Preparing a project proposal

1
Call for Proposals 2006
Preparing a project proposal
2
New Guidelines, rules and regulations (1)

• Updated Practical Guide, 1 February 2006
• Practical Guide to Contract Procedures for EC
  external actions
• explains the contracting procedures applying to
  all EC external aid contracts financed from the
  European Communities general budget (Budget) and
  the European Development Fund (EDF)
• New Practical Guide and Annexes available on
• www.ec.europa.eu/comm/europeaid/tender/practical_
  guide_2006/ index_en.htm

3
New Guidelines, rules and regulations (2)

• The Untying Regulations
• December 2005 two new EC Regulations
• They amend the eligibility provisions contained
  in existing Community instruments.
• For more information on untying of aid, please
  see
• www.ec.europa.eu/comm/europeaid/tender/gestion/th
  ematic_fiche_ untying_en.pdf

4
Application process
Publish Call for Proposals Asia-Link Call 2006
EuropeAid/123738/C/ACT/Multi
Receipt of Application Concept Note Deadlines
for submission of proposals 19 October
2006 Letter of acknowledgement to applicants
HQ EC Delegations share evaluation
Technical Evaluation of Concept Note Letter of
rejection to unsuccessful applicants
Technical Financial Evaluation of selected
full Application Letter of rejection to
unsuccessful applicants Letter requesting
supporting documents to provisionally successful
applicants
Administrative Eligibility Compliance Letter of
rejection to unsuccessful applicants
Projects recommended for funding Notification of
successful applicants
EC Delegations prepare and manage contracts
Preparation and signing of contracts
Project Implementation
5
Project management by Delegations

• Since 2001, management of aid projects
  transferred to Delegations
• "Anything that can be better managed and decided
  on the spot, close to what is happening on the
  ground, should not be managed or decided in
  Brussels"
• Headquarters keeps overall responsibility for
  programme management. Grant contract preparation
  management is done by Delegations
• HQ and Delegations now share the responsibility
  of evaluation of projects.

6
Partnerships

• Partnerships
• minimum of FOUR partners
• 2 from different European countries
• 2 from different Asian countries
• optimum size will achieve the project objectives
  in the most cost-effective way
• Associates
• play a supplementary but real role in the project
• may not receive funding from the grant, with the
  exception of per diem and travel costs.
• must be from an eligible European/Asian country
  or from the following non-eligible countries or
  territories Brunei Darussalam, Chinese Taipei,
  Hong Kong, Japan, Macao, Singapore, South Korea.
• Subcontractors
• contracted to implement tasks within the project
• must conform to the EC sub-contracting rules
• Total sub-contracted amount 10 of total
  eligible costs
• Attention to eligibility rules!

7
Before applying

• PREPARATION
• Familiarise yourself with the programme
• Web site, FAQs, Project Fact Sheets
• Review open Call for Proposals and associated
  Guidelines for Applicants (including Annexes)
• Determine the next deadline for application
• Form an eligible partnership based on a project
  idea
• Partner Search Facility
• Ensure applicants and partners eligibility
• Respect the minimum requirements and eligible
  activities and costs

8
What to submit

• CONCEPT NOTE FULL APPLICATION FORM
• (ANNEX A)
• Concept Note
• 4 sections (1) Summary of action (2) Relevance
  (3) Methodology Sustainability (4) Expertise
  Operational Capacity
• 1 page per section, 4 pages maximum

ONE ORIGINAL, ONE COPY, ONE ELECTRONIC VERSION

• Full Application Form
• 7 Sections (I) Action (II) Applicant (III)
  Partners (IV) Associates (V) Checklist (VI)
  Declaration by Applicant (VII) Assessment Grid
• Partnership Statements for all partners
• Sworn Statement by the Applicant

• following completed Annexes to the Guidelines
• Budget (Annex B to the Guidelines) Budget
  justification
• Logical Framework (Annex C to the Guidelines)

• N.B.
• Annex D (Legal entity sheet) and Annex E
  (Financial ID Form) will only be requested
  if a proposal has been
  provisionally selected.
• Annex F (Standard Grant Contract) and Annex G
  (Daily allowance rate) are provided
  for information purposes
  and should not be returned.

