DEVELOPMENT AWARENESS FUND
GUIDELINES AND PROCEDURES 2004/05
Revised July 2003
This document is intended
to help organisations or networks prepare grant applications for projects
under DFID’s Development Awareness Fund.
This document also explains
DFID’s accounting and reporting requirements. There are five sections:
-
The
Criteria
-
The
Scope of the Development Awareness Fund
-
The
Administration and Presentation of Project Proposals
-
The
Substance of the Project Proposal
-
Reporting
Requirements
The Development Awareness Fund
budget for supporting new projects in 2004/05 has been provisionally set
at £1.5 million.
The policy of the
government is set out in its two White Papers on International
Development, published in November 1997 and December 2000. The central
focus of the policy is a commitment to the internationally agreed target
to halve the proportion of people living in extreme poverty by 2015,
together with associated targets including basic health care provision and
universal access to primary education by the same date.
In support of this, the
Government is committed to building greater awareness and understanding of
international development issues across the UK. Our strategy paper
Building
Support for Development
sets out how we plan to take forward this work
in partnership with a range of organisations and groups across society. We
will concentrate our work, and focus the Development Awareness Fund,
around four main target groups: formal education, the media, business and
trade unions and churches and faiths. However, we will also look for
opportunities to spread our work more widely.
Within this strategy, the
Fund’s overall aim is to support activities that promote the following:
- Knowledge and
understanding of the major challenges and prospects for development,
in particular the poverty reduction agenda; but also of developing
countries themselves.
- Understanding
of our global interdependence, and in particular that failure to
reduce global poverty levels will have serious consequences for us
all.
- Understanding of and
support for international efforts to reduce poverty and promote
development including the international development targets.
Recognition of progress made, and that further progress is both
affordable and achievable.
- Understanding
of the role that individuals can play; enabling them to make informed
choices.
Proposals to the Fund
should set out clearly the specific learning outcomes envisaged, and the
proposed content of key messages. While difficult and controversial issues
can be addressed, we would expect them to be tackled in a balanced way,
and consistent with the criteria above.
In previous years, many
projects were unsuccessful because they failed to show how they met these
criteria. Although there is a significant degree of flexibility in the
guidelines, projects that do not contribute to DFID’s aims cannot be
considered. In preparing your application, you need to make explicit the
link between your project and these criteria.
In particular, a large
number of unsuccessful applications lacked a ‘global’ and
international development element. Other project proposals failed to make
a link with poverty reduction. You should show how your project will bring
about an understanding of the importance of reducing poverty elsewhere in
the world. This does not mean that your project has to be about poverty,
but you must illustrate how your target audience’s appreciation of the
importance of poverty reduction will be enhanced.
The implementation of the 'Enabling
Effective Support (EES)'
initiative, which aims to develop regional
strategies to ensure that teachers have local access to resources and
support to enable them to bring the global dimension to their teaching
will be implemented over the coming years. All project proposals that target the formal
education sector must clearly show how they are built around, and will
focus on the delivery of, the curriculum provision relating to a global
dimension in education in their region.
Remember: it is up to you to make the link between
your project and the aims of the Fund. Do not expect the assessors to make
the link for you.
Applicants should plan to
meet a proportion of project costs from their own resources or from other
sources. Only in exceptional circumstances will DFID consider being the
principal funder.
The Development Awareness
Fund is primarily focused on UK audiences, but we may also support
activities within the project which promote awareness internationally.
The fund will also give
priority to projects working with new partnerships rather than funding
existing partners with projects entering a second phase.
A: Who can
apply?
The Fund is open to any
UK-based organisation or network which shares our commitment to raising
awareness and understanding of development issues and has the capability
to account properly for any DFID funds received.
B: What kind of
initiatives can be funded?
The Development Awareness
Fund will support activities primarily aimed at UK audiences. However in
exceptional circumstances we may support activities focused on overseas
audiences, particularly where this is likely to contribute to greater
awareness and promotion of the International Development Targets. Within
this framework we will consider a wide range of initiatives which meet the
criteria set out earlier.
