Participatory Development Programme in Urban Areas

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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 Participatory Development Programme in Urban Areas

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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 of the guidelines for Applicants Participatory Development Programme in Urban Areas

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How to Apply Postal adress : GIZ Participatory Development Programme 12 Saleh Ayoub St, 5th floor, apt Zamalek Cairo Participatory Development Programme in Urban Areas

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How to Apply The outer envelope must bear the: Reference number of the notice of publication for the Call for Proposals Title of the Call for proposals Full name of the Applicant Address of the organization Title of the project application Label in English: “NOT TO BE OPENED BEFORE THE OPENING SESSION” Label in Arabic: “لا يتم فتحه قبل موعد جلسة فتح المظاريف”. Participatory Development Programme in Urban Areas

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Questions? Questions about the Call may be sent by to: Deadline to submit questions in writing: 21 September 2014 Last date on which clarifications are published on the website: October 2014 Replies to Frequent Asked Questions (FAQ) will be published on: Participatory Development Programme in Urban Areas

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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 Participatory Development Programme in Urban Areas

114 We are awaiting your project ideas!!
GOOD LUCK & THANK YOU! Participatory Development Programme in Urban Areas


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