Capacity Building and Finance for National and Local Action on Climate and Biodiversity

IKI Small Grants

Project application form

General advice:

Please consider the document Applic ation Guidelines for additional advice. This application must be submitted in English. No other language will be accepted. Please carefully read and follow the explanations!

04.02.20A

1. Project master data

Country of implementation 

Project location 

Province(s)/state(s)/ department(s)/municipality(ies)Project durationmust be at least 6 months   until 

Area of support  Mitigating greenhouse gas emissions 

Adapting to the impacts of climate change 

Conserving natural carbon sinks/forestry 

Conserving biological diversity 

Contribution to international agreements 

United Nations Framework Convention on Climate Change (UNFCCC) 

Does the proposed project contribute to your country’s National Determined Contribution (NDC)?  Please specify in case you contribute to your county’s NDC (300 characters max) 

Project title(100 characters max.)

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1.1  Project

Additional countriesof implementation

 The Convention on Biological Diversity (CBD) ‐ Aichi Targets 

To which of the Aichi Targets will your proposed project contribute: Please fill in the numbers of the relevant Aichi Targets (maximum 3) 

Aichi TargetAichi TargetAichi Target

Requested project funding

Please specify to which international agreement your project would contribute?

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1.2  Applicant Full legal name of the organisation 

Street, no./P.O. box 

Postal code 

Town/city 

Country 

Homepage 

Year established 

Total staff on payroll 

Field of activity 

Contact person 

Telephone 

Telefax 

Email 

Contact person #2 

Telephone #2 

Email #2 

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In case different for legal and financial questions:

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2. Information about your organisation

What ist the legal form of your organisation?

Through which institution is your organisation registered? Please submit a scan of your official registration documentation as well as an English 

translation (Attachment C) 

What is the mission statement  of  your organisation?(500 characters max) Describe the objectives of your organisation (with reference to your mission statement), the level of intervention (local, regional, national) and how it is embedded in civil society. 

Please submit a scan of the signed CV of your managing director/signatory (Attachment A) 

Please submit an organisation chart of your institution (Attachment B) 

What software‐based accounting system do you use? For a contract value of EUR 50,000.01 or more, a software‐based accounting system must be used and maintained by qualified personnel. 

Does the software‐based accounting system meet the national standard of the country you are registered in? 

Do you have  dedicated accounting staff? If yes, in what function and qualification/experience? 

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This includes any incorporated organisations including corporations, government agencies, and NGOs. Please refer to the Application Guidelines for further details

2.1  Legal entity/juridical person status

2.2 Brief description of your organisation and its role in society

2.3 Accounting

Alternatively, the accounting tasks can be outsourced. In this case, the requirements for accounting would have to be met by the contracted company.  

If applicable, please provide us with the signed contract between you and the accounting firm (Attachment H).

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Please submit a copy of your annual financial statements of the last three years (Attachment D). 

Are your annual financial statements subject to an external audit according to your national standards?

If yes, the audited financial statements, including the audit certificate, must also be submitted in Attachment D.

Do you have an electronic or manual time recording system? 

Financial  revenue  in the last three years 

Internal  control mechanisms 

If available please submit a copy of your internal accounting guidelines  as well as an English translation of the relevant sections (Attachment E) 

If not available, please describe your practices here (1500 characters max.) 

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An electronic or manual time recording system is required.If no traceable time recording exists, you must sign and submit a self commitment to create one before the grant agreement can be signed. Is it possible to assign hours worked to different projects with this system?

2.4 Revenue and financial statements

Year: Revenue:

Year: Revenue:

Year: Revenue:

2.5 Internal and external controls

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External  control mechanisms 

Do you have any external (third party) control mechanism beyond external financial auditing? If yes, please give a short description (400 characters max) 

Has your organisation, have members of its executive bodies or executive managers been subject of allegations or investigations concerning breaches of the law, corruption or other offences (e.g. fraud, embezzlement, breach of trust) in the last 5 years?