9
Evaluation grids

• SUPPORT TOOLS PROVIDED IN THE GUIDELINES
• Evaluation grid for the Concept Note
• Maximum total score 50 points
• Relevance (25 points)
• Methodology and Sustainability (15 points)
• Operational Capacity Expertise (10 points)
• Evaluation grid for the Application Form
• Maximum total score 100 points
• Relevance (25 points)
• Financial Operational Capacity (20 points)
• Methodology (25 points)
• Sustainability (15 points)
• Budget Cost Effectiveness (15 points)

10
Concept note (part of Annex A)

• Summarises the main sections of Full Application
  Form
• Requires careful preparation (used to perform the
  first evaluation)
• Max 1 page per section, font size Arial 10 or
  bigger
• Relevance section is particularly important
• Refer to the Country Strategy Papers and priority
  sectors http//ec.europa.eu/comm/external_relatio
  ns/sp/index.htm
• Demonstrate how project fits into local and
  regional context
• Initial feasibility study should have taken place
  and should be reflected in description of
  problems to be resolved and needs to be met.
• Regional dimension of the project must be
  demonstrated.
• Bi-directional nature, ie of benefit to Asia and
  to Europe.

11
Application form (part of Annex A)

• I. THE ACTION
• 1. Description (incl. objectives, justification,
  activities, methodology and action plan)
• 2. Expected Results
• 3. Budget
• 4. Expected Sources of Funding
• II. THE APPLICANT
• III. THE PARTNERS
• IV. THE ASSOCIATES
• V. THE CHECKLIST
• VI. DECLARATION BY THE APPLICANT
• VII. ASSESSMENT GRID
• (for the use of the contracting authority only)

12
Application form (part of Annex A)

• THE ACTION, OBJECTIVES (section 1.5), max. 1
  page
• Overall objective(s)
• Explain general objective and why the project is
  important to the target group, in terms of the
  longer-term benefits
• Will not be achieved by the project alone the
  project will only provide a contribution to the
  achievement of the overall objective(s)
• Specific objective
• Explain what is to be achieved by implementing
  the project.
• Specific objective should address the core
  problem, and be defined in terms of sustainable
  benefit for the target groups.
• There should only be one specific objective.

13
Application form (part of Annex A)

• THE ACTION, JUSTIFICATION (section 1.6), max. 3
  pages
• Relevance of the project to the
  objectives/priorities of the Programme
• Identification of perceived needs and constraints
  in the target countries Who is the project aimed
  at? Who ultimately benefits from it? Numbers?
• Description of target groups final
  beneficiaries with estimated number background
  current, pre-project situation importance of
  project in context of the target
  regions/countries.
• Reasons for the selection of the target groups
  identification of their needs and constraints.
  How does the action contribute? Thorough
  understanding of needs and constraints must be
  demonstrated. Pre-feasibility study to be used
  for that purpose.

14
Application form (part of Annex A)

• THE ACTION, ACTIVITIES (section 1.7), max. 9
  pages
• WHAT activities will be carried out?
• Step by step approach (tasks) eg. Activity 1, 2,
  3 etc
• Include the title and a detailed description of
  each activity
• Provide narrative detail
• Who, what, where, when
• including means of each activity (materials,
  personnel)
• deliverables of each activity (outputs)
• Cross-cutting between components adds value to
  the project
• Correspond to Plan of Action
• Allow for cross-check with Budget

15
Application form (part of Annex A)

• THE ACTION, ACTIVITIES (section 1.7), continued
• Selection criteria for target groups/participants
  (must be described in proposal)
• Kick- off meeting between partners
• Partnership agreement
• Communication strategy (internal and external)
• Visit to other Asia-Link projects
• Monitoring and evaluation activities by managers
• On-site project manager

16
Application form (part of Annex A)

• THE ACTION, METHODOLOGY (section 1.8), max. 4
  pages
• HOW will implementation be carried out?
• Not scientific methodology !
• Participatory Approach must be demonstrated
• Methods of implementation reasons for the
  proposed methodology Management structure,
  information flow, decision making
• How the project intends to build on a previous
  project or previous activities (where applicable)
• If part of a larger programme, how does it fit or
  is coordinated with this programme. What
  potential synergies (especially with other EC
  initiatives)?

