FAQ for IKI Thematic Call 2022

Project outlines can be submitted in English by 21.02.2023, 11:59 p.m. (CET) exclusively via the IKI online platform. Outlines that are not submitted within the deadline and in the intended way (but e.g. in paper form or as an attachment by email) cannot be considered for the further selection procedure.

Once you have successfully submitted your project outline via the IKI online platform you will receive an email from the IKI Office of ZUG to confirm the receipt of the documents. All project outlines submitted in due time via the online platform will be reviewed. 

The International Climate Initiative is open to different actors from Germany and abroad. We are looking for project outlines from non-governmental organisations, universities and research institutions, implementing organisations of the Federal Republic of Germany as well as international intergovernmental organisations and institutions such as development banks, organisations and programmes of the United Nations and commercial enterprises. The governments of partner countries or individuals cannot apply for IKI financing. 

Private sector entities/commercial enterprises are generally eligible for IKI-funding. However, the project must not aim at maximising profits. Furthermore, please note the specific requirements for implementing organisations defined in the funding announcement.

A preliminary review of project outlines is not possible. Furthermore, for reasons of possible unfair competition, no individual advice or assessment can be given on the structure or content of individual outlines.

At the end of November, two online seminars are planned for general questions and information on the IKI Thematic Call 2022. 

All partner countries must be ODA-eligible by the deadline for the submission of project outlines (List of ODA-elegible countries). The number of countries addressed in the project outline should be limited to five in order to ensure that a tangible impact can be achieved in individual countries. In the respective thematic priority, the country setting may be further specified. In this case, the project outline submitted must match the country setting listed in the thematic priority. If the country setting is not further specified in the thematic priority, the following principles apply: For regional projects, the countries included in the respective geographical region do not necessarily have to be neighbouring countries. Global projects that cover more than one geographical region are allowed only in exceptional cases and where [separate] justification of added value is provided. In any case, the geographical approach of the project outline (regional/bilateral/global) must be appropriate and clearly documented. The desired country setting must be defined in the project outline.

Bilateral refers to the implementation of a project in one (ODA eligble) country only. Bilateral projects should have a regional scope. 

For regional projects, up to five countries in the same geographical region can be chosen for the project implementation. The countries in the respective geographical region do not necessarily have to be neighbouring countries.

Global projects can also include up to five countries but cover more than one geographical region. Global projects are eligible only in exceptional cases and where [separate] justification of added value is provided or where the respective thematic priority explicitly requires a global approach.

In any case, the geographical approach of the project outline (regional/bilateral/global) must respond to the requirements defined in the respective thematic priority and be appropriate and clearly documented. The desired country setting must be defined in the project outline.

A project outline must be focused on one thematic priority only. Each thematic priority is set up to respond to a very complex challenge. In order to address this challenge, it is necessary to design a project that is tailored to contribute to the desired objectives of this funding priority. Co-benefits of a project, which may contribute to the objectives of another thematic priority, are welcome. However, this does not lead to an advantage or higher ranking during the assessment of project outlines. During the project outline assessment it is important for a project to be clearly tailored to the thematic priority.

A preparation phase is not mandatory. However, it is recommended if, among other things

• the implementing organisation has no direct experience in implementing IKI projects;
• project regions for local measures must be defined together with the partner countries;
• a long-term project cooperation in the proposed consortium with the selected local partners has not yet taken place;
• the success of the project is particularly dependent on a cross-sectoral connection in the partner countries as well as the participation of local actors.

In the project outline, implementing organisations must explain whether and why (or why not) a preparation phase is necessary for the preparation of the project proposal or project offer. The expenses involved in the preparation phase are eligible for funding as part of the overall project and reduce the budget of the implementation phase accordingly. However, the duration of the preparation phase does not reduce the maximum duration of the actual project. This means that the duration of the preparation phase is estimated in addition to the maximum project duration of eight years. The period and activities of the preparation phase must be clearly distinguished from the period and activities of the actual project implementation phase. During the preparation phase, only measures of a preparatory nature are funded; measures to implement project objectives of the implementation phase are not financed during this period.
 

As stated in the document on the thematic priorities, bilateral or regional projects are preferred for thematic priority 10. However, global projects are not explicitly excluded, provided that the project outline clearly explains why a global approach offers added value in the specific project context.

Awareness-raising and information campaigns as well as educational offers are to be piloted in order to implement them in a broader context. After successful implementation in the pilot, a strategy for transferring the concepts to a larger scale is to be developed. Depending on the respective project context, this transfer can already be implemented within the framework of the project, or it can be conceptually prepared. This depends on the ambitions and feasibility of the respective project.