Funds are not available for
the following:
- Projects involving
construction works.
- The provision of items
of equipment, other than as an integral part of a wider project.
- Scholarships, for full
time study even if part of a wider project.
- Initiatives which
clearly fall within the criteria of other funding programmes operated
by
DFID.
- Initiatives which
involve direct lobbying of the UK government or of international organisations
of which the UK is a member, or which involve lobbying for or against
activities
of particular companies, individuals or institutions.
- Initiatives which focus
on development activities overseas.
It is not possible to
provide an exhaustive list of suitable projects, but if you have any
questions, please contact a member of the Development Awareness team (see Appendix A
for details)
C: How much
funding can DFID provide?
DFID contributions of up to
£100,000 per annum towards the total project costs can be considered
under the Fund. A Mini
Grants Programme for applications under £10,000 per annum for England,
Scotland, Wales and Northern Ireland is administered on our behalf;
details of the organisations administering the scheme can be found in Appendix
B.
D:
Administrative Costs
DFID will not normally
provide general core funding to agencies. However, administrative costs
can be included where these are integral to the delivery of a project’s
objectives. These can cover relevant staff and administrative costs, as
well as such things as reporting and accounting and any additional
auditing costs necessarily incurred as a result of meeting the
requirements set out in DFID’s Grant Arrangement.
E: Project
Timescale
Support for a maximum
period of three years can normally be agreed under the Fund.
The Fund is administered by
DFID’s Information & Civil Society Department, based in its offices in East Kilbride,
Scotland. Contact
names, their telephone numbers and full address are at Appendix
A. They will be happy to discuss any problem or queries you may
have about the Fund. The administration of the Fund is kept as simple as
possible. Some of the more significant points are:
A: To whom
should new project proposals be sent?
Hard copies
should be sent to:
Catherine McGowan
Development
Awareness Programme team
Department for International Development
Abercrombie House
Eaglesham Road
East Kilbride
Glasgow G75 8EA.
Electronic
copies should be sent to daf@dfid.gov.uk
B: When should
they be submitted?
DFID’s financial year
runs from the beginning of April to the end of the following March. New
project proposals can be submitted at any time up until the end of October
preceding the financial year in which the project is scheduled to
begin (e.g., if your project is scheduled to begin in May you should
submit your proposals by the end of the preceding October). This is not a
matter of setting artificial deadlines. Applications for grants under the
Fund may outstrip resources and it would be wrong to make decisions on new
grants on a first come, first served basis. We may exceptionally consider
project proposals outside this timescale. Early submission of new project
applications would assist DFID in completing the overall exercise as
quickly as possible.
DFID welcomes the
submission of Concept Notes, except during the month of October, which
will allow us to advise you on whether to prepare a full proposal. If we
recommend that you go ahead, we will also provide guidance on issues which
your Concept Note has raised which we will expect to see addressed in your
full proposal.
Please note that if we invite you to prepare a Full
Proposal, this is not a guarantee that your proposal will be successful
and that you will receive funding.
If your Concept Note is
unsuccessful, we will provide feedback on why your proposal is considered
unsuitable. Concept Notes must be no more than two A4 pages in length. If
you have any questions about what the Concept Note should contain, please
contact
either Stephen Cassidy
or Sandy Docherty from the Development Awareness team.
C: When will
DFID make decisions on new project proposals?
We hope to notify
applicants of the outcome of the assessment process by the end of February
2004. With new proposals
coming in until the end of October it inevitably takes some time to
assess them and make decisions on which projects can be funded. If any
organisation has particular problems about the timing of a new project,
they should get in touch with
either Stephen Cassidy
or Sandy Docherty from the Development Awareness team.
D: Financial
budgets and statements
Each project proposal
should include a financial budget detailing all the project costs,
including any elements which will be funded by other sources. We will need
a full breakdown of the project’s budget including costs of
administration, monitoring, evaluation and so on. The basis of your budget
should be as outlined in Appendix C. If the project proposal is agreed we
will issue a Grant Arrangement Letter which sets
out, amongst other things, the size of the grant and our financial and
narrative reporting requirements. Signed acceptance of the Grant
Arrangement Letter is required before a grant can be released.
