Guidelines for Completing the UNOPS Proposal and Budget Applications for Grant Applications. 1. How to Complete the UNOPS IQOC Technical Application

Transcription

1 Guidelines for Completing the UNOPS Proposal and Budget Applications for Grant Applications 1. How to Complete the UNOPS IQOC Technical Application 1.1 General Tips Read the instructions listed in the Request For Proposals (RFP)! This is the most important advice in proposal writing, as even the best ideas can be rejected if the proposal is not in the proper format or does not adhere to UNOPS requirements. UNOPS will not provide funding for activities that are not directly in line with the interventions outlined in the RFP. Your agency must read, highlight, clarify, and clearly understand the: o Scope of the program as defined by the Terms of Reference (TOR) o UNOPS narrative and budget format (described below) o Submission criteria and deadlines o Required attachments, certifications and back-up documents. The technical proposal can be no longer than 10 pages, so be specific, be clear and be concise. At the same time, your proposal should make a compelling case for funding, and be interesting to read. Make it Easy to Review: Consider the stated selection criteria, and make it easy for the reviewer to find what they need to find and see what you want them to see. Make sure the proposal is neat and does not appear jumbled or crowded. Make sure it prints well and reads well in both paper and electronic format. Do not use strange fonts or over use bold/italic/underline. Logical Flow: A proposal should build a complete, step-by-step picture of the program. A reviewer should not need to flip back and forth between sections to understand the program, and when a reviewer finishes reading the proposal, he or she should have a clear understanding of what your agency will do, why and how. Short and Simple: In general, the shorter and simpler you can make your proposal while still giving the donors all the information they need, the better. Do not use complicated terminology where simple language will do, and try to simplify complex concepts into language that an ordinary educated person will understand. Avoid repetition, and do not use many words where fewer will do the job. 1.2 Writing Tips A good standard proposal font is Times New Roman. Font size should never be less than 11 point (except in tables.) Reference or footnote all sources listed for numbers, quotes and other formal data in your proposal. Spell-check your proposal at least twice; proposals submitted with spelling errors look sloppy and the reviewer will question how highly you regard your work.

2 Make sure to spell out acronyms the first time they are used or if they appear infrequently. Technical Proposal Application in Response to RFP Insert Number Submitted to the United Nations Office for Project Services (UNOPS) Iraq Operations Center (IQOC) I. Project Summary (maximum 1 page) Insert NGO LOGO HERE Project Title: Project Location (Governorate/s): Project Duration (Start and End Date): Project Costs (Total Budget Requested from UNOPS): Number and Type of Direct Beneficiaries (Household and/or Individual): Number and Type of Indirect Beneficiaries (Household and/or Individual): Date of Submission: Organization Details: Contact Person: Address: Phone Number: Address: II. Project Background (maximum 1 page) III. Problem Analysis and Needs Assessment (maximum 2 pages) IV. Project Description (maximum 5 pages) UNOPS Log Frame Goal: Objective Outputs Activities Targets Indicators Project Goal: Project Objective 1: Technical Approach to Objective 1: Project Objective 2: Technical Approach to Objective 2: Monitoring and Evaluation Coordination Implementation Work Plan Beneficiaries V. Project Management (maximum 2 pages) Project Team

3 NGO Capacity & Experience Security Risks and Management TIP: The following sections provide detailed instructions, examples and definitions for each of the sections of the UNOPS Technical Proposal Application. Read through each of these carefully, make sure you understand exactly what each section requires, and ensure that your proposal is inline with these instructions. 1.3 Project Background (maximum 1 page) This section should set the stage for the proposal, briefly explaining the context and providing just enough information so that someone unfamiliar with the country/situation can understand the basic history, challenges and opportunities. Among the items to consider including are: Overview of the country or region, and the political, social, and economic environment Major events in recent history that affect the situation Information about current conflict, its scope, severity, and whether it is stable or unstable Identification and size of the population in need of assistance Other burdens on the country or region s relief and social service infrastructure Logistical constraints Location, seasonal and climatic factors Make sure to shape this section carefully so that it focuses on those aspects of the context most relevant to your project. Remember, the reader needs to understand the problem, but most importantly what you intend to do about it! 1.4 Problem Analysis and Needs Assessment (maximum 2 pages) This is a critically important section of the proposal. Information based on assessments must be provided to justify the need or problem. Data does not have to be extensive, but should demonstrate that a problem or need exists. This section should meet the following criteria: Describes the target population to be served Defines the problem to be addressed and the need in the geographical area where the organization operates Is related to the purposes and goals of the applicant agency Is of reasonable dimensions not trying to solve all the problems of the world Is supported by relevant statistical and anecdotal evidence Is developed with input from community members and beneficiaries Makes no unsupported assumptions The goal is to describe, as succinctly as possible, why there is a need for your project. The most important thing to remember, is that the proposed project must be supported by a thorough and accurate needs assessment (see section below on the basics of conducting a needs assessment)

