asia link 2006 preparingproposal

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Preparing a project proposal Call for Proposals 2006

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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

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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/ thematic_fiche_ untying_en.pdf New Guidelines, rules and regulations (2)

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Publish Call for Proposals Asia-Link Call 2006: EuropeAid/123738/C/ACT/Multi Application process HQ & EC Delegations share evaluation EC Delegations prepare and manage contracts Receipt of Application + Concept Note Deadlines for submission of proposals: 19 October 2006 Letter of acknowledgement to applicants 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 Preparation and signing of contracts Project Implementation

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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. Project management by Delegations

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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! Partnerships

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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 applicant’s and partners’ eligibility Respect the minimum requirements and eligible activities and costs Before applying

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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 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. 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)

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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)

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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_relations/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.

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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)

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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.

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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.

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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

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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

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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)?

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Application form (part of Annex A) THE ACTION, METHODOLOGY continued: Procedures for follow up and internal/external evaluation: Monitoring of project’s 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.)

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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.

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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.)

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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?

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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

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Application form (part of Annex A) V. CHECKLIST Simple checklist; straightforward questions, Yes/ No answers VI. DECLARATION BY THE APPLICANT The 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

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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

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Budget (Annex B – worksheet 1) 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. Standard month = 22 working days NB: All items to be further explained in the Budget Justification on a separate sheet Indicate place of dep. and arrival

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Budget (Annex B – worksheet 1) 25 1. Human Resources: Subdivide the heading “salaries” according to profiles. Normally, no differentiation between “local” and “expats/int”. 1.3 Per diems for mission/travel Indicate country (! max. per diem rates) – If long periods, consider monthly allowances. Indicate % of time Local Market rates European format

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Budget (Annex B – worksheet 1) 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 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”

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Budget (Annex B – worksheet 1) 27 Contingency reserve All budget items to be further explained in Budget Justification Administrative costs

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Budget sources of funding – Annex B, Worksheet 2) Indicate other expected sources of funding for the project Balance must be financed from: Applicant’s own resources, Partner’s own resources, sources other than the EU budget

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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

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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

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Logical Framework (Annex C) The logframe matrix

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Logical Framework (Annex C) Intervention logic

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Logical Framework (Annex C) Assumptions

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OVIs

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Logical Framework (Annex C)

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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

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

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When to send your proposal ONE DEADLINE: Friday 19 October 2006 16.00, 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

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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