If there have been allegations, what consequences has your organisation drawn? Has an effective system for preventing and combating corruption been established and is it being implemented consistently? (1000 characters max) 

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The following principles form the basis of what we regard as an internal control system:

a) The principle of transparency: For processes, process-concepts (or process plan)must be established that enable an outsider to assess the extent to whichparticipants work in conformity with this process-concept. At the same time, theprocess-concept represents the expectations of higher management.b) The principle of four eyes: This principle states that in a well-functioning controlsystem no essential process should remain without (counter) control.c) The principle of functional separation: This principle states that executive tasks(e.g. processing purchases), booking tasks (e.g. financial accounting, stock records)and administrative tasks (e.g. stock management) that are carried out as part of acorporate process (e.g. purchasing process seen as a process that extends fromdetermining requirements up to outgoing payments) should not be performed byone and the same person.d) The principle of minimum information: This principle states that staff membersshould only be provided with the information they need to perform their work(need-to-know principle). This also covers the corresponding security measures forIT systems.

2.6 Compliance with the law and anti-corruption

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What corruption prevention measures have you got (not already covered in 2.5)?  (1000 characters max) 

Please submit a copy of your standards regarding the awarding of contracts for supplies and services as well as an English translation (Attachment I) Should these be more lenient than those of the GIZ, the latter will have to be adopted for the awarding of any contracts for supplies and services. Please refer to the Application Guidelines for more details. 

3. Project description

Please provide a brief and structured description of the project It should address the following issues:- The problem which willbe addressed, thelocation and localconditions, the projectgoals and plannedmeasures.- What does the projectaim to achieve or toimprove?- Who benefits from theproject and how? Whatkind of change do youwant to achieve at thelevel of project targetgroups andbeneficiaries?(1500 characters max.)

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2.7 Contract award procedure for supplies and services

3.1 Structured brief description of the project

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Please describe the project region, the problem(s) which you want to address with this project and the important stakeholders you will work with. Which are the underlying causes of the described problems and where does the project plan to intervene? (1500 characters max) 

Please describe the target group(s) and beneficiaries that the project seeks to reach or wants to work with. Describe how the target group participates in the implementation of the project. (1000 characters max.) 

Please describe if your project proposal contributes – even on a small local scale - to national climate or biodiversity policies or to a national or local development plan or any other policy framework.Are any public institutions involved or cooperating? (500 characters max.)

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3.2 Initial situation in the target region

3.3 Target group, beneficiaries

3.4 Embedding in national policy framework

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4. Project conceptPlease also refer to the IKI Small Grants Application Guidelines for notes on how to structure your project concept, develop indicators and means of verification

Please describe the outcome of your proposed project. The outcome describes intended changes that can be directly attributed to the project and that result from achieving the planned outputs. Which improvements do you expect by the end of the project? Which will be the positive impacts in your project location concerning the area of support stated in chapter 1?

Summary: (Please summarize the outcome in one concise sentence) 

Description: (1000 characters max)

4.1.2 Outcome indicators One or two project‐specific indicators must be defined for the outcome. All indicators must be SMART: specific, measurable, achievable, relevant and time‐bound. A valid indicator shall contain the information about who does what, where in which quality and quantity and when it will be achieved. Please mention how the values can be verified. When conceiving SMART indicators and means of verification please also refer to the Application Guidelines. 

Indicator 1: 

Unit     Baseline (start of the project)   Target value (end of the project) 

Means of verification: 

Indicator 2: 

Unit    Baseline (start of the project)   Target value (end of the project) 

Means of verification: 

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4.1 Outcome (overarching project goal) including indicators

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Outputs are concrete products, goods, services, regulations or standards created through the project activities or used by the target groups. At the same time, indicators should be specified to measure the extent to which these project goals have been achieved. The activities required to achieve each output should be described in sufficient detail. Please define a maximum of three outputs to reduce complexity. 

Output I: 

Indicator I: 

Unit  

Output II: 

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4.2 Outputs (specific project goals including indicators and activities

 Baseline (start of the project)  Target value  Months to achievement

Means of verification:

Activities: Activities must be listed with their period of execution and numbered consistently. Their role to achieve the corresponding output should become evident. Activities must be correspondingly listed in the Gantt chart (Attachment F).