4 The problem analysis and needs assessment section may also include the following: Describe the relevant social and political environment of the area where the project will be implemented. This should not be a comprehensive history of the country or community, but should provide a backdrop for the proposed project. Describe the population in the target area, including number of people and demographic breakdown. Make sure to include potentially vulnerable groups whose presence could affect the program, such as military-aged men who may be subject to recruitment. Look at factors such as average family size, the percentage of elderly people without family support, and the percentage of female-headed households. Look at ethnic, regional, or class differences, distinctions between rural and urban populations, and restrictions that may apply to certain groups. Consider cultural factors that may affect the program, such as gender roles. Identify the needs or problems that exist and briefly explain how your proposed project will meet those needs or help to solve those problems. Highlight the theme from the Terms of Reference that the project addresses. Describe the main stakeholders in the communities who can influence the project. Also briefly describe the current conflict in the communities and the roots of the situation as well as any projects that have been implemented in the past (either by your organization or other agencies) to address these issues. 1.5 Basics of Conducting a Needs Assessment Before you can design a strong project, is critical to conduct a needs assessment. This will allow you to collect enough information to fully understand the situation and involves answering questions such as: What is the present situation of the community? What are the main issues facing the community? What are the root (underlying) causes of the problem? How can the project address, directly or indirectly, the root causes of the problem? What needs to be done so that at a minimum, the planned intervention is not exacerbating the root causes of the problem? What do community members feel are the main problems to be addressed? What are their priorities? What are their concerns? What are their proposed solutions? Who are the stakeholders involved with this community and what are their plans and goals (donors, other international NGOs, local NGOs, local authorities, civil society organizations, private enterprise)? What local resources are available? What local services (government, NGO, private sector) are in place? What other sources of external data are available (published articles, statistics, government records, lessons learned papers, evaluations, working papers, reports from other projects)? Do they contain any information relative to the problem the project will address?

5 Project design must always be informed by both facts about basic needs and the community s perspective. Facts about basic needs are determined by quantitative assessments. Quantitative assessments tell you how many or how much. Quantitative assessments involve counting and their results are expressed in numbers (e.g. 900 families live more than 5 km from the nearest voting center), or as a percentage (e.g. 30% of women in the community are unemployed). Qualitative assessments provide information about the community s ideas or perspectives. While a quantitative assessment aims to only identify what is available and what is not, a qualitative assessment seeks to: Understand people s hopes, concerns and perspectives Learn more about individuals and groups who have different and sometimes conflicting priorities ESSENTIAL POINT: In qualitative assessments, data refers to what the people think. Qualitative assessments gain insight into people s needs, their values, and the problems they face. Both types of information help to design meaningful and relevant projects, as well as guide the implementation of project activities. 1.6 Project Description (maximum 5 pages) All partners must design their projects using a logical framework (or log frame) using the UNOPS format. A log frame is a table or matrix that summarizes the key elements of your project strategy and the logic that connects them. Using a log frame to design a project: Supports clear and disciplined thinking about what the project will achieve and outlines the logical steps necessary to get there. Makes clear the information that will need to be collected to monitor and evaluate the project. Serves as an effective communication tool that clearly captures the key elements of a project so it is easy to convey this information to staff, donors and partners. The UNOPS Log Frame contains five columns that capture the most important components of your project s strategy. Each of these components is defined further below, and tips and examples on how to develop strong a project strategy are provided. After filling in the log frame, you then need to provide a technical description for each of the objectives. Goal: Objective Outputs Activities Targets Indicators

