The selection procedure
There is a two-stage process for selecting projects.
The first stage is preparation of the Concept Note while the second stage should consist of preparation of a detailed proposal based on the approved concept.
The Concept Note shall be of no more than 10 pages.
Appraisal of the Concept Note is done by the Fund Manager, based on defined appraisal process. In cases of exception, a field appraisal is undertaken.
After all the Concept Notes are appraised, there will be a process of shorlisting. Once a concept is short listed/approved, a detailed proposal is invited. The proposals are to submitted in a particular format with mentioned documents that includes -Memorandum of association, audited accounts, registration certificate, list of governing board members, annual report, list of CVs etc.
Appraisal of the proposal is done by the Fund Manager on defined parameters to assess the proposed ideas, organisational assessment, check the community link and study the financial systems. Conducting a field visit is an integral part of the appraisal system. The visits are conducted by the Fund Managers/technical expert/ appraisers. The appraised proposals is finally be placed before the Project Selection Committee which in turn takes the final decision to approve the concerned project.
Normally, the entire duration of the above two stages take four-five months to complete, from submission of concept note to final project approval.
However, if the Committee feels that some of the Proposals need further clarity then the applicant is recommended for certain changes as decided during the meeting. The Committee possess the liberty of canceling any proposal vialting the basic object of ICF/KUAP. Such applicant is free to submit a different concept note on different issue for next phase of the approval.
How to apply:
Applications along with Concept Notes can be submitted round the year addressed to the following:
The Project Director, Change Management Unit, KUSP
ILGUS Bhavan, HC Block Sector-3 Salt Lake, Kolkata – 700 106
email : kuspcmu@vsnl.net
website : www.changekolkata.org , www.kusp-icf.in
Phone: +91 (033) 2337 8723 / 6226/8721
Areas of funding
Initially, the following activities can be funded
The thematic areas that will be funded through the Innovative/Challenge Fund are in line with the KUSP program objectives. These are as follows:
- Improving urban planning and governance in KMA
- Improving access of urban services to the poor
- Promoting an enabling environment for pro-poor economic growth
I. Strengthening the process of urban planning and governance
Sub themes:
- Micro level planning at local level
- Capacity building initiatives for stakeholders including elected
- Representatives
- Fostering accountability and transparency
The process of urban planning has generally been a top down approach where planning related to an area is done without much consultation with the stakeholders. Such participatory planning with a bottom-up approach may be facilitated.
II. Strengthening and improving service delivery mechanisms for better access of urban services
Sub themes:
- Providing access to services to the most vulnerable, who otherwise typically
- get excluded from municipal services
- Alternate / non-conventional service delivery mechanisms
- Research and development in improvement of delivery mechanisms
- Conventional mechanisms of delivery have certain limitations to address needs of specific groups / communities, especially the under privileged. Alternate approaches in service delivery in terms of providing access, user’s participation, financing, operations, maintenance and management mechanisms need to be encouraged.
- Repairs, maintenance and restoration of community managed assets for further sustained use may also be considered.
Service delivery mechanisms on many occasions may not meet the expectations of the citizens and may also not be adequately accountable to them. The poor and marginalized also often do not have access to information, structures and mechanisms about schemes intended to reach out to them. Agencies outside of government can play a key role in building awareness and capacity to access services / benefits intended for them. The fund will seek to support such initiatives. Research and development for product innovation, alternate technologies for better urban service delivery will also qualify for funding. Most urban poverty alleviation programmes target the urban poor, identified and listed through processes such as the Below Poverty Line (BPL) survey.
However, various categories of poor persons typically get excluded, such as street children, pavement dwellers and homeless, destitute and seasonal migrants. Activities and programmes that reach out to such poor may be encouraged through the Fund. For example – night shelters, education for street children, safety programmes, outreach of health initiatives and other such initiatives. Projects / initiatives that seek to identify and integrate such marginalized groups with the mainstream will also be encouraged.
While infrastructure creation is supported through the Challenge Fund, it is important to consider how such assets will be managed, maintained and financed. The emphasis will be on ensuring sustainability rather than exclusion of certain types of proposals.
III. Promoting enabling environment for pro -poor economic growth
Sub themes:
- Skill building for sustained income generation activities
- New avenues for income generation and employment
- Encouraging cluster growth through common facilities and initiatives for small and micro-enterprises
- Addressing problems hampering growth of economic activities that engage significant numbers of poor persons.
Urban poverty in Kolkata is a complex interplay of multiple social and economic factors.A large number of poor not just face deprivation in terms of living conditions, but also in terms of opportunities to earn a secure livelihood. These issues combined with low skill base, insecurity of tenure of place of earning livelihood, stagnation of traditional industries and limited inward investments in sectors engaging the poor presents a complex situation in tackling urban poverty. It is also well recognised that urban management and governance can play a key role in fostering certain economic activities, providing enabling infrastructure and regulation.