Indicator II: 

Unit    Baseline (start of the project)  Target value  Months to achievement

Means of verification:

Activities: Activities must be listed with their period of execution and numbered consistently. Their role to achieve the corresponding output should become evident. Activities must be correspondingly listed in the Gantt chart (Attachment F).

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4.3 Promotion of  women 

Does your proposed project have a particular objective in strengthening the role and rights of women in society? The project still has to have its focus on one of the four areas of support listed in section 1.(1000 characters max.) 

In all other cases, i.e. no particular objective in strengthening women, please state if or how this project considers gender-specific issues. (1000 characters max.) 

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Output III: 

Indicator III: 

Unit    Baseline (start of the project)  Target value  Months to achievement

Means of verification:

Activities: Activities must be listed with their period of execution and numbered consistently. Their role to achieve the corresponding output should become evident. Activities must be correspondingly listed in the Gantt chart (Attachment F).

If yes, please elaborate:

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Please elaborate on the non-profit character of your project concept: Make clear why your project does not pursue commercial interests. The project should not generate any income. If any kind of profit is made, this income can only be used within the framework of this project and not for other acitivities or purchases. (750 characters max.) 

Risk 1 Type: Extent: Degree (to which it can be influenced):

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4.4 Non-profit objective of the project 

Please list a maximum of three risks to the success of the project There are different types of risks: Technical, political, economic, or nature-related risks. The extent of these risks should be analysed (low, medium, high), and strategies to minimise risks should be presented. Please refer also to the IKI Small Grants document Application Guidelines for notes on how to define risks.

4.5 Technical, political, economic, and nature-related risks

Risk 2 Type: Degree (to which it can be influenced):

Risk 3 Type:

Degree (to which it can be influenced):

Extent:

Extent:

Description (300 characters max.) Strategies to minimies the risk (300 char.)

Description (300 characters max.) Strategies to minimies the risk (300 char.)

Description (300 characters max.) Strategies to minimies the risk (300 char.)

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The IKI Small Grants safeguards system is a tool to a void and mitigate harm to people and the environment during the implementation of a project. Therefore, applicants have to assess whether the implementation of a project carries the potential to cause harm respectively negative impacts. Please specify which of the following dimensions could be harmed by your project: (Multiple answers possible) 

Labour and Working Conditions 

Resource Efficiency and Pollution Prevention 

Community Health, Safety, and Security 

Land Acquisition and Involuntary Resettlement  

Biodiversity Conservation and Sustainable Management of Living Natural Resources 

Indigenous Peoples 

Cultural Heritage If you have identified one or more dimensions, please describe the potential harm and elaborate on how you plan to monitor, avoid and mitigate the negative impacts. ([Name of Dimension]: [Description]) 

Any changes to the assessment for each dimension during project implementation have to be communicated immediately to the GIZ’s IKI Small Grants team.  Please also refer to the Application Guidelines 

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4.6 Safeguards system

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Please address the following aspects in this context: ‐ Integration of the results into the policies of your country/region/community; ‐ Replicability/upscaling potential in the country or region ‐ Financial sustainability of the instruments/structures/products developed; ‐ Partner institutions to ensure sustainability and upscaling. Projects will only be funded, if their successful conclusion within the given timeframe and budget limits is considered feasible. A follow-up financial support through this programme is not foreseen.

Please explain aspects that could not be described so far but which are, nevertheless, of relevance for the approval of the project (1000 characters max)

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4.7 Ensuring sustainability and upscalingPlease explain the steps that will be taken to ensure that project achievements and results can be maintained and continue to benefit the target groups/beneficiaries even after the project has ended. In addition, an important criterion for the selection of a proposal is the potential to upscale or adopt the results beyond the immediate scope of the project. Please line out how your project results can be replicated in your region or in other regions.(1500 characters max.)

4.8 Other aspects relevant to financing

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5. Capacity assessment and capacity building measures

5.2 Applicant  capacity assessment – network and stakeholder engagement 

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Does your organisation have an executive board and officers? If the answer is yes, please answer the questions below. How many times per year does the executive board meet? 

What is the procedure for electing a new member of the executive board? (300 characters max) 

What is the term limit for the executive board in months? 

Does the board keep minutes of all of its meetings? 