6 1.7 Project Goal (Where do we want to be?) This is the overall purpose towards which the project contributes. Remember that one project alone cannot achieve the goal, as it is influenced by a variety of other external factors and projects. The general rule is that the goal is usually not achieved during the lifetime of the project. 1.8 Project Objective The objective is the part of the goal that the project can actually achieve. This is the highest aim the project strives to achieve during its period of operation. Examples of goals and objectives Goal: To promote community reconciliation in northern Country Y through a community-driven reconstruction process that stresses choice and accountability Objectives: 1) Improved trust and confidence between people within communities, and between people and their local institutions (community, civil society, and government) 2) Improved understanding of democratic governance principles (accountability, transparency, participation), and of the roles and responsibilities of leaders and citizens Goal: To contribute to a strengthened civil society, democratic governance and peace building in Country Z. Objectives: 1) To increase the organizational, financial and technical capacity of 5 CSOs in province ZZ 2) To empower constituents and communities in province ZZ through information dissemination campaigns 3) To support the implementation of five sub-projects contributing to constitutional awareness and voter education Goal: Reduce the vulnerability of women and girls and mitigate the impact of violence against women and girls in eight territories in Country XX over two years Objectives: 1) Women and girls affected by conflicted are empowered to lead and participate in community-based recovery initiatives and engage community leaders in the wider response to sexual violence 2) Survivors of sexual violence access quality essential services 1.9 Outputs Outputs are the goods and services that are directly produced by your project. This can refer to things such as number of voters registered, number of training manuals produced,

7 number of government officials trained, etc. Every objective will have at least one or more outputs associated with it Activities After determining the outputs, the next step is to identify the major activities. To do this, you look at each output and ask, what does the project need to do in order to produce the desired outputs? There may be two or more major activities for every output. You should not have any activities that do not link up to outputs. Examples of outputs and related activities Outputs: Increased awareness amongst officials of their duties under national and international law towards civilians Adjusted rules of civilian and military policies that reflect lessons learned Activities Conduct four training seminars with law enforcement officials, police, military, and military intelligence Organize one refresher training session for each group trained Conduct informal discussion group sessions with trained officials on specific topics such as freedom of movement and international criminal law Liaise regularly with key senior officials in Town X and Town Y to discuss how lessons learnt can be reflected in official policy documents Outputs CSOs promote good governance and human rights messages to local government CSOs demonstrate understanding of monitoring responsibilities, particularly of the decentralization process CSOs demonstrate the ability to analyze and communicate on policies and budgets Activities Provide technical training and support to relevant CSOs in human rights and good governance Provide sub-grants to CSO partners to carry out activities in sensitizing or advocating to the state on local governance issues Train CSOs on monitoring skills, transparency concepts, and decentralization Train CSOs on budget and policy analysis and communication Provide ongoing information, mentoring and monitoring of CSO activities 1.11 Targets Targets are simply the end results that your project will achieve. Targets are usually expressed in numbers, for example, 60 women trained, 5 media campaigns organized, or 50% of youth in the community reached through civic education campaigns.

8 1.12 Indicators Indicators are a measurement used to demonstrate change resulting from a particular project or intervention. Indicators are also used to monitor progress toward achieving the expected targets. Impact or effect indicators are used to measure changes in the behavior of a population, such as number of people using safe water, or number of community members practicing good hygiene. Output indicators are used to measure goods and services provided by the project, such as number of people trained on electoral observation, or number of workshops organized by the project. ESSENTIAL POINT: Changing people s behavior and attitude can take years, and most likely will not be achieved throughout the projects that UNOPS funds (which are often six to 12 months.) Therefore in most cases, IQOC grant projects should use output indicators. LOOK OUT: Make sure that the indicators stated in the project proposals are realistic given i) the timeframe of the project, ii) the scope of activities, iii) the capacity of the CSO to collect / measure / analyze data and iv the) availability of / access to data in the proposed region / governorate. It is better to work with the CSO to develop appropriate indicators that can be accurately measured at the start of the project, rather than set up for failure before the project even begins Technical Approach This section should outline the technical design of the proposed intervention, including a detailed description of how activities will be implemented. Descriptions should include methodologies, processes, or steps you will take to achieve each activity. CSOs may include timelines, charts, or other graphics as appropriate. Examples of technical approach If the objective is: To improve the ability of CSOs to promote good governance practices of the state and ensure their accountability to communities Then the technical approach is: During the program, CSO partners with experience in promoting good governance and human rights will be selected at the community, then at the provincial level. Calls for partners will also target organizations engaging with either the decentralization and reform processes, or the private sector. Each selected partner will undergo an organizational assessment, with training and support provided as required. These trainings will ensure that all partner CSOs have a similar understanding of good governance concepts and human rights. Throughout this program, at least 28 CSOs will be directly trained. At least 3 people from each CSO will be trained to prevent the loss of skills and knowledge in the event of staff turnover. The program will adopt a combination of formal training through workshops (which use participatory adult learning techniques), as well as informal on the job support on a one-on-one basis.

