B3 Format for Concept Note (CN)

Background


A Concept Note (CN) is used to present an initial idea of what DFID funds will be spent on and what the expected outcomes for poor people will be . A Concept Note (CN) must be prepared for all politically sensitive, novel or contentious proposals, regardless of value.  Appropriate project data must be completed on ARIES. The CN must be submitted in the standard format limited to 2 pages/500 words (excluding any tables) through the appropriate PUSS for approval by the SofS. See compliance task 8.

Compliance Tasks


The main text of the CN should comprise:

1. At the outset, a short summary of what DFID funds will be spent on and what the expected outcomes for poor people will be (subject to issues at the design stage).

Task assigned to: Project Staff

2. Basic information, including the purpose and objectives and how they relate to any national poverty reduction strategy (or equivalent), delivery of the MDGs, the Divisional Performance Framework, and country/regional planning or Institutional Strategy.

Task assigned to: Project Staff

3. Estimated costs associated with design and appraisal.

Task assigned to: Project Staff

4. Details of principal project partners, (government, civil society, other donors, etc).

Task assigned to: Project Staff

5. Proposed approach to design and appraisal, key risks and how they will be managed/mitigated and the approach to conditionality.

Task assigned to: Project Staff

6. Consultation process completed during the design and appraisal process.

Task assigned to: Project Staff

7. Projected timetable and steps to prepare submission of full proposal for approval.

Task assigned to: Project Staff

8. For all politically sensitive, novel or contentious proposals, regardless of value, the CN must be submitted in the standard format through the appropriate PUSS for approval by the SofS.

Task assigned to: Project Staff

9. Approval emails must be saved to QUEST as records linked to the CN being approved.

Task assigned to: Project Staff

10. Once finalised, the CN must be moved to the appropriate "Live Project Folder" in Quest, assigned the correct content type and declared a record.

Task assigned to: Project Staff

11. All CN's are published on DFID's external website.

Task assigned to: Project Staff

 

Risks of non-compliance

  • Spending not consistent with the International Development Aact 2002, the Divisional Performance Framework and/or country/regional planning or Institutional Strategies
  • DFID open to legal challenge
  • Poorly designed projects
  • Unrealistic expectations or partners
  • Detrimental impact on resources
  • Detrimental impact on the environment
  • Inaccurate official statistics.
Last updated: 03 Oct 2011