Uk Aid Direct Funding Round One: Community Partnership Grants

UK AID DIRECT FUNDING ROUND ONE: COMMUNITY PARTNERSHIP GRANTS

GUIDELINES FOR APPLICANTS

Please read these Guidelines carefully, even if you have made applications for DFID funding in the past.

By clicking on the following bookmarks you will go directly to the relevant section. Alternatively, you may scroll through this document.

Table of Contents

1. UK Aid Direct programme objectives

2.Focus area of first funding round

3.Community Partnership grants

4.UK Aid Direct and Value for Money

5.UK Aid Direct and Gender/Diversity

6.Eligibility

7.Project Partners

8.Consortium applications

9.UK Aid Direct Community Partnership grants– what can and cannot be funded?

10.How to Apply

11.Appraisal of concept notes

12.Notification of outcome and next steps

13.Community Partnership Funding Seminars

14.Processing of applications

Further reference documents and useful links

1. UK Aid Direct programme objectives

UK Aid Direct will support small and medium sized Civil Society Organisations working to reduce poverty in the DFID focus countries and bottom 50 Human Development Index countries.

UK Aid Direct builds on the experience of DFID’s Global Poverty Action Fund and will continue and extend its impact and reach.

All UK Aid Direct initiatives must be able to demonstrate a 'clear line of sight' to poverty reduction i.e. they must deliver real benefits to poor people within the project life span.Whilst individual funding rounds may have a particular thematic focus, the overarching programme objectives of UK Aid Direct are to:

1. Increase access to services by specific groups – often those who are marginalised or discriminated against; and address providers’ lack of capacity to deliver services in areas such as: WASH, health, nutrition, education, finance, and sustainable livelihoods;
2. Enable citizens and civil society to be aware of their rights to such services; to overcome barriers and to demand access to services;
3. Changing community attitudes and social norms that result in harmful traditional practices or social discrimination e.g. FGM, early or forced marriage, gender-based violence, preventing girls from accessing education or providing less food to girls than boys or other forms of exclusion; and
4. Increase economic empowerment through improving access to credit, business knowledge, and markets; and improving laws and policies which impact on the livelihoods of poor people.

This is a competitive funding scheme. The following guidance to applicants outlines the focus areas for this first funding round, eligibility criteria, how to apply and DFID’s expectations. Please read each section, and related documents, thoroughly before making your application.

1. Focus area of first funding round: Finish the job on the Health MDGs (MDGs 4, 5 & 6)

Despite huge progress, the health-related MDGs remain amongst the most off-track; for example each year more than one quarter of a million girls and women die in pregnancy or childbirth[1], 6.3 million children under the age of 5 years died in 2013 (45% of these are child deaths are associated with undernutrition) and there remain numerous deaths and illness from communicable diseases such as AIDS, TB and malaria and neglected tropical diseases. This first funding round will therefore be focused on health.

Successful applicants will need to demonstrate that their proposal will have a tangible impact on efforts to achieve MDGs 4 (reduce child mortality), 5 (improve maternal health) or 6 (combat HIV/AIDS, malaria and other diseases)in the time frame of this programme. Programmes can support both prevention and treatment. All proposals should be evidence-based and prioritise reaching the poor.

Sexual and reproductive health and rights

A major obstacle to meeting the MDGs is the lack of sexual and reproductive health and rights (SRHR),[2] for women and girls in particular. Giving girls and women voice, choice and control over their bodies improves maternal and child survival, leads to better life chances and contributes to sustained economic gains. Attaining the health MDGs necessitates reducing gender disparities, reducing social inequalities and constantly supporting SRHR.

Whilst applications for projects that contribute towards any of the health-related MDGS (MDGs 4, 5 and 6) are encouraged, we welcome those which include a special focus on SRHR, particularly for interventions promoting SRHR for groups excluded from services, vulnerable to stigma and discrimination or who cannot access funds from other international mechanisms. These populations may include:

• adolescents;
• the poorest and hardest to reach;
• women and girls seeking safe abortion;
• key populations affected by HIV (defined as those that face a higher HIV risk, mortality and/or morbidity when compared to the general population, men who have sex with men, people who inject drugs, prisoners, sex workers and transgender people).

Please note that DFID does not pre-define the specific poverty criteria for beneficiaries.Applicants must present their own analysis of specific project contexts and the rationale for selection of beneficiary target groups, with reference to relevant MDG targets.

Elements of capacity building of service providers, and advocacy targeting policy makers, are welcome provided that they are improving health outcomes for poor people. Initiatives should consider the needs on both the supply-side (i.e. strengthening health systems) and the demand-side (i.e. strengthening community systems).

Projects focused primarily on other MDG areas such as primary or secondary education; general household income generation; climate change adaptation or food security cannot be supported under this specific UK Aid Direct funding round.However, other MDG areas may be addressed as components of projects if there is a clear and direct link between these components and the achievement of sustainable MDG-related health outcomes within the project lifetime. For example, a project primarily focused on reducing child mortality rates could include components focused on improving nutrition or the provision of access to clean water and improved sanitation and hygiene behaviours,as long as it is clear how these will lead to a demonstrable reduction in under-five mortality rates within the lifetime of the project.