9 If the objective is: Improve women s understanding of rights and responsibilities within new civic structures immediately after the 2009 municipal elections. Then the technical approach is: Approximately 900 women in 60 villages in town X, town Y, and town Z will participate in educational discussions on how municipal government works, who to go to in municipal offices for assistance, and what to expect from their elected and institutional officials in the critical period following the 2009 municipal elections. For many, this will be the first time they are learning about their government, and there will be time allowed during the workshops for open discussion and questions. This discussion period will give the field educators, who will be presenting the workshops, an opportunity to hear from the women themselves what is their greatest interest and concern, and this information will be used to improve future presentations. During the project, the format of the presentations and materials will be modified to ensure they are responsive to the issues and needs of women based on ongoing evaluations and the women s comments. In addition, the educators will be given supplemental training about gender equality, human rights, and other topics that are important to women s advancement, and they will discuss what mechanisms exist or are planned to help women address such issues with their local governments. If your project has more than one objective, then you need to repeat the format of objective and technical approach, until all objectives are described. Now that you have a clear understanding of what the UNOPS log frame looks like and the definitions of all the categories, please read through the example below for an illustration of a properly completed UNOPS log frame.

10 1.14 Sample UNOPS Logframe Goal: To contribute to a strengthened civil society, democratic governance and peace building in Country Z Objective Outputs Activities Indicators Targets 1. To increase the organizational, financial and technical capacity of 5 CSOs in province ZZ # of CSOs selected for the program through transparent method 5 CSOs At least 2 CSOs CSOs identified and selected for participation under the project through a participatory process 1.2 Level of capacity of individual CSOs determined and tailored strengthening plan in place 1.3 CSOs demonstrating higher levels of organizational skills and core competences and are better able to provide civic education and advocacy initiatives in province ZZ on issues of rights, democratization and rule of law. Release an open call for proposals to attract three potential partners; Shortlist applications and visit short-listed CSOs for an initial assessment; Selection Committee makes final decision on partners; Sign Partnership Agreement with selected CSOs Each CSO partner conducts capacity assessment with Agency X support and develops corresponding capacity building plans Agency X provides formal training in project design, financial management and administrative procedures; Specialist consultants recruited to provide training as needed; # of partner CSOs selected within first three months of the project # of CSO partners with tailored organizational strengthening plan in place # of action plans developed after training % of the partners show a reasonable level of capacity in planning, administration and financial skills before the end of the program Each partner has received at least 2 formal training sessions before the end of Year 1 and at least 8 before the end of the project 5 within first year 8 over the life of the project 60% of partners 8 trainings per partner

11 1.15 Monitoring and Evaluation This section explains how you will monitor and evaluate progress towards the objective (see page 6 for definitions). This should include surveys that will be conducted (baseline, knowledge / attitude / practice, final), monitoring trips, site visits etc. that will be undertaken by program management to check on the progress and status of your project Coordination This section should describe how the CSO plans to coordinate, share information, and collaborate closely with other CSOs, U.N. agencies, other donors, local groups, and local and national government agencies in implementing the project activities Implementation Work Plan A work-plan specifies the projects activities in the sequence in which they will occur over time. Work-plans must also take into consideration the time required for staff recruitment and any equipment purchases. The work-plan is also used a monitoring tool to assess whether the project is on schedule and will be completed on time. TIP Workplans should list each activity that you have written in your log frame, and then detail when the activity will be implemented. It is best to break this down by each month, so that both the CSO and UNOPS know when to expect and monitor each intervention. Below is an template for a nine month project, please make sure to use the same format modifying it based on the specific duration of your project. Activity A sample work plan for a six-month water project could look like:

12 1.18 Beneficiaries This section should briefly describe the people who will directly and indirectly benefit from your project. Be as specific as possible, providing numbers, details, locations etc. Examples of a beneficiary section Example 1: The entire population of Village X, representing 20,478 conflict-impacted and 10,000 displaced persons will be targeted. Seventy percent of all households will participate in the rainwater collection, while 80% of households will benefit from increased water storage. 20,600 persons will benefit from the construction of shared family latrines, while 30,478 persons will have access to and participate in a hygiene awareness/mobilization campaign. Example 2: It is estimated that at least 17,000 students will benefit from supplementary classes, and 440 teachers will be supported to provide supplementary classes for primary students. Two Ministry of Education inspectors and 90 members of parent teacher associations will be trained to monitor and support teachers in all locations Project Management (maximum 2 pages) 1.20 Project Team Describe the staffing structure for your project and the main responsibilities of each staff position paid by the project. Do not provide the structure or organigram of the organization. Provide the main responsibilities of each staff position paid by the project and attach CVs of team members. Example Project Manager: Responsible for the overall supervision of the project, coordinating with authorities and key stakeholders and submitting reports. Workshop Facilitator: Responsible for developing material and conducting all workshops and capacity building activities. Project Support Officer: Responsible for managing the administration, finance and logistics needed for the project NGO Capacity & Experience This section describes the applicant agency its qualifications for funding, and establishes its credibility. In this section, the organization should demonstrate that it has the means and skills to solve the particular problem or meet the need. Make sure to describe your experience particularly how it relates to the project you are applying for Security Risks and Management Describe any specific issues relating to the security situation in the planned area of intervention, including the likelihood of the occurrence of these events and the consequences. Describe further how implementation is designed to minimize these risks and how these issues will be handled should they occur.

13 2. How to Complete the UNOPS Budget Application 2.1 General Tips Complete the information for the name of your organization, project title, and budget duration (start and end date which the budget covers). The budget must be completed in the UNOPS budget template (attached as Annex II.) Budgets that are handwritten and/or in a different format will not be accepted. The budget must be expressed in US Dollars. Budgets received in Iraqi Dinars will not be considered. A sample budget is attached to this manual as Annex III, illustrating how items should be categorized and the level of detail required. Use this sample as a reference when designing your own budget. The purpose of preparing budgets is to estimate costs as realistically as possible. Make sure every cost item/activity is listed in your budget. Also, any cost which does not have the necessary breakdown will not be accepted for example Miscellaneous Expenses $1,000 will not be accepted, as it does not explain how the funds will be spent. ESSENTIAL POINT: The UNOPS IQOC project budget is divided into six components: Personnel, Travel, Equipment, Supplies, Office Running Costs and Program Activities. Further explanations and examples for each of these categories are described below. Look at the sample UNOPS IQOC budget for an illustration of a correct budget attached as Annex III. Also remember that the majority of project costs should come from the Program Activities line. UNOPS will not fund a high percentage of office running costs or other expenses not directly related to project implementation. 2.2 Personnel This includes project personnel and support staff that will be directly responsible for implementing the project activities or providing support services (including administrative, finance, human resources, logistics etc). The budget should indicate: Item: Title / name of position (such as Project Manager, Field Associate, HR Officer) Unit: Number of person(s) to be hired under this title Costs: Salary of the position s / Days: The length of time that the position will be hired %: The percentage of the salary charged to the project. For example, members of the project implementation team are usually charged at 100%, but support staff is considerably less. 2.3 Travel This line includes costs for travel related to the project such as airfare, vehicle rental, and fuel, all of which must be for official business related to the project. 2.4 Equipment Covering the purchase of equipment and materials for use directly in the project such as mobile phones, laptops, generators, memory sticks etc.

14 2.5 Supplies This line covers supplies that will be used be the project and support team, such as office supplies, stationery. Supplies for program activities should not be listed here. 2.6 Office running costs This includes costs related to the functioning of the office where the project will be conducted. All of these costs should be listed as a %, as UNOPS will not support 100% of running costs for any CSO partner. Costs that can be listed here include (amongst others): Rental of office space Utilities such as electricity, heat, and water Communication such as Internet, mobile top-up cards, postage, fax, telex, and courier services Legal costs Bank fees (CSOs should check with their bank to see if they charge a fee when funds are transferred and if so, must include these costs in the budget application. Bank fees are usually no more than 1% of the entire overall budget.) 2.7 Program activities Direct program activities are the primary purpose and largest expense of the project, and are the most important indicator of how much of the grant is actually going to beneficiaries. This section should describe each of the activities as listed in your project proposal, and clearly spell out all costs associated with the activity. For example, if your project will be holding three literacy trainings for 50 women, and you will need costs such as a transport, hall rental, and lunch, your budget for this activity may look like:

15 TIP: Remember to be specific, detailed, and break down each activity as much as possible when designing your budget. Closely consult with your project and finance teams to make sure all costs are included. Items that are not in your approved budget will not be covered by UNOPS.