Please explain how staff members can communicate serious concerns directly  to a member of the executive board or officer of the organisation? (500 characters max)

How many staff meetings are held per year (if applicable)?

What is the current working relationship between your organisation and a) other local, national and international organisations?If applicable: Describe existing relations of your organisation and the potential for cooperation with ongoing and previous projects implemented by other organisations.(1000 characters max)

5.1 Applicant capacit assessment - governance

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b) the local, provincial and, if applicable, national government?(750 characters max)

If applicable, how frequently and in which way does the organisation consult with major stakeholders? For example, does the organisation promote debate on policy issues, advocacy, needs assessment, funding, project design, implementation, monitoring and impact assessment with stakeholders? (1000 characters max)

Does your  organisation have access to external technical sector experience relevant to the project when required? If yes, how? (500 characters max) 

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5.3 Applicant capacity assessment – technical and project capacities

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Who is or was  involved in designing, implementing, and monitoring this project as well as the specific project activities?  (500 characters max) 

Describe how they are qualified to do so, including any relevant previous experience and education.  

Describe any previous  experience your organisation has in carrying out similar activities and/or taking on a similar role as it does in the project. Explain how this experience will help your organisation to effectively carry out the planned project activities. (1000 characters max) 

Have you previously  received or are you currently receiving funding from the GIZ? 

If yes, please list the track record of the last five years in the following order: [GIZ contract number]‐[timeframe]‐[target group]‐[technical field]‐[budget in €] 

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Have you  received funding from other donors? 

If yes, please list the track record of the last five years in the following order: [donor organisation]‐[timeframe]‐[contact person(mail/phone)]‐[technical field]‐[budget in  €] 

Please list and briefly discuss any limitations your organisation and members of staff may face to sustain or further develop your organisation and which capacities you would like to further develop with the support of the IKI Small Grants scheme.  The development areas (see below) need to be duly justified, appropriate and address your limitations/development potentials as an organisation but also in the thematic context of project implementation. (1000 characters max.) 

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5.4 Capacity needs of applicant and capacity building

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The IKI Small Grants scheme allows up to 10% of the total budget to be used for internal and self‐organised capacity development measures within your own organisation. We ask you to propose capacity building measures here, which will be further discussed in case your project gets selected for funding. The measures must not be a prerequisite for project implementation such as, for example, basic accounting courses. (Your organisation must be able to carry out the project without depending on these capacity building measures. No tangible assets such as vehicles or office supplies are considered as capacity building measures. Software can be approved together with trainings in exceptional cases. Examples of "self‐organised trainings and advanced trainings" are: Public procurement law, national budget and grant law, internal control system, accounting, anti‐corruption sensitization, fundraising and proposal writing, presentation and negotiation techniques, possibly language courses, conflict management etc. The measures should be budgeted accordingly (Attachment G) and appear in the Gantt Chart (Attachment F) under an extra Output called “Internal Capacity Building” Please list the measures with their period of execution (MM/YY until MM/YY).

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5.5 Capacity building measures

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Attachements: The following documents will have to be uploaded and submitted with your project proposal

Attachment A: Signed CV of Managing Director/Head of submitting organisation

Attachment B: Organigram of your organisation

Attachment C: Proof of legal form of the organisation: Evidence of legal form and registration in accordance with the legal provisions that apply in the country in which the organisation is based. Please attach extracts from the appropriate register/formation documents showing the location of the organisation’s registered office and the year of formation (if not shown in the register entry)/Tax number or other forms of substantiating documentation generally required in the country. All documents should also be translated into English.

Attachment D: Annual financial statements for the past three years. Important note: Are your annual financial statements subject to an external audit according to your national standards? If yes, the audited financial statements, including the audit certificate, must be submitted and attached to the documents uploaded above.

Attachment E: (only if applicable): Internal accounting guidelines as well as an English translation of the relevant sections or an explanation in section 2.5.

Attachment F: Timeline/Gantt chart on the project schedule (see template)

Attachment G: Budget/Schedule of Estimated Expenditures (see template)

Attachment H: (only if applicable): Signed contract with accounting firm.

Attachment I: (only if applicable): Copy of standards regarding the awarding of contracts for supplies and services as well as an English translation

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