E: How should
project proposals be presented?
Agencies are not required
to complete any forms. However, proposals should be no more than 10
sides of A4 paper, excluding the top page and budget. The font size should
be no smaller than Arial 12. For the sake of clarity every project
proposal must have on the top page:
- The name and address
(including contact details - telephone, fax, e-mail) of the
applicant (i.e. the organisation or network). If this is the first
time
an organisation or
network has applied for a grant under the Fund you should attach some
background information, annual reports etc.
- The name of the project
(which should give some indication of its focus or the area it
covers).
- The time-scale of the
project, including the proposed start and completion dates.
- The total cost of the
project and the sum being sought from DFID. Where funding is
requested for more
than one financial year, the costs should be broken down by DFID
financial
years.
- What are your main
sources of funding.
- What prior contact, if
any, including funding have you had with DFID. If yes, which part of
DFID.
NOTE: To assist in administration three copies
of each proposal should be submitted if submitted by post.
Applicants must demonstrate
in their proposal that each project has been carefully researched, that it
has clear aims and objectives, and how these contribute to DFID’s aims.
Proposals should include effective monitoring and evaluation procedures.
Some projects may not
easily lend themselves to quantification of learning outcomes, but it is
important to be clear about what is expected and how progress may be
measured (quantitatively and qualitatively). Proposals should also
demonstrate that the means adopted to achieve objectives are
cost-effective. In the absence of clear objectives it will be difficult to
know whether a project is succeeding.
The following questions may
be useful in the preparation of a proposal. The list is not exhaustive,
but gives an
indication of what we are looking for:
The Objective
- Has an objective been clearly identified?
- How does it relate clearly to the aims of the
Fund?
The Project
- How was the project or idea initiated?
- What are the components of the project and how
will they be delivered?
- How do these contribute to achieving the overall
objective and to the objectives of DFID's
Building
Support for Development strategy
paper?
- What are the specific learning outcomes
envisaged?
- What is the content of key messages?
The People
- Who is the project aimed at? What has been their
involvement in the design of the project?
- Does the organisation understand the
characteristics and needs of the people with whom they will be
working?
Outputs
- What will the project actually do?
- What is the timetable for these activities? Is it
realistic?
Inputs
- What are the personnel inputs into the project?
What is their level of experience and expertise?
- What are the material inputs? Are they
appropriate, and do they represent good value for money?
- Who are the other sponsors/funders of the project
and what percentage of costs is being met by each?
Learning from
others/avoiding duplication
- What account has been taken of similar work
undertaken by others?
- Have any lessons been learnt?
Assumptions and
Risks
- What assumptions are being made about attitudes,
motivations and opportunities etc.? How realistic are they?
- To what extent is the project dependent on
external forces?
Monitoring
- How will the progress of the project towards its
objectives be monitored? How will its success be measured and by whom?
- What arrangements are there for the revision of
the project during its implementation?
Evaluation
- What plans are there for evaluating the project?
Will there be a formal evaluation exercise? If so how and when will
this take place?
- Will results be shared with others?
Sustainability
- Will the benefits of the project be sustained
after the project itself comes to an end and, if so, how will this be
achieved?
Additional Required Information
One copy of the following documents should be
attached / enclosed with the application:
- A copy of your organisations's Equal Opportunities, Data
Protection and Freedom of Information statements.
- Latest Annual Report and Audited / Signed Accounts
- Any Supporting letters from partners or beneficiaries.
If for any reason you are unable to enclose any of these documents (for
example, if you are a new organisation), please state the reason in a
covering letter.
Progress reports against workplans are required at
least every 6 months and an annual report for the project should be
submitted to DFID within 3 months of the end of the reporting period. A
Project Completion Report should also be submitted to DFID within 4 months
of the end of the project.
Reporting is an integral part of project planning,
implementation and evaluation. The composition of reports should ideally
be a process of joint reflection, expressing the views of various project
partners. It has two main purposes. It helps to:
- Ensure accountability, not just to DFID but to
the organisation’s own constituency.