17
Application form (part of Annex A)

• THE ACTION, METHODOLOGY continued
• Procedures for follow up and internal/external
  evaluation
• Monitoring of projects actual achievements vs.
  and original proposal (use OVIs in Logical
  Framework).
• Updating of LFM
• Reporting (internal and to Commission)
• Internal and/or external (ie sub-contracted)
  evaluation is recommended
• Role of various actors in the project
• Balanced involvement among partners
• Team proposed for implementation of the project
• Number, role and origin of people
• Project co-ordinator must be a member of the
  staff of Applicant HEI
• Main means proposed (HR, equipment etc.)

18
Application form (part of Annex A)

• THE ACTION, DURATION AND ACTION PLAN (section
  1.9)
• Complete according to the example provided
• Do not mention actual dates month 1, month 2
  etc
• Ensure that ALL activities from the description
  of activities appear here
• Foresee a certain amount of slack in the
  timetable as a precaution
• Ensure that activity titles correspond to the
  description of activities
• Action plan for the first year of implementation
  should be detailed.
• Ensure to identify an implementing body for each
  activity.

19
Application form (part of Annex A)

• THE ACTION, EXPECTED RESULTS (section 2), max. 7
  pages
• Concrete Outputs Be specific and quantify as
  much as possible. Physical as well as immaterial
  outputs (in line with OVI and results presented
  in LFM).
• Multiplier effects Possibilities for replication
  and extension of outcomes. Can include potential
  for strengthening policies (regulatory
  conditions, open trade policy etc), sharing of
  best practices to as wide an audience as possible
  (communication strategy, production of brochures,
  website, participation in conferences and
  workshops etc.)

20
Application form (part of Annex A)

• THE ACTION, EXPECTED RESULTS (section 2),
  continued
• Sustainability
• Distinguish between the following aspects of
  impact
• Financial How will the activities be financed
  after the grant ends?
• Institutional Will structures allowing the
  activities to continue be in place at the end of
  the present project? Will there be local
  ownership of project outcomes?
• Policy level What will be the structural impact
  of the project. Will it lead to improved
  legislation, codes of conduct, methods etc?

21
Application form (part of Annex A)

• II. THE APPLICANT
• Identity
• Bank details (not to be provided at the
  application stage)
• Description
• Capacity to manage and implement actions
• Resources (must demonstrate the viability of your
  institution). Private HEIs must provide the
  reference of your most recent external audit
  report if amount requested is more than 300.000
  EUR
• Other applications made to EU institutions
• III. THE PARTNERS
• Description
• Partnership statements
• IV. THE ASSOCIATES

DO NOT FORGET! Partnership Statements
22
Application form (part of Annex A)

• V. CHECKLISTSimple checklist straightforward
  questions, Yes/ No answers
• VI. DECLARATION BY THE APPLICANTThe applicant
  declares that
• It has the sources of financing and professional
  competence and qualifications specified in
  section 2.3 of the Guidelines for Applicants.
• It undertakes to comply with the principles of
  good partnership practice foreseen in section
  III.2 of the grant application form.
• It is directly responsible for the preparation
  and management of the action with its partners,
  and is not acting as an intermediary.
• It and its partners do not fall in any of the
  categories (a) to (f) listed in section
  2.1.1(2) of the Guidelines for Applicants.
• If selected, it is in a position to deliver
  immediately, upon request, the supporting
  documents stipulated under point 2.4 of the
  Guidelines for Applicants
• Declaration on its own eligibility and
  eligibility of partners

23
Budget (Annex B)

• Must be presented in EUR
• Respect the template and style
• Include total eligible costs of the project
• In general for total duration specifically for
  the first 12 months if the project duration is
  more than one year
• For travel, include latest per diem rates and
  indicate by country of destination
• Use main headings provided add lines under each
  as necessary
• Be transparent
• Direct revenue generated by the project must be
  included
• Administration costs must not exceed 7 of total
  eligible costs
• Commission contribution is no more than maximum
• Contingency reserve must not exceed 5 of total
  eligible costs
• Allocate costs for audit if total EC contribution
  is more than EUR 100.000
• All items to be explained in the Budget
  Justification
• Worksheet 2 Expected sources of funding