 Projects must be carried out in a consortium with more than two organisations; however, a German organisation does not necessarily have to be represented. 

Successful project implementation depends on relationships built on trust and fair treatment of all consortium partners involved. The consortium partners stipulate the conditions underlying the cooperation (i.e. rights and obligations) in an internal agreement (cooperation agreement). As far as possible, the main features of the cooperation agreement should be agreed upon between the implementing organisations during the preparation of the project outline (see information sheet of the funding information, Appendix II). 

As a rule, political partners can not be consortium partners and can not receive sub-grants because this could involve inadmissible budget support.

There is no limit to the number of outlines a single organisation can be involved in or submit as being a lead organisation.

The following applies to national and regional offices of international organisations: 

1. Offices must be registered and pay applicable taxes in a partner country of the respective IKI project. 
2. The national or regional office can make independent decisions and is largely independent of instructions from the “umbrella organisation” in the operational design and implementation of project funds.
3. International organisations that do not meet these criteria cannot count their project budget share as local content – even if national personnel is employed in the project. National offices of international multilateral organisations (e.g. UN agencies, the GIZ or the KfW), embassies of other countries, or national offices of other bilateral donor countries therefore do not count as local content.
    

The respective minimum or maximum IKI funding volume differs according to the individual thematic priorities and is shown in the information on the individual thematic priorities. Exceeding or falling short of the IKI funding volume will lead to the disqualification of the outline. The budget should be realistic and comprehensible.

Furthermore, the amount of the planned average annual IKI funding volume should not exceed the average annual turnover of the lead organisation of the last three financial years. The total grant is decisive because the lead organisation receives it as the initial recipient. The average annual funding volume results from the planned total IKI funding volume and the planned project duration. 

Ø Mean annual funding volume = (total funding of IKI) / (years (project duration))

Own funds usually refer to uncommitted financing provided by the lead organisation to finance the total eligible project expenditure using its own assets. Financial resources of the consortium partners are not classified as own funds but rather as external funding. In general, a reasonable contribution in the form of own funds and/or mobilising additional financing resources is a prerequisite for funding. What determines a reasonable amount of own funds to be contributed can only be decided on a case-by-case basis. What constitutes a reasonable amount particularly depends on the lead implementing organisation’s financial capacity. There is no fixed minimum contribution amount. Financing the objective of the project is primarily the responsibility of the implementing organisations, which must, therefore, take every reasonable effort to raise the necessary funds themselves. Only in exceptional cases, full financing of projects from IKI funds is only possible.

In addition to own funds, other external funding can also be included, e.g. in the form of external funds and third-party grants.  External funds are funds from private donors (e.g. companies, associations) or funds contributed by the consortium partners who have an interest in the implementation of the project and make these funds available to finance the total eligible expenses. Confirmation from the donor regarding their provision of external funds must be provided in the second stage of the selection process.

Third-party grants are exclusively defined as funding provided for the project by other public bodies. Other public bodies may include German federal and state institutions organised under public law, federal corporations, institutions, foundations under public law and their associations, regardless of their legal form, and all EU institutions.

Only uncommitted funds for which verifiable cash flows arise during the project duration can be counted as own funds in the budget. 

Other participation by the lead organisation and the consortium partners as well as the political partners or third parties in the form of non-cash contributions (e.g. existing personnel, contributions in kind, infrastructure) is possible in principle.

In principle, all expenses (personnel, material, and investment expenses) that are absolutely necessary and economically appropriate to achieve the purpose of the grant within the grant period are eligible for funding. These expenses must be presented in the project budget plan. 

The following expenses are not eligible:

• In the case of an input tax deduction entitlement according to Section 15 of the Value Added Tax Act, the (possibly pro rata), value added tax is not eligible for funding, 
• Expenses that cannot be substantiated with original receipts,
• Expenses without proof of payment,
• Unused discounts and rebates,
• Expenses incurred outside the grant period,
• Non-statutory insurance policies,
• Expenses that cannot be clearly allocated to the project,
• Expenses that result in later reimbursements (e.g. pledge, rent deposit),
• Expenses for first-class flights,
• Miscellaneous and contingencies

In addition and without exception, the IKI exclusion criteria exclude certain activities that are considered too risky for the environment and people (see exclusion criteria) from IKI financing.
 

A fixed limit or percentage for overheads is not defined. However, if the estimated administrative or indirect expenses appear to be too high in relation to the direct expenditure, the lead organisation is regularly asked to provide evidence for further assessment.