How to Draft a Concept Paper for EC calls for proposals (Non State Actors and Local Authorities)

Developing projects in response to donor calls for proposals

How to write concept notes in response to EC (Europaid) call for proposals within their budget line (21.03.01 and 21.03.02) for Non-State Actors and Local Authorities in Development (NSA-LA)

Reference: EuropeAid/126342/C/ACT/Multi

Before writing any concept note, it is indispensable to conduct a needs assessment along with partners, if required. Send an invitation to the partners explaining the EC call for proposals and its priorities. If they agree to become partners, send a letter of appreciation. 

When the concept note has been submitted, do not forget to thank the partners for supporting its preparation.

Some model concept notes for EC-NSA call for proposals: Livelihoods; human rights; migration; development education; cultural diversity.

Advice and observations on how best to put together a concept note for NSA-LA and other EC calls with similar format requirements

Identifying and defining the content of the concept note: our advice is that the concept note should be the executive summary of a developed proposal, not an idea that will be developed some time in the future. It is strongly recommended that a log frame is produced at the beginning, i.e. at the development stage of the concept note. It is also strongly recommended that in order to be valid and credible, this project (Action as the EC calls it) be conceived within the context of existing programme frameworks and be seen as adding value to it and not be created specifically for this call for proposals. The log frame must therefore be based on previous assessments, surveys, problem tree, context, stakeholder and institutional analysis.

There is a formal template in which we must write the concept note. The application form gives advice about the content to be included within these headings. The template essentially requests information on three components of the Action: relevance, description and effectiveness and gives a score (which evaluators will utilise to assess the proposal) to each of these headings (mentioned below and also in the guidelines).

The allocation of marks per section will also give applicants some guidance on the importance placed by the EC on each section. Applicants are strongly advised to continuously cross-check that they are including these headings and topics. 

The primary focus of the earlier budget line “co-financing NGOs” was the strengthening of civil society and other local development structures – in a variety of intervention sectors.  The current NSA budget line continues this focus and you are advised to emphasise capacity building and institutional strengthening in your proposals. 

There are additional requirements for micro-finance that are explicitly stated in the guidelines which should be carried out meticulously.

Aligning with EC language and priorities: Be aware of the EC language.  When writing the log frame, please keep in mind the following tips. When EC refers to the “priority components”, it refers to its “programme/indicative strategy goals”. The overall objective of our Action must contribute the overall objective of EC within the purview of this “Goal”. Our objectives and specific objectives must contribute to EC’s “objectives and specific objectives”. The Actions that EC suggests would become the “outputs” of our Actions. EC leaves to us the discretion on activities which will produce these outputs.

When the EC refers to the “Objectives of the programme” it is referring to its own (indicative) programming, ie what the call for proposals, and allocation of funding, is trying to achieve as a strategy.  The guidelines will describe these objectives, and it is vital that applications refer to them.  Our project is referred to as “the action”.  The applicant is also sometimes referred to as “the beneficiary”. The EC occasionally sometimes also refers to purpose, which we believe is the the equivalent of “specific objectives”.

Formats: Do not, under any circumstances, exceed four pages or add in any annexes.  Space is at a premium in the concept note. 

Some Tips. When the EC asks for problems to be described, don’t be sidetracked into writing about solutions.  There are opportunities to describe that elsewhere. Follow the FAQ site as often as you can.  There are questions that are answered that may provide further clarification for your own queries. 

The general objectives of the call are reduction of poverty and the pursuit of the MDGs (page 5 on the Multi-country and single-country application guidelines). Similarly, the priorities are listed (they vary between these two calls). 

Applications should explicitly state how the action is going to meet the EC objective and priorities. Quote by title or number which MDG(s) the project seeks to address.

Other Important Considerations: Further information that could be added to this section can be quoted from/matched with the EC Annual Action Plans and Multi-Annual (country) Strategy papers.  If the action is an extension of an existing project then that could be mentioned here. Some of the priorities are mutually exclusive, but if the action meets more than one, do emphasise this.

Regional linkages must be demonstrated.  Regional programmes need to be shown to be regional, not just be groups of projects that have a common theme.

There are official definitions of target groups and final beneficiaries.  The EC states that target groups “are the groups/entities who will be directly positively affected by the project at the Project Purpose level.  “Final beneficiaries” are those who will benefit from the project in the long term at the level of the society or sector at large.  Lists of example target groups are found at section 2.3 in each of the application forms.

It is important to understand the difference between an output and an outcome.  A couple of quick examples: 

• Output – hospital being built.  Outcome – increased access to healthcare.

• Output – more teachers trained.  Outcome - Rise in education standards.

Activities and their effectiveness.  It’s quite rare to be asked in a concept note to justify activities, but there are twenty marks (20%) up for grabs.  Think about what impact these activities will have?  Why have they been chosen?  What effect will they have the on the beneficiaries and society, and how will they lead to achieving your results and specific objective.

Mention PCM.  EC is big on this as a process.  Mention assessments, evaluations of earlier projects, role of partners and others in initiative, development, planning, articulation etc.  Also how this will continue into management, MEL etc.  Mention other stakeholders, NGOs, INGOs, Local Authorities, CBOs, donors etc.

Difference between risk and assumption must be understood.  An assumption is something that contributes to the outcome of the action but will be done by someone else.  Risk is an undesirable factor that affects the outcome of a project but is beyond our reasonable control.

Risk analysis.  The EC is asking for a lot of information, and specifically mentions the need to describe physical, environmental, political, economic and social risks.  This might be the time for a table.  This one is used by Oxfam’s Internal Audit:

You may wish to drop one or more of the headings.  Be careful when copying this across to your concept note as it may not observe the EC’s formatting instructions (2cm margins)

Pre-conditions:  Examples are MoUs, staff appointments, other organisations undertaking activities that we need to have carried out etc.  This should also include agreements with local authorities that are potentially contentious, eg permission to hold rallies, create websites etc.

Multiplier effects and sustainability illustrations can be taken from the full proposal advice document (go to http://intranet.oxfam.org.uk/programme/pm/funding/programme_funding/donors/ec/index.htm).

Sustainability should include financial, institutional, cultural/social, and policy levels.

Applicants can reinforce the sustainability by referring the methodology:  eg training of trainers (don’t be afraid to repeat yourself).  Emphasise the instilling of learning.

 Phasing out and exit strategy should be included.  Microcredit, especially revolving funds, should have an exit strategy.

Critical Path Analysis is required for the full proposal.  It is important that this is demonstrated, and further advice will follow in the soon-to-be-updated full proposal advice document.