However, micro initiatives can be taken up to alleviate the conditions of specific groups that can create significant impact. The Innovative/Challenge Fund will seek to support initiatives that adopt innovative approaches to address above mentioned issues. Projects that target skill building of specific occupation groups of poor for sustained and higher income generation, setting of resource centres (only tools and raw material), formation of community groups for opening/ restarting an economic venture will be supported from the fund.
Vocational skill building with a view to induct new persons into the trade, take up new vocations will be supported. Handicrafts and small-scale units are low cost high employment economic activities. These units often face problems of quality control, access to market, market intelligence, suffer from not having economies of scale, common infrastructure and product development support. Projects which look into these issues and support these microenterprises will be eligible for funding.
Projects that seek to facilitate removal of bottlenecks faced by economic activities that engage significant number of poor persons will be supported. For e.g. A project addressing reduced administrative and police intervention in lives of hawkers and small informal businesses, provision of better working place for them and better working conditions.
I/CF cannot support certain issues
a) Investment in large infrastructure and service delivery projects
The Fund will not fund investments in service delivery or physical infrastructure such as creation of roads, water supply systems, drainage, houses, construction of community toilets, etc. that have little or no element of innovation in them. The logic for this is two fold. Firstly, identifying and addressing the infrastructure bottlenecks at slum level as well as municipal and trans-municipal levels is the responsibility of the Government and funds are available at all levels to finance service delivery. Moreover, this is also a major work area for KUSP and dedicated funds are available for this activity. Secondly, availability of funds for other innovative activities should not be crowded out by large infrastructure investments. Procurement of some items such as furniture, computers, consumable items etc. might be necessary for the project. Such expenditure will be eligible for funding under ICF provided it does not constitute substantial part of the funding for the project.
b) Funding of purely commercial ventures
Funding purely commercial ventures such as establishment of shops, new businesses, etc. that is financially viable even otherwise will not be eligible for funding. The yardstick for excluding any activity under this category from funding will be that such an activity can be undertaken with funding from other sources such as banks, financial institutions, etc. For instance, setting-up of a tea stalls, grocery store, etc. However, if there is a commercial venture that addresses the KUSP objectives but is not completely financially viable through other means of financing could be considered for funding under ICF. For instance operating a night shelter for vendors and hawkers to keep their goods.
c) Activities/ projects funded under existing schemes from central/ state government
The central government operates a number of schemes such as IDSMT, SJSRY, NSDP, etc. Most of these schemes fund infrastructure development, which is anyway outside the purview of funding under ICF as per point above. Apart from these GoWB also provides assistance under many other schemes. Thus, projects, which can ideally get assistance through other schemes, should be given second priority under the ICF.
How does the Fund work:
The Innovative/Challenge Fund is proposed to have two windows of funding – the capacity building window (smaller) will support preparation of projects and capacity building of agencies to be engaged in implementation of the project. The other window of funding (larger) will support the actual implementation of the projects. All inflows into the fund will be in the nature of non-lapsable grants and the fund shall also finance all its projects in the form of grants.
Eligibility & Criteria
The ideas/issues should be innovative in nature, where innovativeness is defined as an initiative, which may either be a totally new concept, or may have a new approach towards an existing solution. Innovation will also include initiative that is groundbreaking, pioneering, novel, modern, revolutionary, landmark, creative, imaginative, unique, unusual and incorporate fresh ideas. An innovative project could be an experiment, which if successful can be replicated on larger scale and / or be transferred to the Government.
The Fund will support both product and process innovation. Good practices are ones, which have been recognized as appropriate approaches for an initiative and that have been tested and have proven its worthiness.
A proposal should have the opportunity to improve and refine itself over time. The proposed initiative should engage communities and / or have a direct impact on them. The initiative should be collective and / or have institutional backing and not be centered on individual efforts.
Who can apply:
The applicants need to be registered under an Act e.g. Societies Registration Act, Indian Trust Act, Companies Act, Co-operatives Act, Trade Unions Act, etc. The applicant must have its accounts audited preferably by a Chartered Accountant Firm.
Applicants to the ICF will be a wide range of non-government organisations that need financial support to implement an innovative idea / approach. These organisations will include Civil Society Groups including academic institutions private sector etc.
Individuals will not be eligible to apply, as the fund will seek to support initiatives that have some form of institutional backing.
ULBs and Ward Committees are also not eligible to apply for this fund, as it may crowd out participation by non-government agencies.
The beneficiaries of ICF
Beneficiaries under this Fund will be urban poor and other marginalized groups. Efforts should be made to include
- women
- socially excluded group
- socially disadvantageous groups
- pavement dwellers
- underprivileged / challenged children.
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