- Encourage learning and good practice, both for
the implementing organisation(s) but also for DFID, other development
education organisations and donors.
As a government department DFID has to ensure that
public funds are used properly and that projects funded through the
Development Awareness Fund comply with government reporting and accounting
requirements. Accounting reporting instructions are included in the grant
arrangement letter.
We recognise, however, that reporting for
accountability purposes is different from reporting for
learning purposes, and that, to be effective,
the latter should be based on the needs of individual initiatives and the
applicant’s management information requirements. There are no fixed
formats for progress reports submitted to the Fund. However indicators of
achievements should be both quantitative and qualitative, and the report
should say how these indicators are being assessed.
Throughout the lifetime of a project there may be
some change to the original predictions about how the project would
proceed. It is important to be honest about these and to discuss any
alterations to the original plans. In the case of particularly major
changes, the officer in the Development Awareness team who is responsible
for your project, should be
informed immediately without waiting for the next regular report.
The following kinds of information are essential:
Executive
Summary
- What are the main points of interest in the
report, and what recommendations have been put forward?
- Are any decisions required from DFID? If so, by
what deadline?
Authorship
- Who wrote the report, and how was the information
gathered?
Reporting Period
- What period does the report refer to, and what
phase of the project is this?
Wider Context
- Apart from project activities, what significant
events and changes have occurred in the broader context in which the
project is operating? How have these affected the project?
- What impact has the project had on this wider
context?
Achievements
- What progress has been made towards achieving
project objectives?
Problems
- What problems have been encountered and what
steps are being taken to overcome these?
Changes
- What changes in objectives, targets for outputs,
activities and inputs (participants, materials, staff) have occurred
or are proposed and why?
Lessons
- What lessons have been learned in the process of
implementation?
Target Audiences
- How are the target audiences contributing to the
assessment of achievements, and what are their views?
Organisational
linkages
- In what ways does the project maintain
communications with other organisations working on related activities?
- How do project staff ensure that they complement
and exchange information rather than duplicate the activities of other
organisations?
Budget
- What was the income and expenditure over the
reporting period, and how do these compare with the original
estimates?
Recommendations
- Based on the experience of implementing this
project, what recommendations can be provided which would guide
policy, project planning and research of future projects?
- What steps can be taken to ensure that these
recommendations are available to relevant organisations?
Other
The following may also be helpful, either within the
main text or as annexes:
- Acronym guides; maps, graphs, tables, diagrams,
photos and other illustrations; case studies of events; examples of
written output from workshops or informal discussion groups.
- Copies of any materials produced as part of the
project
What does DFID do with reports? DFID staff and
advisers will review all reports and provide feedback as appropriate. In
addition we will draw on reports which have generated interesting findings
and disseminate the information appropriately. We understand that
organisations are sometimes sensitive about their work but we want to
encourage a spirit of openness. DFID staff or authorised advisers may
arrange visits to projects to monitor progress or learn about new
initiatives. There will be prior consultation with the organisation
concerned to plan these visits. We do not expect organisations to get
everything right all the time; but we do expect them to be self-critical,
to share best practice and to learn from mistakes.