24
Budget (Annex B worksheet 1)
Standard month 22 working days
Unit rates not higher than gross salary
(employees), or qualifications and experience
(independents). If part time work, adapt n of
units and not unit rate.
NB All items to be further explained in the
Budget Justification on a separate sheet
Indicate place of dep. and arrival
25
Budget (Annex B worksheet 1)
1. Human Resources Subdivide the heading
salaries according to profiles. Normally, no
differentiation between local and expats/int.
Local Market rates
Indicate of time
European format
1.3 Per diems for mission/travel Indicate country
(! max. per diem rates) If long periods,
consider monthly allowances.
25
26
Budget (Annex B worksheet 1)
4. Local Office/Action costs If local office is
established in partner country (or if special
costs arise) otherwise, costs are covered by item
8 administrative costs
2. Travels Travels between 2 destinations
3. Equipment and Supplies Should not exceed 15
of total eligible costs
All budget items to be further explained in
Budget Justification
27
Budget (Annex B worksheet 1)
Contingency reserve
Administrative costs
All budget items to be further explained in
Budget Justification
27
28
Budget sources of funding Annex B, Worksheet 2)

• Indicate other expected sources of funding for
  the project
• Balance must be financed from Applicants own
  resources, Partners own resources, sources other
  than the EU budget

29
Budget justification

• IN ACCORDANCE WITH ANNEX B
• To be provided on a separate sheet
• Justify each budget item with respect to
• (a) the necessity for the item (eg flight,
  computer, etc)
• (b) the reason for the number of units proposed
  and
• (c) the choice of unit rate applied
• The justification should make reference to the
  specific activities foreseen in your proposal
• Example
• Budget item 1.3.1.1 25 days per diem in Thailand
  4 5-day missions to Thailand by coordinator to
  participate in 2 Advisory Group meetings and 2
  Training of the Trainer sessions (see Activities
  2.1 and 4 for detail). EC per diem rate applied

30
Logical Framework (Annex C)

• MANAGEMENT TOOL
• Integral to Project Cycle Management, as used by
  the European Commission
• Planning, implementation and evaluation
• Links objectives with purpose, results and
  activities
• Indicators show how results will be achieved and
  measured
• Introduction to PCM and Log Frame
• PCM Guidelines and how to prepare a Logframe
• www.ec.europa.eu/europeaid/qsm/project_en.htm

31
Logical Framework (Annex C)
The logframe matrix
32
Logical Framework (Annex C)
Intervention logic
33
Logical Framework (Annex C)
Assumptions
34
OVIs
35
Logical Framework (Annex C)
36
Binding your proposal

• All elements of a proposal should be bound
  together in A4-size binder
• But
• Checklist (section V)
• Declaration by Applicant (section VI)
• Must be stapled separately and included in the
  envelope

37
How to send your proposal
Each proposal must be provided separately in a
sealed envelope

• TO
• Insert full name and address of the European
  Commission
• FROM
• Insert full name and address of the Applicant
• Call for Proposals publication reference number
• Call for Proposals Publication Title
• Call for Proposals deadline
• Do not open before the Proposal Opening
  Session

38
When to send your proposal

• ONE DEADLINE
• Friday 19 October 200616.00, Brussels time (CET)
  2006, 16.00 Brussels time
• Friday 9 March 2007, 16.00 Brussels time
• Any application received after the deadline will
  be automatically rejected.
• Receipt of acknowledgement sent shortly after the
  deadline with a proposal reference number
  provided

39
Where to send your proposal
POSTAL European Commission EuropeAid
Co-operation Office Directorate D, Asia Unit
D3, Finance, Contracts Audits Office J-54
8/16 B-1049 Brussels, Belgium EXPRESS COURIER
OR HAND-DELIVERY European Commission, EuropeAid
Co-operation Office Directorate D, Asia Unit D3,
Finance, Contracts and Audits Office J-54,
8/16 Rue de Geneve, 1 B-1140 Brussels, Belgium