1. Community Partnership grants

Two types of grants will be available in this first round of UK Aid Direct funding:

UK Aid Direct Community Partnership grants aredesigned to encourage applications from small Civil Society Organisations (CSOs). Community Partnership grants support initiatives focused on delivering results at community level which will achieve real benefits for men, women, boys and girls.

There arealso UK Aid Direct Impact grantssupporting larger-scale poverty reduction initiatives, which are open to UK-based applicants and those based in DFID Priority Countries. Impact grants work at greater scale to deliver real benefits for men, women, boys and girls.

3.1. Increasing access to services

For this first round of UK Aid Direct, initiatives which focus primarily on service delivery must clearly contribute to the achievement of locally relevant health-related MDGs and meet the specific objectives of this UK Aid Direct funding round. It is important for concept notes to demonstrate that service delivery approaches:

•arerelevant to the local context and the needs of the targeted beneficiary groups;

•complement and do not duplicate services already provided by government and other agencies;

•include appropriate consideration of how the services will be sustained beyond the lifetime of the grant.

In order to achieve effective and sustainable change, projects focused on service delivery should also consider relevant aspects of empowerment and accountability.

3.2 Empowerment and accountability

Significant poverty persists globally in part because the poorest people are unable to access available opportunities, resources and services, and officials remain unaccountable to their commitments. UK Aid Direct initiatives can include elements of empowerment and accountability as long as they demonstrate a 'clear line of sight' to poverty reduction and the achievement of the relevant MDGs; i.e. they must deliver real benefits to poor people within the project life span. Learning from the Global Poverty Action Fund has indicated a need to clarify how projects focused on empowerment can meet these requirements. For further guidance please see: Additional Guidance on UK Aid Direct Initiatives focused on Empowerment and Accountability.

3.3. Changing social attitudes

Community attitudes can sometimes create significant barriers preventing access to services by socially marginalised groups. UK Aid Direct initiatives should demonstrate how social attitudes have been considered as part of the project design, and how they will be addressed.

3.4 Conflict, security and justice

Conflict and fragility are significant challenges to international peace and security and to achieving the MDGs. According to the World Bank, not one low income fragile or conflict-affected country has met a single MDG. The UN estimates that up to four billion people globally live outside fair and functioning justice systems, denying them property rights, redress for abuses or protection from violence. In 2005, the UN Security Council underlined the potential contributions of a vibrant and diverse civil society in conflict prevention, as well as in the peaceful settlement of disputes. UK Aid Direct initiatives can also address issues of security and justice. As with empowerment and accountability, all projects must demonstrate a ‘clear line of sight’ to poverty reduction, i.e. they must deliver real benefits to poor people within the project life span.UK Aid Direct will not however fund initiatives which are primarily for humanitarian relief (as this is covered by other DFID funds through CHASE).

3.5 Innovation

Innovative approaches that have the potential to bescaled up to achieve wider application and impact are welcome in applications to both the Community Partnership and Impact grants.

DFID defines successful innovation as'the creation and implementation of new or improved processes, products, services, methods of delivery or other aspects of an approach that result in significant improvements in impact, outcomes, efficiency, effectiveness or quality'.

3.6 Risk

DFID is prepared to support a balance of risk related to projects and organisations across the whole portfolio of UK Aid Direct grants.

1. UK Aid Direct and Value for Money

In the context of this round of UK Aid Direct,which is focused on health-related MDGs, demonstrating good Value for Money (VfM) is about:

•maximising the impact of each pound spent to improve the health of poor people.

•obtaining the maximum benefit for poor people with the resources provided, being very clear about the results (outputs and outcomes) expected to be achieved as well as the costs.

This means using evidence on what works to deliver cost-effective interventions that result in better health for those most in need. It also requires careful consideration of the risks and assumptions related to the delivery of outputs and the achievement of the anticipated outcome.

Standard value for money measures include: economy, efficiency, and effectiveness. When we make judgements on the value for money of an intervention, issues of equity and sustainability should also be considered. We recognise that reaching vulnerable and underserved populations may be more expensive.

Economy: Are inputs purchased at the right price and of the appropriate quality? (Inputs are things such as staff, consultants, raw materials and capital that are used to produce outputs)

Efficiency: How well are inputs converted into outputs?

Effectiveness: How well are the outputs from an intervention achieving thedesired outcome on health?

Cost-effectiveness: How much impact on health does an intervention achieve relative to the inputs invested in it?

Equity: Synonymous with fairness and typically defined in terms of equality of access, utilisation or expenditure.

There is a lot of information available on different aspects of VfM in grant funding programmes. The BOND paper: Integration of value for money into the programme life cycle (Jan 2012) presents some key value for money questions relevant to project identification, planning, implementation and monitoring and evaluation and learning.