Development
Awareness Fund address and contact telephone numbers
Development Awareness and Education Section, Department for International Development, Abercrombie House (5th Floor), Eaglesham Road, East Kilbride, Glasgow G75 8EA
Tel: 01355 84 4000 (Switchboard)
| Fax: 01355 84 3539
DFID’s Information & Civil Society Department manage the Fund and
all enquiries should, in the first instance, be directed to:
Stephen Cassidy, Development Awareness
team
Tel: 01355 84 3988
| e-mail: s-cassidy@dfid.gov.uk
or Sandy Docherty, Development Awareness team
Tel: 01355 84 3144
| e-mail: s-docherty@dfid.gov.uk
other points of contact within Information and Civil Society
Department are:
John Murray, Development Awareness Programme Manager
Tel: 01355 84 3255
| e-mail: j-murray@dfid.gov.uk
Development
Awareness Mini-Grant Programme organisations
England
Development Education Association
33 Carsham Street
London
N1 6DR
Tel: 020 7490 8108
Contact: Michila Critchley
e-mail: michila.critchley@dea.org.uk
Scotland
IDEAS
22 Colinton Road
Edinburgh
EH10 5EA
Tel: 0131 447 7164
Contact: Kristin Higgins
e-mail: i-d-e-a-s@i-d-e-a-s.freeserve.co.uk
Northern Ireland
One World Centre. NI
4 Lower Crescent
Belfast
BT7 1NR
Contact: Stephen McCloskey
e-mail: stephen@owcni.org.uk
Wales
Cyfanfyd
Welsh Centre for International Affairs
Temple of Peace
Cathays Park
Cardiff CF1 3AP
Tel: 029 20668999
Contact: Dominic Miles
e-mail: cyfanfyd@wcia.org.uk
Financial
Requirements
Each project proposal must include a financial
budget detailing the following:
- Total project costs, including administration,
detailed to its component parts.
- The proportion of project costs being claimed
from the Fund.
- Where the balance of funds will come from.
- Indicate whether in receipt of other DFID funds.
*Applicants must be able to provide evidence
that they can meet their share of the cost – and that
commitments from other funding sources are
firm commitments – before DFID funds can be released. In-kind
contributions (volunteer time, donations of equipment, premises,
materials, etc.) should have a notional value placed on them and must
be substantiated.
- The amount you propose to claim in each DFID
financial year.
Basis of Claims
1. DFID
Financial Years
- DFID’s financial year runs from 1 April to 31
March.
- Where the project will cover more than one of
DFID’s financial years the budget should be
spread over those years.
- It is important that your budget is correctly
attributed to DFID financial years and that your
claims are submitted promptly. Any
unclaimed portion of a grant may not be carried forward
to a subsequent year and we cannot give a
guarantee to meet any additional expenditure
claimed which is above the agreed budget
limit for the financial year.
- Where a change in the project expenditure profile
is required either before the start, or
during a project, you should notify the
officer in the Development Awareness team who is responsible for your
project,
as soon as possible. No guarantees can be
given that such changes can be agreed but we will,
where possible, try to accommodate them.
2. Payment in
arrears
DFID’s policy is to reimburse costs quarterly
in arrears. The quarters run as follows:
Quarter 1: 1 April - 30 June
Quarter 2: 1 July - 30 September
Quarter 3: 1 October - 31 December
Quarter 4: 1 January - 31 March
- Quarter 4: As our financial year ends on 31
March, your claim for the fourth quarter must be paid before this date
to qualify as a claim against the grant for that year.
Your claim for the fourth quarter must be received
by DFID no later than 15 March, for payment in March. The claim should
include details of actual expenditure incurred up to the end of February,
together with an estimate of the amount required in advance for the month
of March.
As with our normal requirements for advance
payments, a statement of actual costs for March should be submitted as soon as
possible after the end of March and no later than 30 April.
3. Payment in
advance
If paying in arrears is not practical for you, for
example you cannot cover your costs from your own resources or through a
bank facility (the costs of which are claimable from us as an
administrative overhead) then we can pay in advance provided you can
demonstrate that this is necessary.
DFID is required to ensure that funds are not
released in advance of need; requests for advance payment therefore need
to be justified. If you wish to claim in advance your reasons should be
set out in full with each claim. Payments cannot be released before 1
April each year.
Any advance payment must be accounted for in the
following claim or prior to the close of DFID’s financial year,
whichever is earlier.
If at the end of the financial year you hold an
unspent balance of the grant, that sum will be deducted from your first
claim in the new financial year and be regarded as a claim on the new
year’s grant.
4. Unacceptable
budget items
The following are not acceptable items for inclusion
in a budget:
- Contingencies should not be included in budgets.
If there is a need for additional and unforeseen expenditure you
should contact the officer in the Development Awareness team
responsible for your project, who will endeavour to give an early response on whether this can be
accommodated.
- Core costs: administration and other costs which
are not directly related to the project application.
- Extravagant expenditure: budgets should reflect
value for money.
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