1. UK Aid Direct and Gender/Diversity

All UK Aid Direct initiatives must demonstrate appropriate consideration of gender issues within the project context, including analysis of threats, risks, barriers and opportunities for women, girls, men and boys. A thorough analysis of gender and other relevant aspects of diversity (including disability and ethnicity) within beneficiary communities should inform the preparation of the approach, budgets, staffing and implementation plans. The additional guidance note: Gender and UK Aid Direct clarifies DFID's understanding of gender, the key terms used in guidance and how gender is expected to be addressed at different stages of the project cycle.

1. Eligibility

UK Aid Direct Community Partnership grants are open to applications from small UK-based, non-governmental, not-for-profit groups. Applicants do not have to be registered charities.

6.1 To be considered as UK-based, your organisation's headquarters must be in the UK. If your organisation is part of a larger international family, we will expect you to demonstrate significant autonomy: your organisation must be registered in the UK and have its own UK constitution and an independent board of trustees, i.e. the board must be locally appointed and be free and able to make independent decisions on strategic and operational issues. You may be asked to provide relevant documentation as evidence of this status.

6.2 Applicant organisations must have an average annual income of less than £1,000,000 for the past three years (as shown in approved organisational accounts).You may be asked to provide relevant documentation as evidence. New organisations with fewer than three years of accounts may also apply and in such cases, average annual income will be calculated based on the organisation’s length of operation.

6.3For this round of UK Aid Direct, we cannot consider applications from the following organisation types:

• Think tanks (sometimes known as policy institutes, which conduct or analyse research).
• Academic institutions (including institutions which are eligible for funding from the Higher Education Funding Councils and equivalents in England, Wales, Scotland and Northern Ireland).
• Research organisations.
• Organisations which hold a Programme Partnership Arrangement (PPA) with the Civil Society Department of DFID. This includes all wider confederation, network and family members of PPA holders.
• Governmental & inter-governmental organisations (or any other organisation which reports directly to government).

6.4We also cannot consider applications from any organisation which:

• Encourages activities which may lead to civil unrest.
• Is linked to any terrorist organisations.
• Discriminates against any groups on the basis of gender, disability, race, colour, ethnicity, religion etc.

6.5 For the purposes of this Fund, DFID defines 'not-for-profit' organisations as those that do not distribute surplus funds to owners or shareholders, but instead use them to help pursue the organisational goals.

6.6Organisations can hold a maximum total of two GPAF or UK Aid Direct Innovation and/or Community Partnership grants at any time. Additionally, organisations can hold a maximum of three GPAF or UK Aid Direct Impact grants.

Please note that there is a limitation on the total number of grants held by individual members of the same International family of organisations. Members of the same International family of organisations cannot hold more than 6 (six) GPAF/UK Aid Direct grants at any one time.

7. Project Partners

7.1 While applicant organisations do not have to work through a partner organisation in the project country, there must be clear mechanisms in place to enable beneficiaries to participate in the design, management and implementation of the project, and to enhance the sustainability of the project after DFID funding has ended. DFID expects all UK Aid Direct funded projects to demonstrate high levels of beneficiary engagement and ownership at all key stages of project delivery.

7.2 ForUK Aid Direct, the type of partner is defined in terms of the nature of the partnership. Implementation partners are defined as those that manage project funds and play a prominent role in project management and delivery. Collaborative partners are those that play a key role in supporting the delivery of the project and in coordination, but do not directly manage project funds.

7.3 For all proposed partnerships, the roles of each partner and their contribution to the delivery of the project must be clearly defined.

8. Consortium applications

8.1 For the purpose of the UK Aid Directprogramme, DFID defines consortium applications as those submitted by formal consortia only, i.e. where two or more organisations come together to create a new, formally constituted organisation, with its own organisational accounts. Informal consortia, i.e. where two or more organisations work together on a specific project or initiative only, will be considered as partnerships, as defined in Section 7 above.

8.2 All formal consortium members must meet the UK Aid Direct Community Partnership applicant organisation eligibility criteria.

8.3 To be eligible, the average annual income of the consortium, as a separate legal entity, must be less than £1,000,000. The average annual income of each consortium member organisation must also be less than £1,000,000. The total combined income of consortium members may exceed £1,000,000.

8.4 If the formal consortium does not have its own management structure, one member of the consortium will need to be elected as the ‘lead’ organisation, i.e. the organisation through which all funding would be channelled and who would operate as the main point of contact with DFID for the duration of the project.

8.5 Organisations may apply both as an individual organisation and as a member of a consortium at the same time. However, both applications would count towards the maximum of three concept note applications per funding round. If successful, the consortium grant would be counted as a grant held by each of the consortium members and would count towards the maximum grant allowance of two UK Aid Direct Community Partnership grants, and three UK Aid Direct Impact grants at any one time.